|
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 |
|
| |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Phantom Shares | (3) | 10/05/2012 | M | 1,958 | (3) | (3) | Common Shares, $5.00 par value | 1,958 | $ 0 | 106,507 | D | ||||
Phantom Shares | (3) | 10/09/2012 | M | 272 | (3) | (3) | Common Shares, $5.00 par value | 272 | $ 0 | 106,235 | D | ||||
Phantom Shares | (3) | 10/17/2012 | M | 30,445 | (3) | (3) | Common Shares, $5.00 par value | 30,445 | $ 0 | 75,790 | D | ||||
Phantom Shares | (3) | 10/31/2012 | M | 1,906 | (3) | (3) | Common Shares, $5.00 par value | 1,906 | $ 0 | 73,884 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
JUDGE JAMES J C/O NORTHEAST UTILITIES ONE FEDERAL STREET, BUILDING 111-4 SPRINGFIELD, MA 01105 |
EVP & CFO |
/s/ Richard J. Morrison, attorney-in-fact for Mr. Judge | 11/02/2012 | |
**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 disposition of Common Shares, which shares were held in reporting person's accounts at State Street Bank and Trust Company pursuant to the terms of the NSTAR Deferred Compensation Plan, was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 4, 2012. |
(2) | This report is made to correct a report on Form 4 filed on October 19, 2012 that incorrectly reported 34,581 shares as having all been sold on October 17, 2012. The correct dates of the dispositions of the 34,581 shares are as follows: October 5, 2012 (1,958 shares); October 9, 2012 (272 shares); October 17, 2012 (30,445 shares); and October 31, 2012 (1,906 shares). |
(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. |