4//SEC Filing
ROBB JAMES B 4
Accession 0001127602-12-011308
CIK 0000072741other
Filed
Mar 18, 8:00 PM ET
Accepted
Mar 19, 8:25 PM ET
Size
11.5 KB
Accession
0001127602-12-011308
Insider Transaction Report
Form 4
ROBB JAMES B
VP-Enterprise Plan & Dev.
Transactions
- Tax Payment
Common Shares, $5.00 par value
2012-03-15$36.74/sh−1,556$57,167→ 61,373 total - Sale
Common Shares, $5.00 par value
2012-03-15$36.61/sh−7,500$274,545→ 53,873 total - Sale
Common Shares, $5.00 par value
2012-03-16$36.56/sh−6,400$233,965→ 47,473 total
Holdings
- 898
Phantom Shares
→ Common Shares, $5.00 par value (898 underlying) - 831(indirect: By 401(k))
Common Shares, $5.00 par value
Footnotes (6)
- [F1]Disposition of performance shares under the 2009 - 2011 Long Term Incentive Plan, previously reported on February 21, 2012, to satisfy tax withholding obligations.
- [F2]Includes restricted share units and reinvested dividend equivalents thereon.
- [F3]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.
- [F4]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.
- [F5]Shares held in trust under the Northeast Utilities Service Company 401k Plan, a qualified plan, according to information supplied by the plan's recordkeeper.
- [F6]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.
Documents
Issuer
NORTHEAST UTILITIES
CIK 0000072741
Entity typeother
Related Parties
1- filerCIK 0001276812
Filing Metadata
- Form type
- 4
- Filed
- Mar 18, 8:00 PM ET
- Accepted
- Mar 19, 8:25 PM ET
- Size
- 11.5 KB