UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
GENERAL INSTRUCTIONS
A. Use of Form
1. A reporting company, as defined herein, shall file a report on this form within 60 days after the end of each of the first three quarters, and within 90 days after the end of the fourth quarter, of the fiscal year of the registered holding company. The period beginning on the date of effectiveness of rule 58 and ending at the end of the quarter following the quarter in which the rule becomes effective shall constitute the initial period for which any report shall be filed, if applicable.
2. The requirement to provide specific information by means of this form supersedes and replaces any requirement by order of the Commission to provide identical information by means of periodic certificates under rule 24; but does not so supersede and replace any requirement by order to provide information by means of an annual report on Form U-13-60.
3. Information with respect to reporting companies that is required by Form U-13-60 shall be provided exclusively on that form.
4. Notwithstanding the specific requirements of this form, the Commission may informally request such further information as, in its opinion, may be necessary or appropriate.
B. Statements of Monetary Amounts and Deficits
1. Amounts included in this form and in related financial statements may be expressed in whole dollars, thousands of dollars or hundred thousands of dollars.
2. Deficits and other similar entries shall be indicated by either brackets or parentheses. An explanation should be provided by footnote.
C. Formal Requirements
This form, including exhibits, shall be filed with the Commission electronically pursuant to Regulation S-T (17 CFR 232.10 et seq.). A conformed copy of each such report shall be filed with each state commission having jurisdiction over the retail rates of a public-utility company that is an associate company of a reporting company. Each report shall provide the name and telephone number of the person to whom inquiries concerning the report should be directed.
D. Definitions
As used in this form, the word "reporting company" means an energy-related company or gas-related company, as defined in rule 58(b). All other words and terms have the same meaning as in the Public Utility Holding Company Act of 1935, as amended, and the rules and regulations thereunder.
ITEM 1 - ORGANIZATION CHART
Instructions.
1. Complete Item 1 only for the first three calendar quarters of the fiscal year of the registered holding company.
2. Under the caption "Name of Reporting Company," list each energy-related and gas-related company and each system company that directly or indirectly holds securities thereof. Add the designation "(new)" for each reporting company of which securities were acquired during the period, and the designation "(*)" for each inactive company.
3. Under the caption "Percentage of Voting Securities Held," state the aggregate percentage of the outstanding voting securities of the reporting company held directly or indirectly by the registered holding company at the end of the quarter.
4. Provide a narrative description of each reporting company's activities during the reporting period.
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State of |
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LNG Storage Partners |
Holding |
CT |
(B) |
16.2% by |
LNG Marketing Partners |
Holding |
CT |
(C) |
10% by |
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State of |
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Energetix, Inc. |
Electricity and |
NY |
(E) |
100% by |
RGS Development |
* |
NY |
(F) |
100% by |
Connecticut Energy Corporation |
Holding |
CT |
(G) |
100% by |
CNE Energy Services |
Energy products |
CT |
(H) |
100% by Connecticut |
Total Peaking |
Natural gas |
DE |
(I) |
100% by |
Nth Power Technologies |
Energy-related |
CA |
(J) |
7.9% by CNE Energy |
CNE Peaking, LLC |
Firm in-market |
DE |
(K) |
100% by |
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State of |
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New Hampshire Gas |
Natural gas |
NH |
(M) |
100% by Energy |
Seneca Lake Storage, Inc. |
Natural gas |
NY |
(N) |
100% by |
The Energy Network, Inc. |
Energy-related |
DE |
(O) |
100% by Energy East Corporation |
Energy East Solutions, Inc. |
Electricity and |
DE |
(P) |
100% by |
NYSEG Solutions, Inc. |
Electricity and natural gas marketer |
NY |
(Q) |
100% by Energy |
Cayuga Energy, Inc. |
Energy-related |
DE |
(R) |
100% by |
PEI Power II, LLC |
Peaking |
PA |
(S) |
50.1% by Cayuga |
Carthage Energy, LLC |
Peaking |
NY |
(T) |
100% by Cayuga |
South Glens Falls Energy, LLC |
Peaking generation |
NY |
(U) |
85% by Cayuga |
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State of |
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TEN Companies, Inc. |
Energy services |
CT |
(W) |
100% by |
The Hartford |
Heating and |
CT |
(X) |
100% by |
TEN Transmission |
Natural gas |
CT |
(Y) |
100% by |
CMP Group, Inc. |
Holding |
ME |
(Z) |
100% by |
Union Water |
Utility services |
ME |
(AA) |
100% by |
* Inactive company
Notes Continued for Item 1:
(H) CNE Energy Services Group, Inc. has an interest in two small natural gas pipelines that serve power plants in Connecticut. CNE Energy Services Group, Inc. also leases a liquefied natural gas plant that serves the peaking gas markets in the Northeast and has an equity interest in an energy technology venture partnership.
(I) Total Peaking Services, LLC is a natural gas storage company.
(J) Nth Power Technologies Fund I, LP is an energy-related investment partnership.
(K) CNE Peaking, LLC is a firm in-market gas supply source.
(L) Energy East Enterprises, Inc. is an energy-related investment company that has natural gas companies in New Hampshire, New York and Maine.
(M) New Hampshire Gas Corporation is a natural gas company that serves customers in a small area in New Hampshire.
(N) Seneca Lake Storage, Inc. is a natural gas storage company in New York.
(O) The Energy Network, Inc. is an energy-related investment company that owns several natural gas marketing and telecommunication companies.
(P) Energy East Solutions, Inc. sells electricity and natural gas in wholesale and retail markets in the Northeast and Mid-Atlantic regions. On October 1, 2004, Energy East Solutions, inc. completed the sale of its New England and Pennsylvania natural gas customer contracts and related assets.
(Q) NYSEG Solutions, Inc. markets electricity and natural gas in central New York.
(R) Cayuga Energy, Inc. owns an electric generation facility that sells power in the New York Independent System Operator and PJM Interconnection, LLC wholesale markets at time of high demand.
(S) PEI Power II, LLC is a peaking generation company in Pennsylvania.
(T) Carthage Energy, LLC is a peaking generation company in New York.
(U) South Glens Falls Energy, LLC is a peaking generation company in New York.
(V) CTG Resources, Inc. is a public utility holding company organized under the laws of the State of Connecticut.
(W) TEN Companies, Inc. owns and manages a district heating and cooling network in Hartford, Connecticut.
(X) The Hartford Steam Company is a heating and cooling company in Hartford, Connecticut.
(Y) TEN Transmission Company is a natural gas transmission company in Hartford, Connecticut.
(Z) CMP Group, Inc. is a public utility holding company organized under the laws of the State of Maine. CMP Group, Inc. became the holding company of Central Maine Power Company in 1999.
(AA) Union Water Power Company is a utility services company providing construction, pole setting and other energy services. On July 26, 2004, Union Water Power Company sold all of the assets related to its pole setting and utility locating businesses.
ITEM 2 - ISSUANCES AND RENEWALS OF SECURITIES AND CAPITAL CONTRIBUTIONS
Instructions.
With respect to a transaction with an associate company, report only the type and principal amount of securities involved.
Refer to Energy East Corporation's filing on Form U-6B-2 for the quarter ended September 30, 2004, for Cayuga Energy, Inc. and South Glens Falls Energy, LLC. In addition to the Form U-6B-2 the following capital contribution occurred in the quarter:
Company |
Energy-Related |
Amount of |
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ITEM 3 - ASSOCIATE TRANSACTIONS
Part I - Transactions performed by reporting companies on behalf of associate companies
Instructions.
1. This item is used to report the performance during the quarter of contracts among reporting companies and their associate companies, including other reporting companies, for service, sales and construction. A copy of any such contract not filed previously should be provided as an exhibit pursuant to Item 6.B.
Reporting |
Associate |
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CNE Energy |
TEN |
Support |
$5,451 |
- |
- |
$5,451 |
CNE Energy |
CNE Peaking, |
Marketing / |
$28,792 |
- |
- |
$28,792 |
CNE |
Southern |
Natural Gas |
$1,536,632 |
- |
- |
$1,536,632 |
Reporting |
Associate |
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Energy East |
PEI Power II, |
Gas Supply |
$445,895 |
- |
- |
$445,895 |
PEI Power II, |
NYSEG |
Electric |
$107,546 |
- |
- |
$107,546 |
Hartford |
Connecticut |
Steam |
$21,844 |
- |
- |
$21,844 |
Part II - Transactions performed by associate companies on behalf of reporting companies
Associate |
Reporting |
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Connecticut |
TEN Companies, |
Operational |
$45,940 |
- |
- |
$45,940 |
Connecticut |
TEN Companies, |
Property Rental |
$25,839 |
- |
- |
$25,839 |
Rochester Gas |
Energetix, Inc. |
Operational |
$89,686 |
- |
- |
$89,686 |
Associate |
Reporting |
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Southern |
Total Peaking |
Rents / Support |
$167,637 |
- |
- |
$167,637 |
Southern |
CNE Energy |
Support Services |
$31,923 |
$11,576 |
- |
$43,499 |
Southern |
CNE Energy |
Rent |
$19,932 |
- |
- |
$19,932 |
TEN |
CNE Energy |
Management |
$15,000 |
- |
- |
$15,000 |
Rochester Gas |
Energetix, Inc. |
Gas and |
$13,548 |
- |
- |
$13,548 |
Energy East |
Energetix, Inc. |
Gas Supply |
$1,929,903 |
- |
- |
$1,929,903 |
Rochester Gas |
Energetix, Inc. |
Gas Storage |
$3,944,965 |
- |
- |
$3,944,965 |
Rochester Gas |
Energetix, Inc. |
Support |
$88,953 |
- |
- |
$88,953 |
NYSEG |
Energetix, Inc. |
Electric |
$106,117 |
- |
- |
$106,117 |
New York State |
Energy East |
Gas Supply |
$4,767 |
- |
- |
$4,767 |
Associate |
Reporting |
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South Glens |
NYSEG |
Electric |
$377,969 |
- |
- |
$377,969 |
Carthage Energy, LLC |
NYSEG |
Electric Supply |
$936,852 |
- |
- |
$936,852 |
New York |
NYSEG |
Support |
- |
$979,376 |
- |
$979,376 |
NYSEG |
South Glens |
Gas Supply |
$988,758 |
- |
- |
$988,758 |
NYSEG |
Carthage |
Gas Supply |
$210,175 |
- |
- |
$210,175 |
Central Maine |
Union Water |
Billing |
$868 |
- |
- |
$868 |
ITEM 4 - SUMMARY OF AGGREGATE INVESTMENT
($ in Thousands) |
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Total consolidated capitalization as of |
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Total capitalization multiplied by 15% |
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Greater of $50 million or line 2 |
$824,936 |
line 3 |
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Total current aggregate investment: |
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Category i (energy management services and |
* |
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Investments in gas-related companies: |
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LNG Storage Partners |
$8,488 |
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LNG Marketing Partners |
$9,044 |
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ITEM 5 - OTHER INVESTMENTS
Major Line |
Other Investment |
Other Investment |
Reason for |
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ITEM 6 - FINANCIAL STATEMENTS AND EXHIBITS
A. Financial Statements
Copies of the balance sheet (Exhibit 6A-1) and income statements (Exhibit 6A-2) for certain companies listed in Item 1 are filed confidentially pursuant to rule 104.
Financial Statements:
LNG Storage Partners
Balance Sheet - As of September 30, 2004
Income Statement - Three Months and Nine Months Ended September 30, 2004
LNG Marketing Partners
Balance Sheet - As of September 30, 2004
Income Statement - Three Months and Nine Months Ended September 30, 2004
Energetix, Inc.
Balance Sheet - As of September 30, 2004
Income Statement - Three Months and Nine Months Ended September 30, 2004
CNE Energy Services Group, Inc.
Balance Sheet - As of September 30, 2004
Income Statement - Three Months and Nine Months Ended September 30, 2004
Total Peaking Services, LLC
Balance Sheet - As of September 30, 2004
Income Statement - Three Months and Nine Months Ended September 30, 2004
CNE Peaking, LLC
Balance Sheet - As of September 30, 2004
Income Statement - Three Months and Nine Months Ended September 30, 2004
New Hampshire Gas Corporation
Balance Sheet - As of September 30, 2004
Income Statement - Three Months and Nine Months Ended September 30, 2004
Seneca Lake Storage, Inc.
Balance Sheet - As of September 30, 2004
Income Statement - Three Months and Nine Months Ended September 30, 2004
Energy East Solutions, Inc.
Balance Sheet - As of September 30, 2004
Income Statement - Three Months and Nine Months Ended September 30, 2004
NYSEG Solutions, Inc.
Balance Sheet - As of September 30, 2004
Income Statement - Three Months and Nine Months Ended September 30, 2004
Cayuga Energy, Inc.
Balance Sheet - As of September 30, 2004
Income Statement - Three Months and Nine Months Ended September 30, 2004
PEI Power II, LLC
Balance Sheet - As of September 30, 2004
Income Statement - Three Months and Nine Months Ended September 30, 2004
Carthage Energy, LLC
Balance Sheet - As of September 30, 2004
Income Statement - Three Months and Nine Months Ended September 30, 2004
South Glens Falls Energy, LLC
Balance Sheet - As of September 30, 2004
Income Statement - Three Months and Nine Months Ended September 30, 2004
TEN Companies, Inc.
Balance Sheet - As of September 30, 2004
Income Statement - Three Months and Nine Months Ended September 30, 2004
The Hartford Steam Company
Balance Sheet - As of September 30, 2004
Income Statement - Three Months and Nine Months Ended September 30, 2004
TEN Transmission Company
Balance Sheet - As of September 30, 2004
Income Statement - Three Months and Nine Months Ended September 30, 2004
Union Water Power Company
Balance Sheet - As of September 30, 2004
Income Statement - Three Months and Nine Months Ended September 30, 2004
B. Exhibits
1. Copies of contracts required to be provided by Item 3 shall be filed as exhibits.
None.
2. A certificate stating that a copy of the report for the previous quarter has been filed with interested state commissions shall be filed as an exhibit. The certificate shall provide the names and addresses of the state commissions.
With the signature below, the company certifies that a conformed copy of Form U-9C-3 for the previous quarter has been filed with the following state commissions:
Honorable Janet H. Deixler
Secretary
NYS Department of Public Service
3 Empire State Plaza
Albany, NY 12223
Mr. Dennis Keschl
Administrative Director
Maine Public Utility Commission
242 State Street
18 State House Station
Augusta, ME 04333-0018
Louise Rickard
Executive Secretary
Department of Public Utility Control
10 Franklin Square
New Britain, CT 06051
The Commonwealth of Massachusetts
Department of Telecommunications & Energy
Office of Utility Accounting
One South Station
Boston, MA 02110
S I G N A T U R E
Pursuant to the requirements of the Public Utility Holding Company Act of 1935, as amended, the undersigned company has duly caused this Certificate to be signed on its behalf by the undersigned thereunto duly authorized.
Energy East Corporation |
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