-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: keymaster@town.hall.org Originator-Key-Asymmetric: MFkwCgYEVQgBAQICAgADSwAwSAJBALeWW4xDV4i7+b6+UyPn5RtObb1cJ7VkACDq pKb9/DClgTKIm08lCfoilvi9Wl4SODbR1+1waHhiGmeZO8OdgLUCAwEAAQ== MIC-Info: RSA-MD5,RSA, Rh/HkL+EHnK4dZ9idd0Hm+b1xI4gVg3b3qP5bI++nZcFT35/IOsPC0CrgLjV14jb jbUY5SZH2D6mhniCjQFy4A== 0000009749-95-000043.txt : 19950515 0000009749-95-000043.hdr.sgml : 19950515 ACCESSION NUMBER: 0000009749-95-000043 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19950216 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NORTHEAST UTILITIES CENTRAL INDEX KEY: 0000072741 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 042147929 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-42665 FILM NUMBER: 95511817 BUSINESS ADDRESS: STREET 1: 174 BRUSH HILL AVE CITY: WEST SPRINGFIELD STATE: MA ZIP: 01090-0010 BUSINESS PHONE: 2036655000 MAIL ADDRESS: STREET 1: 107 SELDON ST CITY: BERLIN STATE: CT ZIP: 06037-1616 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BANKERS TRUST NEW YORK CORP CENTRAL INDEX KEY: 0000009749 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 136180473 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 280 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2122502500 MAIL ADDRESS: STREET 1: 280 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: BT NEW YORK CORP DATE OF NAME CHANGE: 19671107 SC 13G 1 NORTHEAST UTILITIES INC. BANKERS TRUST COMPANY One Bankers Trust Plaza New York, New York 10006 Clarke S. Edgar Mailing Address: Vice President P.O. Box 318 Telephone: 212-250-9399 Church Street Station New York, NY 10008 February 14, 1995 Securities and Exchange Commission SEC Document Control 450 Fifth Street, N.W. Washington, DC 20549 Attn: Filing Desk Dear Sirs: Re: Filing of Schedule 13G on Northeast Utilities Pursuant to Rule 13d-1 of the General Rules and Regulations under the Securities Exchange Act of 1934, the following is one copy of the Schedule 13G with respect to the common stock of the above referenced corporation. Please acknowledge your receipt of the Schedule 13G filing submission through the EDGAR-Link System software, by E-Mail confirmation. Sincerely, Clarke S. Edgar Enclosures SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* ____ Northeast Utilities _______________________________________ NAME OF ISSUER: Common Stock (Par Value $5.00) _______________________________________ TITLE OF CLASS OF SECURITIES 664397106 _______________________________________ CUSIP NUMBER Check the following box if a fee is being paid with this statement [X]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). (Continued on following page(s)) Page 1 of 5 Pages CUSIP No. 664397106 Page 2 of 5 Pages 1.NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Bankers Trust New York Corporation and Its Wholly Owned Subsidiary, Bankers Trust Company, as Trustee for various employee benefit plans, and investment advisor; and its indirect wholly-owned subsidiary, Bankers Trust International PLC; and its indirect wholly-owned subsidiary, BT Holdings 13-6180473 2.CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (A) [ ] (B) [X] 3.SEC USE ONLY 4.CITIZENSHIP OR PLACE OF ORGANIZATION Both Bankers Trust New York Corporation and Bankers Trust Company are New York Corporations; Bankers Trust International PLC is a London corporation; BT Holdings is a New York corporation. NUMBER OF 5. SOLE VOTING POWER SHARES 7,080,122 BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 3,262 EACH 7. SOLE DISPOSITIVE POWER REPORTING 7,872,820 PERSON 8. SHARED DISPOSITIVE POWER WITH 3,262 9.AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 7,876,082 10.CHECK BOX IF THE AGGREGATE AMOUNT IN ROW(9) EXCLUDES CERTAIN SHARES * 11.PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.3% 12.TYPE OF REPORTING PERSON * Bankers Trust New York Corporation - HC Bankers Trust Company - BK Bankers Trust International PLC - CO BT Holdings - CO 3 Item 1(a) NAME OF ISSUER: Northeast Utilities Item 1(b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 174 Brush Hill Avenue West Springfield, MA 01090-0010 Item 2(a) NAME OF PERSON FILING: Bankers Trust New York Corporation, and its wholly- owned subsidiary, Bankers Trust Company, as Trustee for various employee benefit plans, and investment advisor, and its indirect wholly-owned subsidiary, Bankers Trust International PLC, and its indirect wholly-owned subsidiary, BT Holdings . Item 2(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE: 280 Park Avenue New York, New York 10017 Item 2(c) CITIZENSHIP: Bankers Trust New York Corporation and Bankers Trust Company, as Trustee for various employee benefit plans, and investment advisor, are both corporations incorporated in the State of New York with their principal business offices located in New York. Bankers Trust International PLC is a London corporation. BT Holdings is a New York corporation Item 2(d) TITLE OF CLASS OF SECURITIES: Common Stock (Par Value $5.00) of Northeast Utilities, a Massachusetts corporation. Item 2(e) CUSIP NUMBER: 664397106 Item 3 THE PERSON FILING IS A: For Bankers Trust New York Corporation, (g) [X] Parent Holding Company, in accordance with Section 240.13d-1(b)(ii)(G) For Bankers Trust Company, For Bankers Trust International PLC For BT Holdings (b) [X] Bank as defined in section 3(a)(6) of the Act. 4 Item 4 OWNERSHIP: (a) Amount Beneficially Owned: 7,876,082 (b) Percent of Class: 6.3% (c) Number of shares as to which the Bank has: (i) sole power to vote or to direct the vote - 7,080,122 (ii) shared power to vote or to direct the vote - 3,262 (iii) sole power to dispose or to direct the disposition of - 7,872,820 (iv) shared power to dispose or to direct the disposition of - 3,262 Item 5 OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS: Not applicable. Item 6 OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON: Not applicable. Item 7 IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY: See Item 3 above. Item 8 IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP: Not applicable. 5 Item 10 CERTIFICATION: By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. SIGNATURE: After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: as of December 31, 1994 Signature: Bankers Trust New York Corporation By: /s/ James T. Byrne, Jr. Name: James T. Byrne, Jr. Title: Secretary Signature: Bankers Trust Company, as Trustee for various employee benefit plans, and investment advisor. By: /s/ James T. Byrne, Jr. Name: James T. Byrne, Jr. Title: Secretary Signature: Bankers Trust International, PLC /s/Brian E. Walsh By: Brian E. Walsh Title: Managing Director Signature: BT Holdings /s/Duncan P. Hennes By: Duncan P. Hennes Title: Managing Director -----END PRIVACY-ENHANCED MESSAGE-----