0001127602-13-033234.txt : 20131202 0001127602-13-033234.hdr.sgml : 20131202 20131202140501 ACCESSION NUMBER: 0001127602-13-033234 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131127 FILED AS OF DATE: 20131202 DATE AS OF CHANGE: 20131202 ISSUER: 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 BUSINESS ADDRESS: STREET 1: ONE FEDERAL STREET STREET 2: BUILDING 111-4 CITY: SPRINGFIELD STATE: MA ZIP: 01105 BUSINESS PHONE: 8606655000 MAIL ADDRESS: STREET 1: 107 SELDEN ST CITY: BERLIN STATE: CT ZIP: 06037-1616 FORMER COMPANY: FORMER CONFORMED NAME: NORTHEAST UTILITIES SYSTEM DATE OF NAME CHANGE: 19961121 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: McHale David R CENTRAL INDEX KEY: 0001313990 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05324 FILM NUMBER: 131251434 MAIL ADDRESS: STREET 1: NORTHEAST UTILITIES STREET 2: 56 PROSPECT STREET CITY: HARTFORD STATE: CT ZIP: 06103 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2013-11-27 0000072741 NORTHEAST UTILITIES NU 0001313990 McHale David R C/O NORTHEAST UTILITIES 56 PROSPECT STREET HARTFORD CT 06103 1 EVP and Chief Admin Off Common Shares, $5.00 par value 2013-11-27 4 S 0 5500 41.1507 D 169197 D Common Shares, $5.00 par value 2013-11-27 5 G 0 E 4458 0 D 164739 D Common Shares, $5.00 par value 6879 I By 401(k) Plan Trustee Phantom Shares Common Shares, $5.00 par value 825 825 D The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.150 to $41.155, inclusive. The reporting person undertakes to provide Northeast Utilities, any security holder of Northeast Utilities, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. Includes shares and restricted share units and dividend equivalents thereon. 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. The reporting person holds phantom shares of NU common under the Northeast Utilities Deferred Compensation Plan for Executives, a non-qualified plan (the DCP), made as matching contributions under the DCP. Each phantom share represents the right to receive the cash value of one share of NU Common 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 for 16a-11. /s/ Kerry J. Tomasevich, attorney-in-fact for Mr. McHale 2013-12-02 EX-24 2 doc1.txt POWER OF ATTORNEY (PUBLIC): EXHIBIT 24 EXHIBIT 24 POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints each of Gregory B. Butler, Richard J. Morrison, Kerry J. Tomasevich, and Matthew Benson, signing singly, as his true and lawful attorney-in-fact to: (1) Obtain necessary EDGAR access codes and execute for and on behalf of the undersigned Forms 144 under the Securities Act of 1933 and Rule 144 promulgated thereunder, and Forms 3, 4 and 5 in accordance with Section 16(a) of the Securities Exchange Act of 1934 and the rules thereunder; (2) Do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete the execution of any such Form 144 and Form 3, 4 and 5 and the timely filing of such form with the United States Securities and Exchange Commission and any other authority; and (3) Take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in his discretion. The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform all and every act and thing whatsoever requisite, necessary and proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as such attorney-in-fact might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or his substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming any of the undersigned's responsibilities to comply with Rule 144 of the Securities Act of 1933 and/or Section 16 of the Securities Exchange Act of 1934. IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of April 2, 2013. /S/ DAVID R. MCHALE David R. McHale State of Massachusetts County of Suffolk On this 2nd day of April, 2013, before me personally appeared David R. McHale, to me known to be the person described in and who executed the foregoing instrument, and acknowledged that he executed the same as his free act and deed. /S/ RICHARD J. MORRISON Notary Public Print Name: Richard J. Morrison My commission expires: January 31, 2014