Filing Details
- Accession Number:
- 0001127602-13-026797
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-09-09 13:38:00
- Reporting Period:
- 2013-09-06
- Filing Date:
- 2013-09-09
- Accepted Time:
- 2013-09-09 13:38:00
- 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 |
---|---|---|---|---|---|---|---|
1214401 | Jr R Joseph Nolan | C/O Northeast Utilities One Federal Street, Building 111-4 Springfield MA 01105 | Svp-Corporate Relations | 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 | 2013-09-06 | 100 | $40.43 | 56,068 | No | 4 | S | Direct | |
Common Shares, $5.00 Par Value | Disposition | 2013-09-06 | 1,900 | $40.43 | 54,168 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
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 | 15,160 | 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 | 48,135 | 48,135 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
48,135 | 48,135 | Direct |
Footnotes
- Includes unvested deferred shares and restricted share units, which include dividend equivalents upon distribution, exempt from the line item reporting under SEC Rule 16a-11.
- Includes shares acquired through the NSTAR 401(k) Plan, including dividend equivalents.
- 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.