FORM U-12(I)-B (THREE-YEAR STATEMENT)
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C.
Three-Year Period Ending 2002
FORM U-12(I)-B (Three-Year Statement)
STATEMENT PURSUANT TO SECTION 12(i) OF PUBLIC UTILITY HOLDING COMPANY ACT OF
1935 BY A PERSON REGULARLY EMPLOYED OR RETAINED BY A REGISTERED HOLDING
COMPANY OR A SUBSIDIARY THEREOF AND WHOSE EMPLOYMENT CONTEMPLATES ONLY
ROUTINE EXPENSES AS SPECIFIED IN RULE U-71(b).
(To be filed in DUPLICATE. If acknowledgment is desired, file in triplicate)
(SEE INSTRUCTIONS ON BACK OF THIS FORM)
1. Name and business address of person filing statement.
John J. Roman, Vice President and Controller
Northeast Utilities Service Company
P.O. Box 270, Hartford, Connecticut 06141-0270
2. Name and business addresses of any persons through whom the undersigned
proposes to act in matters included within the exemption provided by
paragraph (b) of Rule U-71.
None.
3. Registered holding companies and subsidiary companies by which the
undersigned is regularly employed or retained.
Northeast Utilities Service Company, a subsidiary of Northeast Utilities.
The Northeast Utilities Service Company provides services for Northeast
Utilities and its subsidiaries.
4. Position or relationship in which the undersigned is employed or retained
by each of the companies named in item 3, and brief description of nature
of services to be rendered in each such position or relationship.
The undersigned is Vice President and Controller of Northeast Utilities
Service Company. He will represent Northeast Utilities system companies, as
and when appropriate, in connection with the issuance of securities, rate
matters, affiliations, acquisitions and dispositions, the licensing of
hydroelectric projects, and other matters before the Securities and Exchange
Commission, the Department of Energy and Congress or some of such bodies.
5. (a) Compensation received during the current year and estimated to be
received over the next two calendar years by the undersigned or others,
directly or indirectly, for services rendered by the undersigned, from
each of the companies designated in item 3. (Use column (a) as
supplementary statement only.)
Name of Recipient Salary or other Compensation Person or company
from whom received
to be received or to be received
(a) (b)
John J. Roman To be included To be included Northeast Utilities
in supplemental in supplemental Service Company
statement. statement.
(b) Basis for compensation if other than salary.
6. (To be answered in supplementary statement only. See instructions.)
Expenses incurred by the undersigned or any person named in Item 2,
above, during the calendar year in connection with the activities
described in Item 4, above, and the source or sources of reimbursement
for same.
(a) Total amount of routine expenses charged to client: $ None
(b) Itemized list of all other expenses: No other expenses.
Date 1/26/99 (Signed) /s/ John J. Roman
