Filing Details
- Accession Number:
- 0001127602-12-028910
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-10-19 19:06:32
- Reporting Period:
- 2012-10-17
- Filing Date:
- 2012-10-19
- Accepted Time:
- 2012-10-19 19:06:32
- 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 |
---|---|---|---|---|---|---|---|
1101384 | J Thomas May | C/O Northeast Utilities One Federal Street, Building 111-4 Springfield MA 01105 | President, Ceo & Trustee | 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 | Acquisiton | 2012-10-17 | 262,400 | $18.45 | 632,136 | No | 4 | M | Direct | |
Common Shares, $5.00 Par Value | Acquisiton | 2012-10-17 | 73,682 | $22.57 | 705,818 | No | 4 | M | Direct | |
Common Shares, $5.00 Par Value | Disposition | 2012-10-17 | 336,082 | $39.56 | 369,736 | No | 4 | S | Direct | |
Common Shares, $5.00 Par Value | Acquisiton | 2012-10-18 | 188,718 | $22.57 | 558,454 | No | 4 | M | Direct | |
Common Shares, $5.00 Par Value | Disposition | 2012-10-18 | 188,718 | $39.52 | 369,736 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | M | Direct | |
No | 4 | S | Direct | |
No | 4 | M | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Shares, $5.00 Par Value | Employee Stock Option (Right to Buy) | Disposition | 2012-10-17 | 262,400 | $0.00 | 262,400 | $18.45 |
Common Shares, $5.00 Par Value | Employee Stock Option (Right to Buy) | Disposition | 2012-10-17 | 73,682 | $0.00 | 73,682 | $22.57 |
Common Shares, $5.00 Par Value | Employee Stock Option (Right to Buy) | Disposition | 2012-10-18 | 188,718 | $0.00 | 188,718 | $22.57 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2007-04-28 | 2014-04-28 | No | 4 | M | Direct |
188,718 | 2008-06-09 | 2015-06-09 | No | 4 | M | Direct |
0 | 2008-06-09 | 2015-06-09 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Shares, $5.00 Par Value | 61,190 | Indirect | 401k Plan |
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 | 818,977 | 818,977 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
818,977 | 818,977 | Direct |
Footnotes
- The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.50 to $39.72, inclusive. The reporting person undertakes to provide Northeast Utilities, any security holder of Northeast Utilities, or the staff of the Securities and Exchange Commission, upon request, full information regarding number of shares sold at each separate price within the ranges set forth in footnotes (1) and (2) to this Form 4.
- The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.50 to $39.58, inclusive.
- Phantom shares held in the NSTAR Deferred Compensation Plan. Each phantom share represents the right to receive the cash value of one Common Share upon a distribution event, following vesting. Additional phantom shares are issued upon the automatic reinvestment of dividend-equivalents exempt from the line item reporting under SEC Rule 16a-11.