- Statement of Changes in Beneficial Ownership (4)
February 11 2010 - 2:00PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Expires:
February 28, 2011
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
BUTH JAY S.
|
2. Issuer Name
and
Ticker or Trading Symbol
NORTHEAST UTILITIES
[
NU
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
VP-Accounting and Controller
|
(Last)
(First)
(Middle)
C/O NORTHEAST UTILITIES, 56 PROSPECT STREET
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/9/2010
|
(Street)
HARTFORD, CT 06103
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Shares, $5.00 par value
|
2/9/2010
|
|
A
|
|
1564.0
(1)
|
A
|
$25.74
|
3446.0
(2)
|
D
|
|
Common Shares, $5.00 par value
|
|
|
|
|
|
|
|
76.0
(3)
|
I
|
401K Plan
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. Code
(Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
6. Date Exercisable and Expiration Date
|
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
|
8. Price of Derivative Security
(Instr. 5)
|
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
|
11. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Phantom Shares
|
(4)
|
|
|
|
|
|
|
(4)
|
(4)
|
Common Shares, $5.00 par value
|
0.0
(4)
|
|
133.0
(4)
|
D
|
|
Explanation of Responses:
|
(
1)
|
Grant of restricted share units which vest in equal portions on February 25, 2011, 2012, 2013. Restricted share units are distributable in Northeast Utilities common shares on a one-for-one basis.
|
(
2)
|
Includes restricted share units and reinvested dividend equivalents thereon.
|
(
3)
|
Shares held in trust under the Northeast Utilities Service Company 401k Plan, a qualified plan, as of February 9, 2010, according to information supplied by the plan's record keeper.
|
(
4)
|
The reporting person holds phantom shares of NU common under the Northeast Utilities Deferred Compensation Plan for Executives, a non-qualified 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. Additional phantom shares are issued from the automatic reinvestment of dividend-equivalents exempt from line item reporting under SEC Rule 16a-11.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
BUTH JAY S.
C/O NORTHEAST UTILITIES
56 PROSPECT STREET
HARTFORD, CT 06103
|
|
|
VP-Accounting and Controller
|
|
Signatures
|
Jay S. Buth
|
|
2/11/2010
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
Nu (NYSE:NU)
Historical Stock Chart
From Nov 2024 to Dec 2024
Nu (NYSE:NU)
Historical Stock Chart
From Dec 2023 to Dec 2024