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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SHIVERY CHARLES W C/O NORTHEAST UTILITIES 107 SELDEN STREET BERLIN, CT 06037 |
Chair. of Bd., Pres. & CEO | & Trustee |
/s/ Charles W. Shivery | 02/02/2007 | |
**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) | Shares held in trust under the Northeast Utilities Service Company 401(k) Plan, a qualified plan, as of January 31, 2007, according to information supplied by the plan's recordkeeper. |
(2) | Employer matching contributions under the Northeast Utilities Service Company Deferred Compensation Plan for Executives, receipt of which has been deferred, as of January 31, 2007. Share price averages $23.32. Actual price is determined on the applicable payroll date. |
(3) | Includes restricted shares and restriced share units; in addition, the reporting person also directly holds 29,024 stock options to purchase common shares, previously reported on Form 4. Included among shares directly held are 536 shares acquired on January 31, 2007, and 447 shares acquired on July 31, 2006, pursuant to the Northeast Utilities Employee Share Purchase Plan II, a Section 423(b) plan under the Internal Revenue Code, which shares are exempt from Form 4 reporting. |