Filing Details
- Accession Number:
- 0001127602-12-011401
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-03-20 17:48:11
- Reporting Period:
- 2012-03-19
- Filing Date:
- 2012-03-20
- Accepted Time:
- 2012-03-20 16:48:11
- 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 | 2012-03-19 | 15,000 | $36.55 | 105,859 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Shares, $5.00 Par Value | 3,981 | 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 | 185 | 185 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
185 | 185 | Direct |
Footnotes
- The transaction was executed in multiple trades at prices ranging from $36.53 to $36.58. 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.
- Includes restricted share units and dividend equivalents thereon, including 43,024shares that Mr. Butler holds jointly with his spouse.
- 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 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 the line item reporting under SEC Rule 16a-11.