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UNITED STATES Estimated average burden
SECURITIES AND EXCHANGE COMMISSION hours per response. . . 14.9
WASHINGTON, D.C. 20549 -------------------------------
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 2)*
NEON COMMUNICATIONS, INC.
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(Name of Issuer)
COMMON STOCK, $.01 PAR VALUE PER SHARE
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(Title of Class of Securities)
640 506 10 1
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(CUSIP Number)
December 31, 2000
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(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[ ] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[X] Rule 13d-1(d)
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* The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter the
disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
CUSIP NO. 640 506 10 1 PAGE 2 OF 15 PAGES
----------------- --- -----
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1 NAMES OF REPORTING PERSONS Energy East Corporation
IRS IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
14-1798693
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(SEE INSTRUCTIONS) (b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
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NUMBER OF 5 SOLE VOTING POWER
SHARES None (See Schedule A)
BENEFICIALLY -----------------------------------------------------------
OWNED BY EACH 6 SHARED VOTING POWER
REPORTING PERSON 9,229,839 (1)(See Schedule A)
WITH -----------------------------------------------------------
7 SOLE DISPOSITIVE POWER
None (See Schedule A)
-----------------------------------------------------------
8 SHARED DISPOSITIVE POWER
9,229,839 (1) (See Schedule A)
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,229,839 (1)
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES (SEE INSTRUCTIONS) [ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
49.28%(1)
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12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO
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CUSIP NO. 640 506 10 1 PAGE 3 OF 15 PAGES
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1 NAMES OF REPORTING PERSONS CMP Group, Inc.
IRS IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
01-0519429
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(SEE INSTRUCTIONS) (b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
Maine
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NUMBER OF 5 SOLE VOTING POWER
SHARES None (See Schedule A)
BENEFICIALLY ------------------------------------------------------------
OWNED BY EACH 6 SHARED VOTING POWER
REPORTING PERSON 9,229,839 (1)(See Schedule A)
WITH ------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
None (See Schedule A)
------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
9,229,839 (1)(See Schedule A)
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,229,839 (1)
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES (SEE INSTRUCTIONS) [ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
49.28%(1)
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12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO
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CUSIP NO. 640 506 10 1 PAGE 4 OF 15 PAGES
----------------- --- -----
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1 NAMES OF REPORTING PERSONS MaineCom Services
IRS IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
04-3497486
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(SEE INSTRUCTIONS) (b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
Maine
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NUMBER OF 5 SOLE VOTING POWER
SHARES None (See Schedule A)
BENEFICIALLY ------------------------------------------------------------
OWNED BY EACH 6 SHARED VOTING POWER
REPORTING PERSON 9,229,839 (1)(See Schedule A)
WITH ------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
None (See Schedule A)
------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
9,229,839 (1)(See Schedule A)
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,229,839 (1)
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES (SEE INSTRUCTIONS) [ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
49.28%(1)
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12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO
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CUSIP NO. 640 506 10 1 PAGE 5 OF 15 PAGES
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1 NAMES OF REPORTING PERSONS New England Investment Corporation
IRS IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
04-3497486
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(SEE INSTRUCTIONS) (b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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NUMBER OF 5 SOLE VOTING POWER
SHARES None (See Schedule A)
BENEFICIALLY ------------------------------------------------------------
OWNED BY EACH 6 SHARED VOTING POWER
REPORTING PERSON 9,229,839 (1)(See Schedule A)
WITH ------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
None (See Schedule A)
------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
9,229,839 (1)(See Schedule A)
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,229,839 (1)
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES (SEE INSTRUCTIONS) [ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
49.28%(1)
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12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO
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CUSIP NO. 640 506 10 1 PAGE 6 OF 15 PAGES
----------------- --- -----
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1 NAMES OF REPORTING PERSONS New England Business Trust
IRS IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
04-6906196
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(SEE INSTRUCTIONS) (b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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NUMBER OF 5 SOLE VOTING POWER
SHARES None (See Schedule A)
BENEFICIALLY ------------------------------------------------------------
OWNED BY EACH 6 SHARED VOTING POWER
REPORTING PERSON 9,229,839 (1)(See Schedule A)
WITH ------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
None (See Schedule A)
------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
9,229,839 (1) (See Schedule A)
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,229,839 (1)
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES (SEE INSTRUCTIONS) [ ]
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
49.28%(1)
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12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO
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CUSIP NO. 640 506 10 1 PAGE 7 OF 15 PAGES
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1 NAMES OF REPORTING PERSONS New England Security Corp.
IRS IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
04-3494725
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(SEE INSTRUCTIONS) (b) [X]
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3 sec use only
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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NUMBER OF 5 SOLE VOTING POWER
SHARES None (See Schedule A)
BENEFICIALLY ------------------------------------------------------------
OWNED BY EACH 6 SHARED VOTING POWER
REPORTING PERSON 9,229,839 (1)(See Schedule A)
WITH ------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
None (See Schedule A)
------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
9,229,839 (1) (See Schedule A)
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,229,839 (1)
--------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES (SEE INSTRUCTIONS)
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
49.28%(1)
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12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO
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PAGE 8 OF 15 PAGES
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ITEM 1. (A) NAME OF ISSUER:
NEON Communications, Inc. (successor to Northeast Optic
Network, Inc.)
(B) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
200 West Park Ave.
Westborough, Massachusetts 01851
ITEM 2. (A) NAME OF PERSON FILING:
Energy East Corporation ("EE")(2)
CMP Group, Inc. ("CMP") (a wholly-owned subsidiary of EE)
MaineCom Services ("MS") (a wholly-owned subsidiary of CMP)
New England Investment Corporation ("NEIC") (a wholly-owned
subsidiary of MS)
New England Business Trust ("NEBT") (a trust owned by NEIC)
New England Security Corp. ("NESC") (a wholly-owned
subsidiary of NEBT)
(All of the reported shares are owned directly by NESC.)
(B) ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE:
c/o New England Security Corp.
110 The Great Road
Bedford, Massachusetts 01730
Attention: Larry Carlton
(C) CITIZENSHIP:
Energy East Corporation is a New York corporation.
CMP Group, Inc. is a Maine corporation.
MaineCom Services is a Maine corporation.
New England Investment Corporation is a Delaware corporation.
New England Business Trust is a Massachusetts business trust.
New England Security Corp. is a Delaware corporation.
(D) TITLE OF CLASS OF SECURITIES:
Common Stock, $01 par value per share
(E) CUSIP NUMBER:
640 506 10 1
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO (SECTIONS) 240.13D-1(B) OR
240.3D-2(B) OR (C), CHECK WHETHER the PERSON FILING IS A:
(a) [ ] Broker or dealer registered under Section 15 of the Act.
(b) [ ] Bank as defined in Section 3(a)(6) of the Act.
(c) [ ] Insurance company as defined in Section 3(a)(19) of the Act.
PAGE 9 OF 15 PAGES
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(d) [ ] Investment company registered under Section 8 of the Investment
Company Act of 1940.
(e) [ ] An investment adviser in accordance with (section)240.13d-1(b)
(1)(ii)(E).
(f) [ ] An employee benefit plan or endowment fund in accordance with
(section) 240.13d-1(b)(1)(ii)(F).
(g) [ ] A parent holding company or control person in accordance with
(section) 240.13d-1(b)(1)(ii)(G).
(h) [ ] A savings associations as defined in Section 3(b) of the Federal
Deposit Insurance Act.
(i) [ ] A church plan that is excluded from the definition of an
investment company under Section 3(c)(14) of the Investment
Company Act of 1940.
(j) [ ] Group, in accordance with (section) 240.13d-1(b)(1)(ii)(J).
ITEM 4. OWNERSHIP.
(a) Amount beneficially owned by each reporting person: 9,229,839 (1)
(b) Percent of class: 49.28%(1)
(c) Number of shares beneficially owned by each reporting person with:
(i) Sole power to vote or to direct the vote: None (See Schedule A)
(ii) Shared power to vote or to direct the vote: 9,229,839 (1)(See
Schedule A)
(iii) Sole power to dispose or to direct the disposition of: None
(See Schedule A)
(iv) Shared power to dispose or to direct the disposition of:
9,229,839 (1)(See Schedule A)
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.
Not applicable.
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON.
Not applicable.
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE
SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY.
Not applicable.
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP.
PAGE 10 OF 15 PAGES
---- -----
Not applicable.
ITEM 9. NOTICE OF DISSOLUTION OF GROUP.
Not applicable.
ITEM 10. CERTIFICATION.
Not applicable.
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(1)Includes 4,774,038 shares of common stock of NEON beneficially held by others
who together with NEBT may be held to constitute a group because of the shared
voting power for the limited purpose described in Schedule A. The reporting
persons disclaim beneficial ownership of such 4,774,038 shares.
(2)A subsidiary of Energy East Corporation merged with CMP Group, Inc. on
September 1, 2000, as a result of which CMP Group, Inc. became a wholly-owned
subsidiary of Energy East Corporation.
PAGE 11 OF 15 PAGES
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SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify
that the information set forth in this statement is true, complete and correct.
April 16, 2001
Energy East Corporation
By: /s/ Kenneth M. Jasinski
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(Signature)
Kenneth M. Jasinski/Executive Vice
President, General Counsel and Secretary
--------------------------------------------
(Name/Title)
CMP Group, Inc.
By: /s/ Kenneth M. Jasinski
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(Signature)
Kenneth M. Jasinski/ SeniorVice President,
General Counsel and Secretary
--------------------------------------------
(Name/Title)
MaineCom Services
By: /s/ Mark E. Curtis
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(Signature)
Mark E. Curtis/President
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(Name/Title)
New England Investment Corp.
By: /s/ Robert D. Kump
----------------------------------------
(Signature)
Robert D. Kump/President
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(Name/Title)
PAGE 12 OF 15 PAGES
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New England Business Trust
By: /s/ Robert D. Kump
----------------------------------------
(Signature)
Robert D. Kump/Treasurer
--------------------------------------------
(Name/Title)
New England Security Corp.
By: /s/ Robert D. Kump
----------------------------------------
(Signature)
Robert D. Kump/Treasurer
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(Name/Title)
The original statement shall be signed by each person on whose behalf the
statement is filed or his authorized representative. If the statement is signed
on behalf of a person by his authorized representative (other than an executive
officer or general partner of the filing person), evidence of the
representative's authority to sign on behalf of such person shall be filed with
the statement, provided, however, that a power of attorney for this purpose
which is already on file with the Commission may be incorporated by reference.
The name and any title of each person who signs the statement shall be typed or
printed beneath his signature.
NOTE: Schedules filed in paper format shall include a signed original and five
copies of the schedule, including all exhibits. See (sections) 240.13d-7 for
other parties for whom copies are to be sent.
Attention: Intentional misstatements or omissions of fact constitute Federal
criminal violations (See 18 U.S.C. 1001)
PAGE 13 OF 15 PAGES
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SCHEDULE A
Under the FiveCom, Inc. Principal Stockholders Agreement (the "Stockholders
Agreement"), dated as of May 28, 1998, between Northeast Utilities ("NU") and
CMP, each of NU, CMP and NEON Communications, Inc. ("NEON") have the right to
acquire shares of NEON owned by NEBT and Mode 1 Communications, Inc. ("Mode 1"),
an affiliate of NU, in each case in the event of a third party offer and upon
the occurrence of certain bankruptcy and insolvency events. As of October 19,
2000, the Stockholders Agreement was amended to add Mode 1 and NEBT as parties
and to (i) allow the resale of shares held by the parties pursuant to Rule 144
under the Securities Act 1933, as amended, and to certain affiliates without
regard to the transfer restrictions of the Stockholders Agreement; and (ii)
provide for an agreement among the parties as to the voting of shares by Mode 1
and NEBT for directors (which obligation would be reduced or eliminated in the
event a party's stock ownership is reduced below certain specified levels).
PAGE 14 OF 15 PAGES
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Joint Filing Agreement
In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act
of 1934, the undersigned agree to the joint filing of a Statement on Schedule
13G (including all amendments thereto) with respect to the filing of this
agreement as an exhibit thereto. In addition, each party to this agreement
expressly authorizes each other party hereto to file on its behalf any and all
amendments to such Statement on Schedule 13G.
Energy East Corporation
By: /s/ Kenneth M. Jasinski
------------------------------------------
(Signature)
Kenneth M. Jasinski/Executive Vice President,
General Counsel and Secretary
---------------------------------------------
(Name/Title)
CMP Group, Inc.
By: /s/ Kenneth M. Jasinski
------------------------------------------
(Signature)
Kenneth M. Jasinski/SeniorVice President,
General Counsel and Secretary
---------------------------------------------
(Name/Title)
MaineCom Services
By: /s/ Mark E. Curtis
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(Signature)
Mark E. Curtis/President
---------------------------------------------
(Name/Title)
New England Investment Corp.
By: /s/ Robert D. Kump
------------------------------------------
(Signature)
Robert D. Kump/President
---------------------------------------------
(Name/Title)
PAGE 15 OF 15 PAGES
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New England Business Trust
By: /s/ Robert D. Kump
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(Signature)
Robert D. Kump/Treasurer
---------------------------------------------
(Name/Title)
New England Security Corp.
By: /s/ Robert D. Kump
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(Signature)
Robert D. Kump/Treasurer
---------------------------------------------
(Name/Title)