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EVERSOURCE ENERGY Director's Dealing 2014

Jan 23, 2014

30196_dirs_2014-01-23_0a01a5c1-174b-4d85-904f-93e8019a4204.zip

Director's Dealing

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SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: NORTHEAST UTILITIES (NU)
CIK: 0000072741
Period of Report: 2014-01-21

Reporting Person: NOLAN JOSEPH R JR (SVP-Corporate Relations)

Non-Derivative Transactions

Date Security Code Shares Price A/D Holdings After Ownership
2014-01-21 Common Shares, $5.00 par value M 6560 $24.74 Acquired 63249 Direct
2014-01-21 Common Shares, $5.00 par value M 13995 $25.93 Acquired 77244 Direct
2014-01-21 Common Shares, $5.00 par value M 18368 $26.90 Acquired 95612 Direct
2014-01-21 Common Shares, $5.00 par value S 38923 $43.001 Disposed 56689 Direct

Derivative Transactions

Date Security Exercise Price Code Shares A/D Expiration Underlying Ownership
2014-01-21 Employee Stock Option (Right to Buy) $24.74 M 6560 Disposed 2018-01-24 Common Shares, $5.00 par value (6560) Direct
2014-01-21 Employee Stock Option (Right to Buy) $25.93 M 13995 Disposed 2019-01-22 Common Shares, $5.00 par value (13995) Direct
2014-01-21 Employee Stock Option (Right to Buy) $26.90 M 18368 Disposed 2020-01-28 Common Shares, $5.00 par value (18368) Direct

Holdings (Non-Derivative)

Security Shares Ownership
Common Shares, $5.00 par value 15109 Indirect

Holdings (Derivative)

Security Exercise Price Expiration Underlying Shares Ownership
Phantom Shares $ Common Shares, $5.00 par value (48984) 48984 Direct

Footnotes

F1: Includes restricted share units and dividend equivalents thereon.

F2: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 2, 2013.

F3: The price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.00 to $43.02, 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 number of shares sold within the range set forth above.

F4: 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.

F5: Reporting Person's deferred compensation under the NSTAR Deferred Plan which was merged into the NU Deferred Compensation Plan effective January 1, 2014, which deferred compensation is nominally invested as common shares. Each phantom share represents the right to receive one NU Common share upon a distribution event, following vesting. Additional phantom shares are issued upon the automatic reinvestment of dividend equivalents exempt from the line item reporting under SEC Rule 16a-11.