Filing Details
- Accession Number:
- 0001127602-11-023576
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-08-15 15:48:48
- Reporting Period:
- 2011-08-12
- Filing Date:
- 2011-08-15
- Accepted Time:
- 2011-08-15 14:48:48
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 72741 | Northeast Utilities | NU | Electric Services (4911) | 042147929 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1192333 | B Gregory Butler | C/O Northeast Utilities 56 Prospect Street Hartford CT 06103 | Sr Vp And General Counsel | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Shares, $5.00 Par Value | Disposition | 2011-08-12 | 5,571 | $32.64 | 118,862 | No | 4 | S | Direct | |
| Common Shares, $5.00 Par Value | Disposition | 2011-08-12 | 1,829 | $32.65 | 117,033 | No | 4 | S | Direct | |
| Common Shares, $5.00 Par Value | Disposition | 2011-08-12 | 1,000 | $32.66 | 116,033 | No | 4 | S | Direct | |
| Common Shares, $5.00 Par Value | Disposition | 2011-08-12 | 1,500 | $32.67 | 114,533 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Shares, $5.00 Par Value | 3,876 | Indirect | By 401(k) Plan Trustee |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Shares, $5.00 Par Value | Phantom Shares | $0.00 | 378 | 378 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 378 | 378 | Direct |
Footnotes
- Includes restricted share units and dividend equivalents thereon, including 44,670 shares that Mr. Butler holds jointly with his spouse.
- Shares held in trust under the Northeast Utilities Service Company 401K Plan, a qualified plan, as of August 12, 2011, according to information supplied by the plan's record keeper.
- The reporting person holds phantom shares of NU common under the Northeast Utilities Deferred Compensation Plan for Executives, a non-qualified plan, deferred compensation plan (the DCP), made as matching contributions under the DCP. Each phantom share represents the right to receive the cash value of one share of NU common upon a distribution event, following vesting. Additional phantom shares are issued upon the automatic reinvestment of dividend-equivalents exempt from line item reporting under SEC Rule 16a-11.
Billionaire Hedge Funds
