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
- This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 4, 2012.
- 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.
- 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.