Filing Details
- Accession Number:
- 0001127602-13-033234
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-12-02 14:05:01
- Reporting Period:
- 2013-11-27
- Filing Date:
- 2013-12-02
- Accepted Time:
- 2013-12-02 14:05:01
- 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 |
|---|---|---|---|---|---|---|---|
| 1313990 | R David Mchale | C/O Northeast Utilities 56 Prospect Street Hartford CT 06103 | Evp And Chief Admin Off | 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 | 2013-11-27 | 5,500 | $41.15 | 169,197 | No | 4 | S | Direct | |
| Common Shares, $5.00 Par Value | Disposition | 2013-11-27 | 4,458 | $0.00 | 164,739 | No | 5 | G | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 5 | G | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Shares, $5.00 Par Value | 6,879 | Indirect | By 401(k) Plan Trustee |
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 | 825 | 825 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 825 | 825 | Direct |
Footnotes
- The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.150 to $41.155, 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.
- Includes shares and restricted share units and dividend equivalents thereon.
- Shares held in trust under the Northeast Utilities Service Company 401k Plan, a qualified plan, according to information supplied by the Plan's record keeper.
- The reporting person holds phantom shares of NU common under the Northeast Utilities Deferred Compensation Plan for Executives, a non-qualified plan (the DCP), made as matching contributions under the DCP. Each phantom share represents the right to receive the cash value of one share of NU Common upon a distribution event, following vesting. Additional phantom shares are issued upon the automatic reinvestment of dividend-equivalents exempt from line item reporting under SEC Rule for 16a-11.
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