Filing Details
- Accession Number:
- 0001127602-11-029567
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-11-15 14:35:12
- Reporting Period:
- 2011-11-10
- Filing Date:
- 2011-11-15
- Accepted Time:
- 2011-11-15 14:35:12
- 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 | 2011-11-10 | 2,500 | $18.45 | 42,306 | No | 4 | M | Direct | |
| Common Shares, $5.00 Par Value | Disposition | 2011-11-10 | 2,500 | $34.06 | 39,806 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | 2011-11-10 | 2,500 | $0.00 | 2,500 | $18.45 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2003-02-26 | 2012-02-26 | No | 4 | M | Direct |
Footnotes
- Ms. Cleveland's total includes restricted share units receipt of which has been deferred, and dividend equivalents thereon.
- The options exercised to purchase 2,500 Common Shares were granted on February 26, 2002 that vested 50% on that date and 50% on February 26, 2003. 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.
Billionaire Hedge Funds
