Filing Details

Accession Number:
0001127602-12-028915
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-10-19 20:55:44
Reporting Period:
2012-10-17
Filing Date:
2012-10-19
Accepted Time:
2012-10-19 20:55:44
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
1214396 J James Judge C/O Northeast Utilities
One Federal Street, Building 111-4
Springfield MA 01105
Evp & Cfo 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 52,480 $28.12 241,540 No 4 M Direct
Common Shares, $5.00 Par Value Acquisiton 2012-10-17 39,360 $24.74 280,900 No 4 M Direct
Common Shares, $5.00 Par Value Acquisiton 2012-10-17 48,544 $25.93 329,444 No 4 M Direct
Common Shares, $5.00 Par Value Acquisiton 2012-10-17 39,360 $26.90 368,804 No 4 M Direct
Common Shares, $5.00 Par Value Disposition 2012-10-17 179,744 $39.50 189,060 No 4 S Direct
Common Shares, $5.00 Par Value Acquisiton 2012-10-17 34,581 $39.49 223,641 No 4 M Direct
Common Shares, $5.00 Par Value Disposition 2012-10-17 34,581 $39.49 189,060 No 4 D Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M Direct
No 4 M Direct
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 D 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 52,480 $0.00 52,480 $28.12
Common Shares, $5.00 Par Value Employee Stock Option (Right to Buy) Disposition 2012-10-17 39,360 $0.00 39,360 $24.74
Common Shares, $5.00 Par Value Employee Stock Option (Right to Buy) Disposition 2012-10-17 48,544 $0.00 48,544 $25.93
Common Shares, $5.00 Par Value Employee Stock Option (Right to Buy) Disposition 2012-10-17 39,360 $0.00 39,360 $26.90
Common Shares, $5.00 Par Value Phantom Shares Disposition 2012-10-17 34,581 $0.00 34,581 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2010-05-03 2017-05-03 No 4 M Direct
0 2011-01-24 2018-01-24 No 4 M Direct
0 2012-01-22 2019-01-22 No 4 M Direct
0 2012-04-10 2020-01-28 No 4 M Direct
73,884 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Shares, $5.00 Par Value 20,927 Indirect 401k Plan
Footnotes
  1. This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 4, 2012.
  2. The disposition of 34,581 Common Shares, which shares were held in the reporting person's accounts at State Street Bank and Trust Company pursuant to the terms of the NSTAR Deferred Compensation Plan, was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 4, 2012.
  3. 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.