Filing Details

Accession Number:
0001127602-13-010333
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-03-11 18:46:58
Reporting Period:
2013-03-07
Filing Date:
2013-03-11
Accepted Time:
2013-03-11 18:46:58
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
1441845 M Christine Carmody C/O Northeast Utilities
One Federal Street, Building 111-4
Springfield MA 01105
Svp - Human Resources 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 2013-03-07 6,560 $24.74 62,121 No 4 M Direct
Common Shares, $5.00 Par Value Acquisiton 2013-03-07 9,500 $25.93 71,621 No 4 M Direct
Common Shares, $5.00 Par Value Disposition 2013-03-07 16,060 $42.58 55,561 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
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 2013-03-07 6,560 $0.00 6,560 $24.74
Common Shares, $5.00 Par Value Employee Stock Option (Right to Buy) Disposition 2013-03-07 9,500 $0.00 9,500 $25.93
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2011-01-24 2018-01-24 No 4 M Direct
8,868 2012-01-22 2019-01-22 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Shares, $5.00 Par Value 5,922 Indirect 401k
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 17,019 17,019 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
17,019 17,019 Direct
Footnotes
  1. Includes restricted share units and dividend equivalents thereon.
  2. The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.43 to $42.69, 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 the number of shares sold at each separate price within the range set forth above.
  3. Shares held in trust under the NSTAR 401k Plan, a qualified plan, according to information supplied by the plan's record keeper.
  4. Phantom shares held in the NSTAR Deferred Compensation Plan. Each phantom share represents the right to receive one common share upon distribution, following vesting. The reporting person is eligible to receive dividend equivalents on outstanding phantom shares, exempt from the line item reporting under SEC Rule 16a-11.