EVERSOURCE ENERGY — Director's Dealing 2002

Nov 4, 2002

4 1 mor0211014.htm MORRIS FORM 4 11-04-02 Form 4

| | FORM 4 | UNITED STATES SECURITIES
AND EXCHANGE COMMISSION Washington, D.C. 20549 | OMB APPROVAL |
| --- | --- | --- | --- |
| |_| | Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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 | OMB Number: 3235-0287 Expires: January 31, 2005 Estimated average burden hours per response. . .0.5 |

| 1. Name and Address
of Reporting Person Morris, Michael G. — (Last)
(First) (Middle) c/o Northeast Utilities 107 Selden Street | 2. Issuer Name and Ticker or Trading Symbol NORTHEAST UTILITIES (NU) — 3. I.R.S. Identification
Number of Reporting Person, if an entity (voluntary) | 4. Statement for Month/Day/Year 11/1/2002 | 6. Relationship of
Reporting Person(s) to Issuer (Check all applicable) X Director 10% Owner X Officer (give title below) Other (specify below) Chairman of the Board, President and Chief Executive Officer *Trustee | | |
| --- | --- | --- | --- | --- | --- |
| (Street) Berlin, CT 06037 | | 5. If Amendment, Date of Original (Month/Day/Year) | 7. Individual
or Joint/Group Filing (Check Applicable Line) X Form filed by One Reporting Person Form filed by More than One Reporting Person (City) (State) (Zip) Table
I — Non-Derivative Securities Acquired, Disposed of, or Beneficially
Owned | (City) (State) (Zip) | Table
I — Non-Derivative Securities Acquired, Disposed of, or Beneficially
Owned |
| (City) (State) (Zip) | Table
I — Non-Derivative Securities Acquired, Disposed of, or Beneficially
Owned | | | | |

| 1. Title of Security (Instr. 3) | 2.Trans- action Date (Month/ Day/ Year) | 3. Trans- action Code (Instr. 8) | | 4. Securities Acquired
(A) or Disposed of (D) (Instr. 3, 4 & 5) | | | 5. Amount of Securities Beneficially Owned Following Reported Transactions(s) (Instr. 3 & 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) Code V Amount (A) or (D) Price Common Shares, $5 par value &nbsp &nbsp 1,007 shs See Note 1 I By 401k Trustee Common Shares, $5 par value 4,531 shs See Note 2 I Deferred Comp Plan Common Shares, $5 par value 2/23/2002 J V 2,214 shs See Note 3 D $18.60 Common Shares, $5 par value 2/25/2002 A V 23,407 shs See Note 4 A $18.58 72,483 shs D | (A) or (D) | Common Shares, $5 par value | | | | Common Shares, $5 par value | | | | | | | 4,531 shs See Note 2 | I | Deferred Comp Plan | J | V | D | $18.60 | | | | Common Shares, $5 par value | 2/25/2002 |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| | | Code | V | Amount | (A) or (D) | Price Common Shares, $5 par value &nbsp &nbsp 1,007 shs See Note 1 I By 401k Trustee Common Shares, $5 par value 4,531 shs See Note 2 I Deferred Comp Plan Common Shares, $5 par value 2/23/2002 J V 2,214 shs See Note 3 D $18.60 Common Shares, $5 par value 2/25/2002 A V 23,407 shs See Note 4 A $18.58 72,483 shs D | Common Shares, $5 par value | | &nbsp | &nbsp | 1,007 shs See Note 1 | I | By 401k Trustee | Common Shares, $5 par value | 4,531 shs See Note 2 | I | Deferred Comp Plan | Common Shares, $5 par value | 2/23/2002 | J | V | 2,214 shs See Note 3 | D | $18.60 | Common Shares, $5 par value | 2/25/2002 | A | V | 23,407 shs See Note 4 | A | $18.58 | 72,483 shs | D |
| Common Shares, $5 par value | | | | &nbsp | &nbsp | | 1,007 shs See Note 1 | I | By 401k Trustee | | | | | | | | | | | | | | | | | | | | | | | | |
| Common Shares, $5 par value | | | | | | | 4,531 shs See Note 2 | I | Deferred Comp Plan | | | | | | | | | | | | | | | | | | | | | | | | |
| Common Shares, $5 par value | 2/23/2002 | J | V | 2,214 shs See Note 3 | D | $18.60 | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| Common Shares, $5 par value | 2/25/2002 | A | V | 23,407 shs See Note 4 | A | $18.58 | 72,483 shs | D | | | | | | | | | | | | | | | | | | | | | | | | | |

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 4(b)(v). 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

FORM 4 (continued) Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)

| 1. Title of Derivative
Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/ Day/ Year) | 4. Trans- action Code (Instr. 8) | | 5. Number of Derivative
Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 & 5) | | 6. Date Exercisable and Expiration Date (Month/Day/Year) | | 7. Title and Amount
of Underlying Securities (Instr. 3 & 4) | | 8. Price of Derivative Security (Instr. 5) |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| | | | Code | V | (A) | (D) | Date Exer-cisable | Expira- tion Date | Title | Amount or Number
of Shares | |
| Options to Purchase | $18.45 | 2/25/2002 | A | V | 130,600 | | See Note 5 | 2/25/ 2012 | NU Common Shares, $5 par | 130,600 | N/A |

Explanation of Responses: Note 1. Shares held in trust under the Northeast Utilities Service Company 401k Plan, a qualified plan,as of October 31, 2002, according to information suppled by the plan's recordkeeper. Note 2. Shares receipt of which has been deferred pursuant to the Northeast Utilities Deferred Compensation Plan for Executives, an excess benefit plan, as of October 31, 2002, according to information supplied by the plan's recordkeeper. Note 3. Disposition of restricted shares to satisfy tax obligation upon vesting. Note 4. Grant of restricted shares, vesting one-third on each of 2/25/2003, 2/25/2004, and 2/25/2005. Note 5. One-third on each of 2/25/2003, 2/25/2004, and 2/25/2005. Note 6. Vests on 8/20/2007, absent earlier termination. Earlier pro rata vesting in the event of death, involuntary termination without cause, or termination following change of control.

/s/ Michael G. Morris **Signature of Reporting Person November 4, 2002 Date

**Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, See Instruction 6 for procedure. 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 Number.