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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (Right to Buy) | $ 18.45 | 10/17/2012 | M | 262,400 | 04/28/2007 | 04/28/2014 | Common Shares, $5.00 par value | 262,400 | $ 0 | 0 | D | ||||
Employee Stock Option (Right to Buy) | $ 22.57 | 10/17/2012 | M | 73,682 | 06/09/2008 | 06/09/2015 | Common Shares, $5.00 par value | 73,682 | $ 0 | 188,718 | D | ||||
Employee Stock Option (Right to Buy) | $ 22.57 | 10/18/2012 | M | 188,718 | 06/09/2008 | 06/09/2015 | Common Shares, $5.00 par value | 188,718 | $ 0 | 0 | D | ||||
Phantom Shares | (3) | (3) | (3) | Common Shares, $5.00 par value | 818,977 | 818,977 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MAY THOMAS J C/O NORTHEAST UTILITIES ONE FEDERAL STREET, BUILDING 111-4 SPRINGFIELD, MA 01105 |
President, CEO & Trustee |
Samuel K. Lee, attorney-in-fact for Mr. May | 10/19/2012 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.50 to $39.72, 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 number of shares sold at each separate price within the ranges set forth in footnotes (1) and (2) to this Form 4. |
(2) | The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.50 to $39.58, inclusive. |
(3) | Phantom shares held in the NSTAR Deferred Compensation Plan. Each phantom share represents the right to receive the cash value of one 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. |