LaVecchia Jean M 4
4 · NORTHEAST UTILITIES · Filed May 13, 2011
Insider Transaction Report
Form 4
LaVecchia Jean M
VP-Human Resources
Transactions
- Gift
Common Shares, $5.00 par value
2011-05-11−1,150→ 28,062 total
Holdings
- 2,653(indirect: By 401(k))
Common Shares, $5.00 par value
- 513
Phantom Shares
→ Common Shares, $5.00 par value (513 underlying)
Footnotes (3)
- [F1]Includes restricted share units and reinvested dividend equivalents thereon.
- [F2]Shares held in trust under the Northeast Utilities Service Company 401K Plan, a qualified plan, as of May 11, 2011, according to information provided by the Plan's record keeper.
- [F3]The reporting person holds phantom NU common shares under the Northeast Utilities Deferred Compensation Plan for Executives, a non-qualified deferred compensation plan (the DCP), made as a matching contributions under the DCP. 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 line item reporting under SEC Rule 16a-11.