Filing Details
- Accession Number:
- 0001127602-12-011308
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-03-19 21:25:14
- Reporting Period:
- 2012-03-15
- Filing Date:
- 2012-03-19
- Accepted Time:
- 2012-03-19 20:25:14
- 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 |
|---|---|---|---|---|---|---|---|
| 1276812 | B James Robb | C/O Northeast Utilities 56 Prospect Street Hartford CT 06103 | Sr Vp-Enterprise Plan. & Dev. | 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 | 2012-03-15 | 1,556 | $36.74 | 61,373 | No | 4 | F | Direct | |
| Common Shares, $5.00 Par Value | Disposition | 2012-03-15 | 7,500 | $36.61 | 53,873 | No | 4 | S | Direct | |
| Common Shares, $5.00 Par Value | Disposition | 2012-03-16 | 6,400 | $36.56 | 47,473 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | F | 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 | 831 | 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 | 898 | 898 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 898 | 898 | Direct |
Footnotes
- Disposition of performance shares under the 2009 - 2011 Long Term Incentive Plan, previously reported on February 21, 2012, to satisfy tax withholding obligations.
- Includes restricted share units and reinvested dividend equivalents thereon.
- The transaction was executed in multiple trades at prices ranging from $36.60 to $36.61. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares and prices at which shares and prices at which the transaction was effected.
- The transaction was executed in multiple trades at prices ranging from $36.502 to $36.630. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer full information regarding the number of shares and prices at which shares and prices at which the transaction was effected.
- Shares held in trust under the Northeast Utilities Service Company 401k Plan, a qualified plan, according to information supplied by the plan's recordkeeper.
- Matching contributions on reporting person's deferred compensation under the Northeast Utilities Deferred Compensation Plan for Executives, a non-qualified deferred compensation plan, that are nominally invested as common shares. Each phantom share represents the right to receive 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
