1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Phantom Shares
|
Â
(3)
|
Â
(3)
|
Common Shares, $5.00 par value
|
99,012
|
$
(3)
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
04/27/2009 |
04/27/2016 |
Common Shares, $5.00 par value
|
62,976
|
$
21.14
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
05/03/2010 |
05/03/2017 |
Common Shares, $5.00 par value
|
47,232
|
$
28.12
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
01/24/2011 |
01/24/2018 |
Common Shares, $5.00 par value
|
39,360
|
$
24.74
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
01/22/2012 |
01/22/2019 |
Common Shares, $5.00 par value
|
48,544
|
$
25.93
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
04/10/2012 |
01/28/2020 |
Common Shares, $5.00 par value
|
36,736
|
$
26.9
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(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) |
Includes restricted share units and dividend equivalents thereon. |
(2) |
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. |
(3) |
Reporting Person's deferred compensation under the Northeast Utilities Deferred Compensation Plan for Executives, a non-qualified deferred compensation plan, that is nominally invested as common shares. 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. |