4//SEC Filing
NORTHEAST UTILITIES 4
Accession 0001127602-13-033234
$ESCIK 0000072741operating
Filed
Dec 1, 7:00 PM ET
Accepted
Dec 2, 2:05 PM ET
Size
12.3 KB
Accession
0001127602-13-033234
Insider Transaction Report
Form 4
McHale David R
Exec. VP and CFO
Transactions
- Sale
Common Shares, $5.00 par value
2013-11-27$41.15/sh−5,500$226,329→ 169,197 total - Gift
Common Shares, $5.00 par value
2013-11-27−4,458→ 164,739 total
Holdings
- 6,879(indirect: By Trust)
Common Shares, $5.00 par value
- 825
Phantom Shares
→ Common Shares, $5.00 par value (825 underlying)
Footnotes (4)
- [F1]The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.150 to $41.155, inclusive. The reporting person undertakes to provide Northeast Utilities, any security holder of Northeast Utilities, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
- [F2]Includes shares and restricted share units and dividend equivalents thereon.
- [F3]Shares held in trust under the Northeast Utilities Service Company 401k Plan, a qualified plan, according to information supplied by the Plan's record keeper.
- [F4]The reporting person holds phantom shares of NU common under the Northeast Utilities Deferred Compensation Plan for Executives, a non-qualified 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, following vesting. Additional phantom shares are issued upon the automatic reinvestment of dividend-equivalents exempt from line item reporting under SEC Rule for 16a-11.
Issuer
NORTHEAST UTILITIES
CIK 0000072741
Entity typeoperating
IncorporatedMA
Related Parties
1- filerCIK 0000072741
Filing Metadata
- Form type
- 4
- Filed
- Dec 1, 7:00 PM ET
- Accepted
- Dec 2, 2:05 PM ET
- Size
- 12.3 KB