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FORM 4 |
UNITED STATES SECURITIES
AND EXCHANGE COMMISSION
| OMB APPROVAL |
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Check this box if no longer subject 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*
Shivery, Charles W. |
2. Issuer Name and
Ticker or Trading Symbol
NORTHEAST UTILITIES (NU) |
6. Relationship of
Reporting Person(s) to Issuer (Check all applicable) Director 10% Owner X Officer (give title below) Other (specify below) President - Competitive Group and Officer |
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(Last)
(First) (Middle)
c/o Northeast Utilities |
3. I.R.S. Identification
Number of Reporting
| 4. Statement for Month/Day/Year 1/31/2003 |
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(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)
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Table I Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
1. Title of Security |
2.Trans- |
2A. Deemed |
3. Trans- |
4. Securities Acquired
(A) or Disposed of (D) |
5. Amount of |
6. Ownership |
7. Nature of Indirect
Code
V
Amount
(A) or (D)
Price
Common Shares, $5 par value 1/31/2003 A 492 shs A N/A 492 shs I Deferred Comp Plan Common Shares, $5 par value 2/3/2003 P V 1,000 shs A $14.23 1,500 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 |
1. Title of Derivative
Security |
2. Conversion |
3. Transaction |
3A. Deemed Execution Date, if any (Month/ Day/ Year) |
4. Trans- |
5. Number of Derivative
Securities |
6. Date Exercisable |
7. Title and Amount
of Underlying Securities |
8. Price of |
9. Number of |
10. Ownership Form of Derivative |
11. Nature of |
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Code |
V |
(A) |
(D) |
Date Exer-cisable |
Expira- |
Title |
Amount or Number
of |
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Options to Purchase |
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29,024 |
D |
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Explanation of Responses:
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/s/ Charles W. Shivery **Signature of Reporting Person |
February 3, 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 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. |