Filing Details
- Accession Number:
- 0001127602-12-017203
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-05-17 15:56:25
- Reporting Period:
- 2012-05-15
- Filing Date:
- 2012-05-17
- Accepted Time:
- 2012-05-17 14:56:25
- 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 |
---|---|---|---|---|---|---|---|
1425286 | S. Jay Buth | C/O Northeast Utilities 56 Prospect Street Hartford CT 06103 | Vp, Controller, Chief Acct Off | 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 | 2012-05-15 | 750 | $35.86 | 15,928 | 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 | 428 | 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 | 143 | 143 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
143 | 143 | Direct |
Footnotes
- Includes restricted share units and dividend equivalents thereon.
- 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.