Filing Details
- Accession Number:
- 0001127602-11-000986
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-01-05 15:15:13
- Reporting Period:
- 2011-01-03
- Filing Date:
- 2011-01-05
- Accepted Time:
- 2011-01-05 15:15:13
- 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 |
---|---|---|---|---|---|---|---|
1192334 | M Cotton Cleveland | C/O Northeast Utilities One Federal Street, Building 111-4 Springfield MA 01105 | No | No | No | Yes |
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 | 2011-01-03 | 3,000 | $0.00 | 38,949 | No | 4 | A | Direct | |
Common Shares, $5.00 Par Value | Acquisiton | 2011-01-03 | 2,500 | $21.03 | 41,449 | No | 4 | M | Direct | |
Common Shares, $5.00 Par Value | Disposition | 2011-01-03 | 2,500 | $32.05 | 38,949 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | A | 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 | 2011-01-03 | 2,500 | $0.00 | 2,500 | $21.03 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2002-02-27 | 2011-02-27 | No | 4 | M | Direct |
Footnotes
- Restricted share units, subject to full vesting on January 10, 2012, or pursuant to 2007 standing resolution, earlier vesting on termination not for cause providing for (i) full vesting on separation from the Board of Trustees at or after age 65, and (ii) for Trustees separating before age 65, prorated vesting for time worked in each month prior to January 10, 2012.
- Ms. Cleveland's total includes restricted share units receipt of which has been deferred, and dividend equivalents thereon. Ms. Cleveland beneficially owns 2,500 vested options to purchase Common Shares, the ownership of which was previously reported on Form 4.
- The options exercised to purchase 2,500 Common Shares were granted on February 27, 2001 that vested 50% on that date and 50% on February 27, 2002. The options exercised and the sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by Ms. Cleveland.