EVERSOURCE ENERGY — Director's Dealing 2003

Feb 13, 2003

5 1 kenyonform5030213.htm FORM 5 Form 5

| FORM 5 | UNITED STATES SECURITIES
AND EXCHANGE COMMISSION Washington, D.C. 20549 | OMB APPROVAL |
| --- | --- | --- |
| | X | Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). || Form 3 Holdings Reported || Form 4 Transactions Reported | ANNUAL STATEMENT OF CHANGES 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: 3235-0362 Expires: January 31, 2005 Estimated average burden hours per response. . .1.0 |

| 1. Name and Address
of Reporting Person Kenyon Bruce D. | | 2. Issuer Name and Ticker or Trading Symbol NORTHEAST UTILITIES (NU) | | | | 6. Relationship of
Reporting Person(s) to Issuer (Check all applicable) X Director 10% Owner X Officer (give title below) Other (specify below) President - Generation Group (until 12/31/2002) *of certain subsidiaries (until 12/31/2002) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| (Last) (First) (Middle) c/o Northeast Utilities 107 Selden Street | | 3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary) | | | 4. Statement for Month/Year as of 12/31/2002 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| (Street) Berlin, CT 06037 | | | | | 5. If Amendment, Date of Original (Month/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 1. Title of Security (Instr. 3) 2. Transaction Date (Month/ Day/Year) 2A. Deemed Execution Date, if any (Month/ Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired
(A) or Disposed of (D) (Instr. 3, 4 & 5) 5. Amount of Securities Beneficially Owned at the end of Issuer's Fiscal Year (Instr. 3 & 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4) Amount (A) or (D) Price Common Shares, $5 par value 1/2/2002 I 1,667 shs D $18.00 5,435 shs See Note 1 I By 401k Plan trustee Common Shares, $5 par value &nbsp &nbsp 20,472 shs See Note 2 I Deferred Comp Plan Common Shares, $5 par value 2/23/2002 F 572 shs See Note 3 D $18.60 61,682 shs See Note 4 D | | | | (City) (State) (Zip) | | Table
I — Non-Derivative Securities Acquired, Disposed of, or Beneficially
Owned | | | | | | | | 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/ Day/Year) | 2A. Deemed Execution Date, if any (Month/ Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired
(A) or Disposed of (D) (Instr. 3, 4 & 5) | | 5. Amount of Securities Beneficially Owned at the end of Issuer's Fiscal Year (Instr. 3 & 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) Amount (A) or (D) Price Common Shares, $5 par value 1/2/2002 I 1,667 shs D $18.00 5,435 shs See Note 1 I By 401k Plan trustee Common Shares, $5 par value &nbsp &nbsp 20,472 shs See Note 2 I Deferred Comp Plan Common Shares, $5 par value 2/23/2002 F 572 shs See Note 3 D $18.60 61,682 shs See Note 4 D | Amount | (A) or (D) | Price Common Shares, $5 par value 1/2/2002 I 1,667 shs D $18.00 5,435 shs See Note 1 I By 401k Plan trustee Common Shares, $5 par value &nbsp &nbsp 20,472 shs See Note 2 I Deferred Comp Plan Common Shares, $5 par value 2/23/2002 F 572 shs See Note 3 D $18.60 61,682 shs See Note 4 D | Common Shares, $5 par value | 1/2/2002 | | I | 1,667 shs | D | $18.00 | 5,435 shs See Note 1 | I | By 401k Plan trustee | Common Shares, $5 par value | &nbsp | &nbsp | 20,472 shs See Note 2 | I | Deferred Comp Plan | Common Shares, $5 par value | 2/23/2002 | F | 572 shs See Note 3 | D | $18.60 | 61,682 shs See Note 4 | D |
| (City) (State) (Zip) | | Table
I — Non-Derivative Securities Acquired, Disposed of, or Beneficially
Owned | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/ Day/Year) | 2A. Deemed Execution Date, if any (Month/ Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired
(A) or Disposed of (D) (Instr. 3, 4 & 5) | | | 5. Amount of Securities Beneficially Owned at the end of Issuer's Fiscal Year (Instr. 3 & 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) Amount (A) or (D) Price Common Shares, $5 par value 1/2/2002 I 1,667 shs D $18.00 5,435 shs See Note 1 I By 401k Plan trustee Common Shares, $5 par value &nbsp &nbsp 20,472 shs See Note 2 I Deferred Comp Plan Common Shares, $5 par value 2/23/2002 F 572 shs See Note 3 D $18.60 61,682 shs See Note 4 D | Amount | (A) or (D) | Price Common Shares, $5 par value 1/2/2002 I 1,667 shs D $18.00 5,435 shs See Note 1 I By 401k Plan trustee Common Shares, $5 par value &nbsp &nbsp 20,472 shs See Note 2 I Deferred Comp Plan Common Shares, $5 par value 2/23/2002 F 572 shs See Note 3 D $18.60 61,682 shs See Note 4 D | Common Shares, $5 par value | 1/2/2002 | | I | 1,667 shs | D | $18.00 | 5,435 shs See Note 1 | I | By 401k Plan trustee | Common Shares, $5 par value | | | &nbsp | &nbsp | | 20,472 shs See Note 2 | I | Deferred Comp Plan | Common Shares, $5 par value | 2/23/2002 | | F | 572 shs See Note 3 | D | $18.60 | 61,682 shs See Note 4 | D | | | | | | | | | | | | | | | |
| | | | | Amount | (A) or (D) | Price Common Shares, $5 par value 1/2/2002 I 1,667 shs D $18.00 5,435 shs See Note 1 I By 401k Plan trustee Common Shares, $5 par value &nbsp &nbsp 20,472 shs See Note 2 I Deferred Comp Plan Common Shares, $5 par value 2/23/2002 F 572 shs See Note 3 D $18.60 61,682 shs See Note 4 D | | | | Common Shares, $5 par value | 1/2/2002 | | I | 1,667 shs | D | $18.00 | 5,435 shs See Note 1 | I | By 401k Plan trustee | Common Shares, $5 par value | | | | &nbsp | &nbsp | 20,472 shs See Note 2 | I | Deferred Comp Plan | Common Shares, $5 par value | 2/23/2002 | | F | 572 shs See Note 3 | D | $18.60 | 61,682 shs See Note 4 | D | | | | | | | | | | | | | | | | | | |
| Common Shares, $5 par value | 1/2/2002 | | I | 1,667 shs | D | $18.00 | 5,435 shs See Note 1 | I | By 401k Plan trustee | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| Common Shares, $5 par value | | | | &nbsp | &nbsp | | 20,472 shs See Note 2 | I | Deferred Comp Plan | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| Common Shares, $5 par value | 2/23/2002 | | F | 572 shs See Note 3 | D | $18.60 | 61,682 shs See Note 4 | D | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |

• If the form is filed by more than one reporting person, see Instruction 4(b)(v).

FORM 5 (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) — Options to Purchase | $18.58 | 6. Date Exercis- able and Expiration Date (Month/ Day/Year) — 2/25/2002 | 7. Title and Amount
of Underlying Securities (Instr. 3 & 4) — A | 23,800 |
| --- | --- | --- | --- | --- |

Explanation of Responses: Note 1. Shares held in trust under the Northeast Utilities Service Company 401k Plan, a qualified plan, as of January 31, 2003, 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, as of January 31, 2003, according to information supplied by the plan's recordkeeper. Note 3. Disposition of restricted shares to satisfy tax obligation upon vesting. Note 4. Includes dividend reinvestment shares. Note 5. One-third on each of 2/25/2003, 2/25/2004, and 2/25/2005.

/s/ Bruce D. Kenyon, by O. Kay Comendul POA **Signature of Reporting Person February 7, 2003 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 provided is insufficient, see Instruction 6 for procedure.