-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Njm0mrKa2gBMxcuyZu5XMUeVXw1weRgRmli+Lc+JfXRGuoawoa+qaJ5z5FVFK6Bd 6Sd7fYTG0GzYxvCoRUHngQ== 0000927016-99-000474.txt : 19990211 0000927016-99-000474.hdr.sgml : 19990211 ACCESSION NUMBER: 0000927016-99-000474 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990210 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NORTHEAST UTILITIES SYSTEM 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/A SEC ACT: SEC FILE NUMBER: 005-42665 FILM NUMBER: 99527656 BUSINESS ADDRESS: STREET 1: 174 BRUSH HILL AVE CITY: WEST SPRINGFIELD STATE: MA ZIP: 01090-0010 BUSINESS PHONE: 4137855871 MAIL ADDRESS: STREET 1: 107 SELDON ST CITY: BERLIN STATE: CT ZIP: 06037-1616 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BARROW HANLEY MEWHINNEY & STRAUSS INC CENTRAL INDEX KEY: 0000313028 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 752403190 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 3232 MCKINNEY AVE STREET 2: 5TH FLOOR CITY: DALLAS STATE: TX ZIP: 75204-2429 BUSINESS PHONE: 2146651900 MAIL ADDRESS: STREET 1: 3232 MCKINNEY AVE STREET 2: 15TH FLOOR CITY: DALLAS STATE: TX ZIP: 75204-2429 SC 13G/A 1 SCHEDULE 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* Northeast Utilities ------------------------------------------------------- (Name of Issuer) Common Stock ------------------------------------------------------- (Title of Class of Securities) 664397106 ------------------------------------------------------- (CUSIP Number) January 4, 1999 ------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1(b) [ ] Rule 13d-1(c) [ ] Rule 13d-1(d) *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 disclosures provided in a prior cover page. The information required on 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). Page 1 of 4 Pages - --------------------- CUSIP No. 664397106 13G - --------------------- - --------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Barrow, Hanley, Mewhinney & Strauss, Inc. 752403190 - --------------------------------------------------------------------------- (a) [ ] 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (b) [ ] - --------------------------------------------------------------------------- 3. SEC USE ONLY - --------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION A Nevada corporation - --------------------------------------------------------------------------- 5. SOLE VOTING POWER NUMBER OF 10,182,768 shares SHARES --------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 3,817,220 shares EACH --------------------------------------------------------- REPORTING 7. SOLE DISPOSITIVE POWER PERSON 13,999,988 shares WITH --------------------------------------------------------- 8. SHARED DISPOSITIVE POWER --- - --------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 13,999,988 shares - --------------------------------------------------------------------------- 10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES [ ] CERTAIN SHARES (See Instructions) - --------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 10.2% - --------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON (See Instructions) IA - --------------------------------------------------------------------------- Page 2 of 4 Pages SCHEDULE 13G - ------------ Item 1(a) Name of Issuer: Northeast Utilities 1(b) Address of Issuer's Principal Executive Offices: 174 Brush Hill Ave. West Springfield, MA 01090 Item 2(a) Name of Person Filing: Barrow, Hanley, Mewhinney & Strauss, Inc. 2(b) Address of Principal Business Office or, if none, Residence: One McKinney Plaza 3232 McKinney Avenue, 15th Floor Dallas, TX 75204-2429 2(c) Citizenship: A Nevada corporation 2(d) Title of Class of Securities: Common Stock 2(e) CUSIP Number: 664397106 Item 3 If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b): The reporting person is an Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940. Item 4 Ownership: 4(a) Amount beneficially owned: 13,999,988 shares 4(b) Percent of Class: 10.2% 4(c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 10,182,768 shares Page 3 of 4 Pages (ii) Shared power to vote or to direct the vote: 3,817,220 shares (iii) Sole power to dispose or to direct the disposition of: 13,999,988 shares (iv) Shared power to dispose or to direct the disposition of: -- 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: The right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the common stock is held by certain clients of the reporting person, none of which has such right or power with respect to five percent or more of the common stock. Item 7 Identification and Classification of the Subsidiary which Acquired the Security Being Reported on by the Parent Holding Company: Not Applicable. Item 8 Identification and Classification of Members of the Group: Not Applicable. Item 9 Notice of Dissolution of Group: Not Applicable. Item 10 Certification: By signing below the undersigned certifies that, to the best of its 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. After reasonable inquiry and to the best of its knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct. BARROW, HANLEY, MEWHINNEY & STRAUSS, INC. By: /s/ Bryant M. Hanley, Jr. Name: Bryant M. Hanley, Jr. Title: President February 9, 1999 Page 4 of 4 Pages -----END PRIVACY-ENHANCED MESSAGE-----