U.S. SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM U-9C-3
QUARTERLY REPORT PURSUANT TO RULE 58 OF
THE PUBLIC UTILITY HOLDING COMPANY ACT OF 1935
For the quarterly period ended September 30, 1997
New Century Energies, Inc.
(Name of Registered Holding Company)
1225 17th Street, Denver, Colorado 80202
(Address of Principal Executives Offices)
Inquiries concerning this Form U-9C-3 may
be directed to either:
Teresa S. Madden
Controller and Secretary
New Century Energies, Inc.
1225 17th Street, Suite 900
Denver, CO 80202
(303) 294-2338
or
William M. Dudley
Associate General Counsel
New Century Energies, Inc.
1225 17th Street, Suite 600
Denver, CO 80202
(303) 294-2500
<PAGE>
NEW CENTURY ENERGIES, INC.
FORM U-9C-3
For the Quarter Ended September 30, 1997
Table of Contents
Page
Item 1. Organization Chart 1
Item 2. Issuances and Renewals of Securities and Capital Contributions 1
Item 3. Associated Transactions 1
Item 4. Summary of Aggregate Investment 3
Item 5. Other Investments 3
Item 6. Financial Statements and Exhibits 3
SIGNATURE 4
<PAGE>
<TABLE>
Item 1. - ORGANIZATION CHART
<CAPTION>
Name of Energy or Percentage of Nature
Reporting Gas Related Date of State of Voting of
Company Company Organization Organization Securities Held Business
------- ------- ------------ ------------ --------------- --------
<S> <C> <C> <C> <C> <C>
New Century Energies, Inc.(a)
NC Enterprises, Inc. (a)
New Century-Cadence, Inc.(New)(b) Energy-related August 28, 1997 CO 100% Holds energy-related
company
Cadence Network LLC(New)(c) Energy-related September 3, 1997 DE 33 1/3% Energy management
and consulting
services; also
brokering and
marketing of energy
commodities
</TABLE>
- -----------------------
(a) Directly and/or indirectly holds securities in energy-related companies.
(b) Exclusively in business of holding interest in Cadence Network LLC.
(c) Specifically, Cadence Network LLC will provide a single source for both
energy management services and products designed to lower energy costs for
national companies that operate at multiple locations.
Item 2. - ISSUANCES AND RENEWALS OF SECURITIES AND CAPITAL CONTRIBUTIONS
CAPTIAL CONTRIBUTIONS:
Company Company Amount of
Contributing Receiving Capital
Capital Capital Contribution
New Century-Cadence, Inc. Cadence Network LLC $2,649,839
Item 3. - ASSOCIATED TRANSACTIONS
Part I. - Transactions performed by reporting companies on behalf of associate
companies.
Reporting Associate
Company Company Types of Direct Indirect Cost Total
Rendering Receiving Services Costs Costs of Amount
Services Services Rendered Charged Charged Capital Billed
- -------- -------- -------- ------- ------- ------- ------
NONE
1
Part II - Transactions performed by associate companies on behalf of reporting
companies.
Associate Reporting
Company Company Types of Direct Indirect Cost Total
Rendering Receiving Services Costs Costs of Amount
Services Services Rendered Charged Charged Capital Billed
- -------- -------- -------- ------- ------- ------- ------
NONE
2
<PAGE>
Item 4. - SUMMARY OF AGGREGATE INVESTMENT
<TABLE>
<CAPTION>
Investments in energy-related companies (in thousands):
<S> <C> <C> <C>
Total consolidated capitalization as of September 30, 1997 $ 4,652,899 Line 1
Total capitalization multiplied by 15%
(Line 1 multiplied by 0.15) 697,935 Line 2
Greater of $50 million or line 2 $ 697,935 Line 3
Total current aggregate investment:
(categorized by major line of energy-related business)
Energy-related business Category I (i.e., Rule 58(b)(1)(i)) 2,650
Total current aggregate investment 2,650 Line 4
-----------
Difference between the greater of $50 million or 15% of
capitalization and the total aggregate investment of the
registered holding company system $ 695,285 Line 5
===========
(line 3 less line 4)
</TABLE>
Investments in gas-related companies:
NONE
Item 5. - OTHER INVESTMENTS
Major Line Other Other
of Energy-Related Investment in Last Investment in this Reason for Difference
Business U-9C-3 Report U-9C-3 Report in Other Investment
NONE
Item 6. - FINANCIAL STATEMENTS AND EXHIBITS
A. Financial Statements:
Exhibit A-1 Financial statements of Cadence Network, LLC for the
period from inception (September 3, 1997 through September 30,
1997) - filed under confidential treatment pursuant to Rule 104
(b).
B. Exhibits:
Contracts required by Item 3. - NONE
Certificate of New Century Energies, Inc.:
A certificate stating that a copy of the U-9C-3 for the previous
quarter has been filed with interested state commissions is "Not
Applicable". A conformed copy of this quarterly report shall be filed
with interested state commissions promptly after filing with the
Securities and Exchange Commission.
3
<PAGE>
SIGNATURE
The undersigned registered holding company has duly caused this
quarterly report to be signed on its behalf by the undersigned officer thereunto
duly authorized pursuant to the requirements of the Public Utility Holding
Company Act of 1935.
New Century Energies, Inc.
By: /s/Teresa S. Madden
-----------------------------
Teresa S. Madden
Controller and Secretary
November 26, 1997
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