Filing Details

Accession Number:
0001127602-11-023576
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-08-15 15:48:48
Reporting Period:
2011-08-12
Filing Date:
2011-08-15
Accepted Time:
2011-08-15 14:48:48
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
1192333 B Gregory Butler C/O Northeast Utilities
56 Prospect Street
Hartford CT 06103
Sr Vp And General Counsel 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 2011-08-12 5,571 $32.64 118,862 No 4 S Direct
Common Shares, $5.00 Par Value Disposition 2011-08-12 1,829 $32.65 117,033 No 4 S Direct
Common Shares, $5.00 Par Value Disposition 2011-08-12 1,000 $32.66 116,033 No 4 S Direct
Common Shares, $5.00 Par Value Disposition 2011-08-12 1,500 $32.67 114,533 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 4 S Direct
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 3,876 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 $0.00 378 378 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
378 378 Direct
Footnotes
  1. Includes restricted share units and dividend equivalents thereon, including 44,670 shares that Mr. Butler holds jointly with his spouse.
  2. Shares held in trust under the Northeast Utilities Service Company 401K Plan, a qualified plan, as of August 12, 2011, according to information supplied by the plan's record keeper.
  3. The reporting person holds phantom shares of NU common under the Northeast Utilities Deferred Compensation Plan for Executives, a non-qualified plan, deferred compensation 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 16a-11.