Filing Details
- Accession Number:
- 0001127602-14-033935
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-12-02 17:34:37
- Reporting Period:
- 2014-11-28
- Filing Date:
- 2014-12-02
- Accepted Time:
- 2014-12-02 17:34:37
- 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 300 Cadwell Drive Springfield MA 01104 | 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 | Disposition | 2014-11-28 | 46,000 | $50.49 | 165,366 | No | 4 | S | Direct | |
| Common Shares, $5.00 Par Value | Disposition | 2014-12-01 | 3,600 | $50.41 | 161,766 | 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 | 22,346 | 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 | 79,203 | 79,203 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 79,203 | 79,203 | Direct |
Footnotes
- The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.42 to $50.60, 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 restricted share units and dividend equivalents thereon.
- The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.19 to $50.60, 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.
- 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.
- Reporting Person's deferred compensation under the Plan, that is nominally invested as common shares. Each phantom share represents the right to receive the cash value of one NU common share 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 16a-11.
Billionaire Hedge Funds
