form u9c3 093001
United States
Securities and Exchange Commission
Washington, D.C. 20549
FORM U-9C-3
QUARTERLY REPORT PURSUANT TO RULE 58
For the Quarterly Period Ending September 30, 2001
National Fuel Gas Company
(Name of Registered Holding Company)
10 Lafayette Square
Buffalo, New York 14203
(Name of Principal Executive Officer)
Inquiries concerning this Form U-9C-3 may be directed to:
James R. Peterson
Assistant Secretary
National Fuel Gas Company
Suite 1500
10 Lafayette Square
Buffalo, New York 14203
(716) 857-7702
Item 1 - Organization Chart
Name of Reporting Co. Energy or Gas Date of State of Percentage of Nature of Business
Related Organization Organization Voting Securities
Held
National Fuel Gas Company Holding 1902 New Jersey Holds all voting The Company is an integrated
securities of natural gas operation engaged in
the reporting owning and holding securities
companies except issued by its subsidiaries.
as indicated
below.
Seneca Independence Gas 1996 Delaware 100% Holds a 33 1/3% general partnership
Pipeline Company interest in Independence Pipeline
Company, which was not formed
under Rule 58.
Niagara Independence Holding 1997 Delaware 100% Holds the 33-1/3% general
Marketing Company partnership interest in DirectLink
indicated below.
DirectLink Gas Marketing Gas 1997 Delaware 33-1/3% Gas marketing.
Company
Upstate Energy Inc. Gas 1997 New York 100% Gas marketing. Also owns a 50%
interest in the Roystone Gas
Processing Plant which was acquired
pursuant to Rule 58.
Roystone Gas Processing Gas 1994 Pennsylvania 50% Processes natural gas and sells
Plant (general natural gas liquids.
partnership)
NARRATIVE DESCRIPTION:
National Fuel Gas Company is not a "reporting company" but is included in this Item 1 because it holds,
directly or indirectly, voting securities issued by reporting companies as indicated above.
During the quarter ended September 30, 2001, the reporting companies engaged in the following activities:
Seneca Independence Pipeline Company ("SIP") retained its 33 1/3% general partnership interest in
Independence Pipeline Company ("Independence"), pursuant to approval by the SEC under the PUHCA (see File
70-9117, HCAR No. 35-26840). SIP's transactions this quarter are described in its financial statements at
Item 6.
Niagara Independence Marketing Company ("NIM") retained its 33 1/3% interest in DirectLink Gas Marketing
Company ("DirectLink"). NIM's and DirectLink's transactions this quarter are described in their financial
statements at Item 6.
Upstate Energy Inc. ("Upstate") engaged in gas marketing transactions this quarter.
Roystone Gas Processing Plant engaged in processing natural gas and selling natural gas liquids during the
quarter.
ITEM 2 - ISSUANCE OF SECURITIES AND CAPITAL CONTRIBUTIONS
Company Type of Principal Amount Issue or Cost of Person to Collateral Consideration
Issuing Security of Security Renewal Capital Whom Security Given With Received for
Stock Issued Was Issued Security Each Security
Seneca Note $400,000 Issue* N/A National N/A $400,000
Independence Fuel Gas
Pipeline Company
Company
DirectLink Gas no transactions this quarter
Marketing
Company
Niagara no transactions this quarter
Independence
Marketing
Company
Upstate Note $2,100,000 Issue** N/A National N/A $2,100,000
Energy Inc. $100,000 Issue** Fuel Gas $100,000
$2,100,000 Issue** Company $2,100,000
$200,000 Issue** $200,000
Roystone Gas no transactions this quarter
Processing Plant
* Represents an increase in the daily principal balance of borrowings from the National Fuel Gas Company
System Money Pool as compared with balance from preceding day. For the quarter, the outstanding balance
increased by $200,000.
** Represents an increase in the daily principal balance of borrowings from the National Fuel Gas Company
System Money Pool as compared with the balance from the preceding day. For the quarter, the outstanding
balance decreased by $3,600,000.
Company Contributing Company Receiving Amount of Capital
Capital Capital Contribution
No capital contributions this quarter
ITEM 3 -ASSOCIATE TRANSACTIONS
PART 1 - TRANSACTIONS PERFORMED BY REPORTING COMPANY ON BEHALF OF ASSOCIATE COMPANIES
Reporting Co. Associate Co. Types of Direct Indirect Cost of Total Amount Billed
Rendering Receiving Services Costs Costs Capital
Services Services Rendered Charged Charged
Roystone Gas National Fuel Natural gas $28,134* -0- -0- $28,134
Processing Plant Gas Supply processing
Corporation
* Represents payments made by National Fuel Gas Supply Corporation to Roystone Gas
Processing Plant ("Roystone") pursuant to a gas processing agreement.
PART 2 - TRANSACTIONS PERFORMED BY ASSOCIATE COMPANIES ON BEHALF OF REPORTING COMPANY
Associate Co. Reporting Co. Types of Direct Indirect Cost of Total Amount Billed
Rendering Receiving Services Costs Costs Capital
Services Services Rendered Charged Charged
National Fuel Seneca Managerial, $2,955 -0- -0- $2,955
Gas Supply Independence financial,
Corporation Pipeline legal, and
Company other similar
services.
Seneca Upstate Managerial, -0- -0- -0- -0-
Resources Energy Inc. financial and
Corporation other similar
services.
National Fuel Upstate Managerial -0- -0- -0- -0-
Resources, Inc. Energy Inc. services.
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Upstate Energy Inc. also may have purchased regulated interstate natural gas
transportation and storage services from its associate, National Fuel Gas Supply
Corporation ("Supply"), pursuant to Supply's FERC gas tariff, but such services
are "exempted transactions" pursuant to Rule 81 under the Public Utility Holding
Company Act (17 CFR Sec. 250.81).
ITEM 4 - SUMMARY OF AGGREGATE INVESTMENT
Investment in Energy-Related Companies:
Not applicable; all the Reporting Companies are gas-related companies.
Investments in Gas-Related Companies:
Confidential Treatment requested pursuant to Rule 104(b)
ITEM 5 - OTHER INVESTMENTS
Major Line of Energy- Other Investment in last Other Investment in This Reason For Difference
Related Business U-9C-3 Report U-9C-3 Report in Other Investment
NONE
ITEM 6 - FINANCIAL STATEMENTS AND EXHIBITS
A. FINANCIAL STATEMENTS:
Balance Sheet for Seneca Independence Pipeline Company ("Seneca") Confidential treatment requested pursuant to Rule 104(b)
Income Statement for Seneca Confidential treatment requested pursuant to Rule 104(b)
Balance Sheet for Niagara Independence Marketing Company ("Niagara") Confidential treatment requested pursuant to Rule 104(b)
Income Statement of Niagara Confidential treatment requested pursuant to Rule 104(b)
Balance Sheet for DirectLink Gas Marketing Company ("DirectLink") Confidential treatment requested pursuant to Rule 104(b)
Income Statement for DirectLink Confidential treatment requested pursuant to Rule 104(b)
Balance Sheet for Upstate Energy Inc. ("Upstate") Confidential treatment requested pursuant to Rule 104(b)
Income Statement for Upstate Confidential treatment requested pursuant to Rule 104(b)
Balance Sheet for Roystone Gas Processing Plant ("Roystone") Confidential treatment requested pursuant to Rule 104(b)
Income Statement for Roystone Confidential treatment requested pursuant to Rule 104(b)
B. EXHIBITS:
1. Copies of contracts required to be provided by Item 3: NOT APPLICABLE
2. Certificate stating that a copy of the report for the previous quarter has been filed with
interested state commissions: EXHIBIT A
SIGNATURES
Pursuant to the requirements of the Public Utility Holding Company Act of 1935, National Fuel Gas Company
has duly caused this report to be signed and authorized on its behalf by the undersigned.
Dated: November 28, 2001
NATIONAL FUEL GAS COMPANY
By /s/ James R. Peterson
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James R. Peterson
Assistant Secretary