ENERGY EAST CORP
U5B, 2000-11-28
ELECTRIC SERVICES
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SECURITIES AND EXCHANGE COMMISSION
Washington, D. C. 20549

FORM U5B

Energy East Corporation
Name of Registrant

 

Name, Title and Address of Officer to Whom Notices
and Correspondence Concerning This Statement
Should be Addressed:

Kenneth M. Jasinski
Executive Vice President, General Counsel & Secretary
Energy East Corporation
One Canterbury Green
Stamford, CT 06904

REGISTRATION STATEMENT

The undersigned holding company hereby submits its registration statement to the Securities and Exchange Commission pursuant to Section 5 of the Public Utility Holding Company Act of 1935.

1.

Exact name of registrant:

Energy East Corporation

     

2.

Address of principal executive offices:

One Canterbury Green
Stamford, CT   06904

     

3.

Name and address of chief accounting officer:

Wesley W. von Schack
Chairman, Chief Executive Officer &

Chief Accounting Officer
Energy East Corporation
One Canterbury Green
Stamford, CT 06904

 

 

 

4.

Furnish the following information as to the registrant and each subsidiary company thereof (indented to show degree of remoteness from registrant):

Col. A

Col. B

Col. C

Col. D


Name of Company


Organization

State of
Organization


Type of Business

Energy East Corporation

Corporation

NY

Holding company

    New York State Electric &
    Gas Corporation

Corporation

NY

Electric and natural
gas utility

    Connecticut Energy
    Corporation

Corporation

CT

Holding company

       The Southern Connecticut
       Gas Company

Corporation

CT

Natural gas utility

       CNE Energy Services Group, Inc.

Corporation

CT

Energy products and services

          Energy East Solutions, LLC
          (CNE Energy Services Group, Inc.
          holds 50% interest)

Limited liability company

DE

Energy products and services

          Total Peaking Services, LLC

Limited liability company

DE

Natural gas storage

          CNE Peaking, LLC

Limited liability company

DE

Firm in-market supply source

       CNE Development Corporation

Corporation

CT

Energy-related investment company

          East Coast Natural Gas Cooperative,
          LLC
          (CNE Development Corporation holds
          20% interest)

Limited liability company

DE

Natural gas storage services and sales

       CNE Venture-Tech Inc.

Corporation

CT

Energy-related investment company

          CIS Service Bureau, LLC

Limited liability company

DE

Utility data processing services

          Nth Power Technologies Fund I, LP
          (CNE Venture-Tech Inc. holds
          7.8884% interest)

Limited partnership

CA

Energy-related investment company

 

 


Name of Company


Organization

State of
Organization


Type of Business

          Nth Power Technologies Fund II, LP
          (CNE Venture-Tech Inc. holds
          4.1% interest)

Limited partnership

CA

Energy-related investment company

    Energy East Enterprises, Inc.

Corporation

ME

Energy-related investment company

       New Hampshire Gas Corporation

Corporation

NH

Energy services company

       Southern Vermont Natural Gas
       Corporation

Corporation

VT

Natural gas supply and distribution

       Seneca Lake Storage, Inc.

Corporation

NY

Natural gas storage

       Maine Natural Gas, LLC (formerly CMP
       Natural Gas, LLC)
       (Energy East Enterprises, Inc. holds an
       approximate 87% interest)

Limited liability company

ME

Natural gas utility

    EAS Enterprises, Inc.
     
(formerly XENERGY Enterprises, Inc.)

Corporation

DE

Energy-related
investment company

       Energy East Solutions, Inc.

Corporation

DE

Electricity and natural
gas marketer

          NYSEG Solutions, Inc.

Corporation

NY

Electricity and natural gas marketer

          South Jersey Energy Solutions, LLC
          (Energy East Solutions, Inc. holds
          50% interest)

Limited liability company

DE

Electricity marketer, energy services

          Energy East Solutions, LLC
          (Energy East Solutions, Inc. holds
          50% interest)

Limited liability company

DE

Energy products
and services

       Energy East Telecommunications, Inc.

Corporation

DE

Exempt Telecommunications Company

          Telergy East, LLC
          (Energy East Telecommunications,
          Inc. holds 50% interest)

Limited liability company

NY

Exempt

Telecommunications

 

 


Name of Company


Organization

State of
Organization


Type of Business

       Cayuga Energy, Inc.

Corporation

DE

Energy-related
investment company

          PEI Power II, LLC
          (Cayuga Energy, Inc. holds
          50.1% interest)

Limited liability company

PA

Peaking generation

          Carthage Energy, LLC

Limited liability company

NY

Peaking generation

          South Glens Falls Energy, LLC
          (Cayuga Energy, Inc. holds
          85% interest)

Limited liability company

NY

Peaking generation

    Energy East Management
    Corporation

Corporation

DE

Service company

    CMP Group, Inc.

Corporation

ME

Holding company

       Central Maine Power Company

Corporation

ME

Electric utility

          Maine Electric Power Company, Inc.
          (Central Maine Power Company holds
          78.3% of voting stock)

Corporation

ME

Electric transmission utility

          NORVARCO

Corporation

ME

Electric utility

             Chester SVC Partnership
             (NORVARCO holds 50% general
             partnership interest)

General partnership

ME

Static var
compensator
facility

          Central Securities Corporation

Corporation

ME

Real estate

          Cumberland Securities Corporation

Corporation

ME

Real estate

          Maine Yankee Atomic Power
          Company
          (Central Maine Power Company
          holds 38% voting interest)

Corporation

ME

Nuclear generator -
in process of being
decommissioned

          Yankee Atomic Electric Company
          (Central Maine Power Company
          holds 9.5% voting interest)

Corporation

MA

Decommissioned
nuclear generator

          Connecticut Yankee Atomic Power
          Company
          (Central Maine Power Company
          holds 6% voting interest)

Corporation

CT

Nuclear generator -
in process of being
decommissioned

 


Name of Company


Organization

State of
Organization


Type of Business

          Vermont Yankee Nuclear Power
          Corporation
          (Central Maine Power Company
          holds 4% voting interest)

Corporation

VT

Nuclear generator

       MaineCom Services

Corporation

ME

Exempt

Telecommunications

          New England Investment Corporation

Corporation

DE

Exempt

Telecommunications

          New England Business Trust

Business Trust

MA

Exempt

Telecommunications

             NEON Communications, Inc.
             (New England Business Trust holds
             approximately 20.9% of voting stock)

Corporation

DE

Telecommunications

          New England Security Corp.

Corporation

MA

Exempt

Telecommunications

       New England Gas Development
       Corporation

Corporation

ME

Investment company

          Maine Natural Gas, LLC
          (New England Gas Development
          Corporation holds an approximate
          13% interest)

Limited liability company

ME

Natural gas utility

       The Union Water-Power Company

Corporation

ME

Utility services, real estate, energy management services

    CTG Resources, Inc.

Corporation

CT

Holding company

       Connecticut Natural Gas Corporation

Corporation

CT

Natural gas utility

          CNG Realty Corp.

Corporation

CT

Real estate

       The Energy Network, Inc.

Corporation

CT

Energy services

          The Hartford Steam Company

Corporation

CT

Heating and cooling services

          TEN Transmission Company

Corporation

CT

Natural Gas Transmission system

 


Name of Company


Organization

State of
Organization


Type of Business

          ENI Gas Services, Inc.

Corporation

CT

Energy services

             KBC Energy Services
             (ENI Gas Services, Inc. holds
             99% interest, TEN Gas Services,
             Inc. holds 1% interest)

General Partnership

MA

Inactive

          TEN Gas Services, Inc.

Corporation

CT

Energy services

    Berkshire Energy Resources

Business Trust

MA

Holding company

       The Berkshire Gas Company

Corporation

MA

Natural gas utility

       Berkshire Propane, Inc.

Corporation

MA

Liquefied petroleum

       Berkshire Service Solutions, Inc.

Corporation

MA

Energy services

 

BUSINESS

5. Describe briefly:
(a) The general character of the business done by the registrant and its subsidiaries, separated as between the holding companies, public utility subsidiaries (as defined in the Act) and the various non-utility subsidiaries;

     Information concerning the general character of the business of Energy East Corporation (Energy East) and its subsidiaries is available in the Form U-1, as amended related to the mergers in File No. 70-9569 (Merger U-1), previously filed. More detailed business descriptions of Energy East and its subsidiaries are available in Item 1 of the annual reports on Form 10-K of the companies: Energy East, year ended December 31, 1999 (File No. 1-14766); New York State Electric & Gas Corporation (NYSEG), year ended December 31, 1999 (File No. 1-3103-2); Connecticut Energy Corporation (Connecticut Energy), year ended September 30, 1999 (File No. 1-8369); CMP Group, Inc. (CMP Group), year ended December 31, 1999 (File No. 1-14786); Central Maine Power Company (CMPCo), year ended December 31, 1999 (File No. 1-5139); CTG Resources, Inc. (CTG Resources), year ended September 30, 1999 (File No. 1-12859); and Berkshire Energy Resources (Berkshire Energy), year ended June 30, 1999 (File No. 0-29812), the relevant sections of which are incorporated by reference herein.

     Statistical information such as kilowatt hour and/or dekatherm sales and operating revenues by customer class and purchases for Energy East and its subsidiaries is available in Item 7 of the annual reports on Form 10-K of the companies referenced in the above paragraph, the companies' annual reports to shareholders and the companies' annual reports to state regulatory commissions as follows: the Energy East 1999 Annual Report (filed as Exhibit F-1 to this report); the NYSEG 1999 Annual Report to the State of New York Public Service Commission (PSC) (filed as Exhibit G-1 to this report); The Southern Connecticut Gas Company (Southern) 1999 Annual Report to the Department of Public Utility Control of the State of Connecticut (DPUC) (filed as Exhibit G-2 to this report); the CMP Group & Central Maine Power Company (CMP Co) Summary Annual Report for 1999 (filed as Exhibit F-3 to this report); the CMP Co 1999 FERC Form 1 Annual Report submitted to the Maine Public Utilities Commission (MPUC) (filed as Exhibit G-4 to this report); the Maine Electric Power Company, Inc. (MEPCo) 1999 FERC Form 1 Annual Report submitted to the MPUC (filed as Exhibit G-5 to this report); the Connecticut Natural Gas Corporation (CNG) 1999 Annual Report to the DPUC (filed as Exhibit G-6 to this report); the Berkshire Energy 1999 Annual Report (filed as Exhibit F-5 to this report); and The Berkshire Gas Company (Berkshire Gas) 1999 Annual Return to the Department of Telecommunications and Energy of Massachusetts (MDTE) (filed as Exhibit G-7 to this report), the relevant sections of which are incorporated by reference herein.

(b) Any substantial changes which may have occurred in the general character of the business of such companies during the preceding five years.

     Information concerning any substantial changes which may have occurred in the general character of the business of Energy East and its subsidiaries during the preceding five years is available in the annual reports on Form 10-K and quarterly reports on Form 10-Q of the companies for the past five years: Energy East (File No. 1-14766), NYSEG (File No. 1-3103-2), Connecticut Energy (File No. 1-8369), CMP Group (File No. 1-14786), CMP Co (File No. 1-5139), CTG Resources (File No. 1-12859) and Berkshire Energy (File No. 0-29812).

 

PROPERTY

6. Describe briefly the general character and location of the principal plants, properties and other important physical units of the registrant and its subsidiaries, showing separately (a) public utility and (b) other properties. If any principal plant or important unit is not held in fee, so state and describe how held.

     Information concerning the general character and location of the principal plants, properties and other important physical units of Energy East and its subsidiaries is available in Item 2 of the annual reports on Form 10-K of the companies: Energy East, year ended December 31, 1999 (File No. 1-14766); NYSEG, year ended December 31, 1999 (File No. 1-3103-2); Connecticut Energy, year ended September 30, 1999 (File No. 1-8369); CMP Group, year ended December 31, 1999 (File No. 1-14786); CTG Resources, year ended September 30, 1999 (File No. 1-12859); and Berkshire Energy, year ended June 30, 1999 (File No. 0-29812).

 

INTERSTATE TRANSACTIONS

7. For each public utility company in the holding company system of the registrant which is engaged in the transmission of electric energy or gas in interstate commerce, furnish the following information for the last calendar year:

 

Electric Energy
kWh

Gas
mcf

Total Annual Sales

   
     

Interstate Transactions:
     Name of State:

   

Delivered out of state

   

Received from out of state

   
     

     Name of State:

   

Delivered out of state

   

Received from out of state

   

Information regarding any interstate transactions of NYSEG, Southern, CMP Co, MEPCo, CNG and Berkshire Gas is included in their state regulatory commission annual reports as follows: the NYSEG 1999 Annual Report to the PSC (filed as Exhibit G-1 to this report); the Southern 1999 Annual Report to the DPUC (filed as Exhibit G-2 to this report); the CMP Co. 1999 Annual Report to the MPUC (filed as Exhibit G-4 to this report); the MEPCo 1999 Annual Report to the MPUC (filed as Exhibit G-5 to this report); the CNG Corp. 1999 Annual Report to the DPUC (filed as Exhibit G-6 to this report); and the Berkshire Gas 1999 Annual Return to the MDTE (filed as Exhibit G-7 to this report), the relevant sections of which are incorporated by reference herein.

 

SECURITIES OUTSTANDING

8. Submit the following information concerning the registrant and each subsidiary thereof as of the latest available date:

FUNDED DEBT

(a) For each issue or series of funded debt, including funded debt secured by liens on property owned, whether or not such debt has been assumed: (Do not include here any contingent liabilities reported under paragraph 8(c).)

As of September 30, 2000

BY PERMISSION OF THE STAFF, COLUMNS E THROUGH I HAVE BEEN OMITTED

Col. A

Col. B

Col. C

Col. D



Name of Obligor



Title of Issue

Amount
Authorized
(000)

Amount Issued
Less Retired
(000)

NYSEG

First Mortgage Bond 6 3/4% Series

$150,000

$150,000

NYSEG

First Mortgage Bond 9 7/8% Series

$ 23,000

$ 23,000

NYSEG

First Mortgage Bond 9 7/8% Series

$ 23,000

$ 23,000

NYSEG

First Mortgage Bond 8 7/8% Series

$150,000

$150,000

NYSEG

First Mortgage Bond 8.30% Series

$100,000

$100,000

NYSEG

First Mortgage Bond 7.55% Series

$ 50,000

$ 50,000

NYSEG

First Mortgage Bond 7.45% Series

$100,000

$100,000

NYSEG

Pollution Control Notes - 4.26%

$ 60,000

$ 60,000

NYSEG

Pollution Control Notes - 4.01%

$ 30,000

$ 30,000

NYSEG

Pollution Control Notes - 4.38%

$ 42,000

$ 42,000

NYSEG

Pollution Control Notes - 6.15%

$ 65,000

$ 65,000

NYSEG

Pollution Control Notes - 5.95%

$ 34,000

$ 34,000

NYSEG

Pollution Control Notes - 5.70%

$ 70,000

$ 70,000

NYSEG

Pollution Control Notes - Various

$ 37,500

$ 37,500

NYSEG

Pollution Control Notes - 6.05%

$100,000

$100,000

NYSEG

Pollution Control Notes - Various

$ 63,500

$ 63,500

NYSEG

Pollution Control Notes - Various

$ 74,000

$ 74,000

NYSEG

Pollution Control Notes - 6.00%

$ 12,000

$ 12,000

NYSEG

Pollution Control Notes - 5.90%

$ 25,000

$ 25,000

Southern

Series W First Mortgage Bonds

$60,000

$25,000

Southern

Medium-Term Notes I (MTN I)

$75,000

$37,000

Southern

Medium-Term Notes II (MTN II)

$200,000

$115,000

CNE Energy Services Group, Inc. (CNE Energy Services)

Credit Agreement dated April 30, 1998

$15,000

$8,935

CMPCo

Revolving Credit Facility

$75,000

$30,000

CNG

First Mortgage Bonds, Series AA

$18,000

$8,500

The Energy Network, Inc. (TEN)

Secured Term Note

$45,000

$45,000

TEN

Secured Term Note

$15,000

$15,000

TEN (Capitol Area Systems division)

Industrial Revenue Demand Bonds

$10,600

$10,600

The Hartford Steam Company (SINA division)

Industrial Revenue Demand Bonds

$4,300

$4,300

Berkshire Gas

First Mortgage Indenture Series P 10.06%

$8,000

$8,000

Berkshire Gas

First Mortgage Indenture Series P 10.06%

$2,000

$2,000

Berkshire Energy Resources

Term Note

$5,530

$5,530

 

 

CAPITAL STOCK

(b) For each class of capital stock including certificates of beneficial interest give information both in number of shares and in dollar amounts: (Do not include here any warrants, options or other securities reported under paragraph 8 (d).)

As of September 30, 2000

BY PERMISSION OF THE STAFF, COLUMNS G THROUGH J HAVE BEEN OMITTED

Col. A

Col. B

Col. C

Col. D

Col. E

Col. F






Name of Issuer






Title of Issue




Amount Authorized by Charter

Amount Reserved for Options, Warrants, Conversions & Other Rights




Additional Amount Unissued


Amount issued
(Col. C
Less Cols.
D and E)

Energy East

Common Stock, $.01 par value

300,000,000

0

181,643,002

118,356,998

Energy East

Preferred, $.01 par value

10,000,000

0

10,000,000

0

NYSEG

Preferred, Non-Sinking Fund: 3.75%, $100 par value

78,379

0

0

78,379

NYSEG

Preferred, Non-Sinking Fund: 4.50%, $100 par value

11,800

0

0

11,800

NYSEG

Preferred, Non-Sinking Fund: 4.40%, $100 par value

7,093

0

0

7,093

NYSEG

Preferred, Non-Sinking Fund: 4.15%, $100 par value

4,317

0

0

4,317

NYSEG

Preferred Stock, Authorized but Unissued, $100 par value

2,353,411

0

2,353,411

0

NYSEG

Preferred Stock, Authorized but Unissued, $25 par value

10,800,000

0

10,800,000

0

NYSEG

Preference Shares, $100 par value

1,000,000

0

1,000,000

0

NYSEG

Common Stock,
$6.66 2/3 par value

90,000,000

0

25,491,523

64,508,477

Connecticut Energy
Corporation

Common Stock,
$1.00 par value

1,000

0

0

1,000

Southern

Common Stock,
$13.33 1/3 par value

1,407,072

0

0

1,407,072

CNE Energy Services

Common Stock,
$1.00 par value

1,000

0

0

1,000

CNE Development Corporation (CNE Development)

Common Stock,
$1.00 par value

1,000

0

0

1,000

CNE Venture-Tech, Inc.

Common Stock,
$1.00 par value

1,000

0

0

1,000

Energy East Enterprises, Inc. (EEE)

Common Stock,
$.01 par value

10,000

0

9,974

26

New Hampshire Gas Corporation

Common Stock,
$.01 par value

1,000

0

975

25

Southern Vermont Natural Gas Corporation

Common Stock,
$.01 par value

5,000

0

4,999

1

Seneca Lake Storage, Inc.

Common Stock,
$.01 par value

1,000

0

999

1

EAS Enterprises

Common, No par value, $10,000 Stated Value

10,000

0

4,556

5,444






Name of Issuer






Title of Issue




Amount Authorized by Charter

Amount Reserved for Options, Warrants, Conversions & Other Rights




Additional Amount Unissued


Amount issued
(Col. C
Less Cols.
D and E)

Energy East Solutions, Inc.

Common Stock, $.01 par value

5,000

0

4,879

121

NYSEG Solutions, Inc.

Common Stock, $.01 par value

200

0

174

26

Energy East Telecommunications

Common Stock, $.01 par value

1,000

0

660

340

Cayuga Energy

Common Stock, $.01 par
value

5,000

0

4,999

1

Energy East Management Corp.

Common Stock, $.01 par value

200

0

190

10

CMP Group

Common Stock,
$.01 par value

1,000

0

0

1,000

CMP Co

Common Stock,
par value $5

80,000,000

0

48,788,529

31,211,471

CMP Co

Dividend Series, Preferred Stock, $100 par value, Cumulative

2,300,000

0

1,850,900

449,100

CMP Co

Preferred $100 par value, Redemption Price $101.00, 3.50%
Cumulative

220,000

0

0

220,000

CMP Co

Preferred $100 par value, Redemption Price $101.00, 4.60%
Cumulative

30,000

0

0

30,000

CMP Co

Preferred $100 par value, Redemption Price $101.00, 4.75%
Cumulative

50,000

0

0

50,000

CMP Co

Preferred $100 par value, Redemption Price $102.00, 5.25%
Cumulative

50,000

0

0

50,000

CMP Co

Preferred $100 par value, Redemption Price $100.00, Dividend Series, 7.99%
Called on 10/2/00,
Cumulative

99,100

0

0

99,100

CMP Co.

Preferred $100 par value, Noncallable,
Voting 6%, Cumulative

533

0

0

533

CMP Co

Preferred $100 par value, Noncallable,
Voting 6%, Cumulative

5,713

0

0

5,713

MEPCo

Common Stock,
$100 par value

20,000

0

11,215

8,785

NORVARCO

Common Stock,
$100 par value

5,000

0

0

5,000

Central Securities Corp

Common Stock,
$100 par value

10

0

0

10

Cumberland Securities Corporation

Common Stock,
$100 par value

110

0

0

110

MaineCom Services

Common Stock,
$10 par value

10,000

0

0

10,000

New England Investment Corp

Common Stock,
$.01 par value

100

0

0

100

New England Security Corp.

Common Stock,
$.01 par value

100

0

0

100

New England Gas Development

Common Stock,
$1 par value

500

0

0

500






Name of Issuer






Title of Issue




Amount Authorized by Charter

Amount Reserved for Options, Warrants, Conversions & Other Rights




Additional Amount Unissued


Amount issued
(Col. C
Less Cols.
D and E)

The Union Water-Power Company

Common Stock,
$100 par value

10,000

0

7,530

2,470

CTG Resources

No par value Common Stock

1,000

0

0

1,000

CNG

$3.125 par value Common Stock

20,000,000

0

9,365,504

10,634,496

CNG

$3.125 par value, 8% Cumulative Preferred Stock (preference on liquidation of $6.25 per share)

897,506

0

775,472

122,034

CNG

$100.00 par value, 6% Series B cumulative Preferred Stock

9,999,552

0

9,994,964

4,588

CNG Realty Corp.

Common Stock,
$100 par value

500

0

490

10

TEN

$1.00 par value Common Stock

5,000

0

4,000

1,000

The Hartford Steam Company

Common Stock,
$100 par value

1,000

0

379

621

TEN Transmission Company

Common Stock, no par value

5,000

0

4,999

1

ENI Gas Services, Inc.

Common Stock, no par value

20,000

0

19,999

1

TEN Gas Services, Inc.

Common Stock, no par value

20,000

0

19,900

100

Berkshire Gas

4.8% Cumulative Preferred $100 par value

15,000

0

11,997

3,003

Berkshire Gas

Common Stock $2.50 par value

8,400,000

0

8,399,900

100

Berkshire Propane, Inc.

Common Stock No par value

200,000

0

199,900

100

Berkshire Service Solutions, Inc. (Berkshire Service)

Common Stock No par value

200,000

0

199,900

100

Berkshire Energy

Common Stock No par value

1,000

0

0

1,000

 

CONTINGENT LIABILITIES

(c) A brief outline of the nature and amount of each contingent liability on account of endorsement or other guarantees of any securities.

CTG Resources has guaranteed $107 million of financial or contractual obligations of The Energy Network.

 

 

OTHER SECURITIES

(d) A statement of the amount of warrants, rights, or options and of any class of securities of the registrant and subsidiary companies not elsewhere herein described which is outstanding and/or authorized. A brief description of the provisions thereof should be included. Information need not be set forth under this item as to notes, drafts, bills of exchange or bankers' acceptances which mature within nine months.

See 14(a).

 

Col. A

Col. B

Col. C

Col. D



Name of Obligor



Title of Issue

Amount
Authorized
(000)

Amount Issued
Less Retired
(000)

CMP Co

Pollution Control Facility (PCF) - Industrial Development Authority of N. H. Notes

$11,000

$11,000

CMP Co

PCF - Industrial Development Authority of
N. H. Notes

$8,500

$8,500

NORVARCO

Promissory Note

$23,767

$23,767

Union Water-Power

Bank Notes

$1,071

$1,071

CMP Co

Finance Authority of Maine Loan Agreement

$37,929

$37,929

Union Water-Power

Variable Long-Term

$219

$219

Union Water-Power

Variable Long-Term

$989

$989

CMP Co

Series C MTN

$5,000

$5,000

CMP Co

Series C MTN

$5,000

$5,000

CMP Co

Series E MTN

$25,000

$25,000

CMP Co

Series E MTN

$50,000

$50,000

CMP Co

Series E MTN

$50,000

$50,000

CNG

Medium Term Notes 9.1% due 11/16

$10,000

$10,000

CNG

Medium Term Notes 8.96% due 4/17

$20,000

$20,000

CNG

Medium Term Notes 7.61% due 7/02

$10,000

$10,000

CNG

Medium Term Notes 8.05% due 8/12

$5,000

$5,000

CNG

Medium Term Notes 6.85% due 9/13

$20,000

$20,000

CNG

Medium Term Notes 7.82% due 7/04

$10,000

$10,000

CNG

Medium Term Notes 8.12% due 8/14

$5,000

$5,000

CNG

Medium Term Notes 8.49% due 8/24

$5,000

$5,000

CNG

Medium Term Notes 6.62% due 10/07

$1,000

$1,000

CNG

Medium Term Notes 6.65% due 10/07

$1,000

$1,000

Berkshire Gas

Senior Note 9.6%

$8,000

$8,000

Berkshire Gas

Senior Note 7.8%

$16,000

$16,000

Berkshire Gas

Commerical Note 6.10%

$6,000

$6,000

CNG

Medium Term Notes 6.69% due 10/07

$17,000

$17,000

CNG

Medium Term Notes 6.04% due 10/08

$20,000

$20,000

EAS Enterprises

Citibank Credit Agreement

$20,000

$20,000

EAS Enterprises

Chase Installment Promissory Note

$7,185

$5,055

 

INVESTMENTS IN SYSTEM SECURITIES

9. Give a tabulation showing the principal amount, par or stated value, the cost to the system company originally acquiring such security, and the number of shares or units, of each security described under Item 8 that is held by the registrant and by each subsidiary company thereof as the record (or beneficial) owner, and the amounts at which the same are carried on the books of each such owner. This information should be given as of the same date as the information furnished in answer to Item 8.

As of September 30, 2000



Record
(or beneficial) owner




Issuing company


Type of Security and Principal Amount, Par or Stated Value




Shares or Units Held

Cost to System Company Originally Acquiring
(000)

Amount at Which Carried on Books
of Owner

(000)

Energy East

NYSEG

Common Stock,
$6.66 2/3 Par Value

64,508,477

$600,734

$640,029

Energy East

Connecticut Energy

Common Stock,
$1.00 Par Value

1,000

$436,481

$434,360

Connecticut Energy

Southern

Common Stock,
$13.33 1/3 Par Value

1,407,072

$419,815

$415,355

Connecticut Energy

CNE Energy Services

Common Stock,
$1.00 Par Value

1,000

$15,121

$14,906

CNE Energy Services

Energy East Solutions, LLC (Energy East Solutions)

   

$2,451

$2,451

CNE Energy Services

Total Peaking Services, LLC

   

$2,080

$2,660

CNE Energy Services

CNE Peaking, LLC

   

$6,082

$5,447

Connecticut Energy

CNE Development

Common Stock,
$1.00 Par Value

1,000

$1,580

$2,322

Connecticut Energy

CNE Venture-Tech

Common Stock,
$1.00 Par Value

1,000

$8,469

$10,858

CNE Venture-Tech

CIS Service Bureau, LLC

   

$7,813

$7,813

Energy East

Energy East Enterprises (EEE)

Common Stock,$.01 par value

26

$11,633

$9,093

EEE

New Hampshire Gas Corporation

Common Stock,$.01 par value

25

$1,013

$802

EEE

Southern Vermont Natural Gas Corporation

Common Stock,$.01 par value

1

$323

($13)

EEE

Seneca Lake Storage

Common Stock,$.01 par value

1

$819

$859

Energy East

EAS Enterprises

Common stock,
No Par, $10,000 Stated Value

5,444

$41,899

$11,219

EAS Enterprises

Energy East Solutions

Common Stock, $.01 Par Value

121

$23,232

$14,577

Energy East Solutions

NYSEG Solutions

Common Stock, $.01 Par Value

26

$15,022

$8,576

EAS Enterprises

Energy East Telecommunications

Common Stock, $.01 Par Value

340

$3,624

$3,000

EAS Enterprises

Cayuga Energy

Common Stock, $.01 Par Value

1

$17,636

$18,032

Energy East

Energy East Management Corp

Common Stock, $.01 Par Value

10

$497,701

$20,110

 



Record
(or beneficial) owner




Issuing company


Type of Security and Principal Amount, Par or Stated Value




Shares or Units Held

Cost to System Company Originally Acquiring

Amount at Which Carried on Books
of Owner

Energy East

CMP Group

Common Stock,
$.01 par value

1,000

$772,055

$766,730

CMP Group

CMP Co

Common Stock,
par value $5

31,211,471

$614,251

$599,560

CMP Co

MEPCo

Common Stock, $100 par value

8,785

$9,334

$9,483

CMP Co

NORVARCO

Common Stock, $100 par value

5,000

$802

$806

CMP Co

Central Securities Corporation

Common Stock, $100 par value

10

$1,916

$1,921

CMP Co

Cumberland Securities Corp.

Common Stock, $100 par value

110

$959

$959

CMP Group

MaineCom Services

Common Stock, $10 par value

10,000

$143,450

$133,559

MaineCom Services

New England Investment Corp

Common Stock, $.01 par value

100

$123,299

$140,940

MaineCom Services

New England Security Corp.

Common Stock, $.01 par value

100

$10

$5

CMP Group

New England Gas Development Corp

Common Stock, $1 par value

500

$990

$454

CMP Group

The Union Water-Power Company

Common Stock, $100 par value

2,470

$23,478

$22,991

Energy East

CTG Resources

No Par Common Stock

1,000

$357,948

$356,923

CTG Resources

CNG

$3.125 Par Value Common Stock

10,634,496

$360,333

$354,996

CNG

CNG Realty Corp.

Common Stock, $100 par value

10

1

1

CTG Resources

TEN

$1.00 Par Value Common Stock

1,000

$44,793

$45,090

TEN

The Hartford Steam Company

Common Stock, $100 par value

621

$36,606

$36,933

TEN

TEN Transmission Company

Common Stock, no par value

1

$13,881

$13,939

TEN

ENI Gas Services, Inc.

Common Stock, no par value

1

$16

$16

TEN

TEN Gas Services, Inc.

Common Stock, no par value

100

$100

-

Berkshire Energy

Berkshire Gas

Common Stock $2.50 par

100

$91,550

$90,799

Berkshire Energy

Berkshire Propane, Inc.

Common Stock No par

100

$3,605

$3,518

Berkshire Energy

Berkshire Service Solutions, Inc.

Common Stock No par

100

($654)

($720)

Energy East

Berkshire Energy

Common Stock No par

1,000

$97,387

$96,522

 

 

INVESTMENTS IN OTHER COMPANIES

10. Give a tabulation showing all investments of the registrant and of each subsidiary thereof in holding companies and in public utility companies which are not subsidiary companies of the registrant. Also show all other investments of the registrant and of each subsidiary thereof in the securities of any other enterprise, if the book value of the investment in any such enterprise exceeds 2% of the total debit accounts shown on the balance sheet of the company owning such investment or an amount in excess of $25,000 (whichever amount is the lesser). Give principal amount and number of shares or units and the cost of each issue of such securities to the system company originally acquiring such security, and amount at which carried on the books of the owner. List all such securities pledged as collateral for loans or other obligations and identify loans and obligations for which pledged. This information should be given as of the same date as the information furnished in answer to Item 8.

(a) Investments of the registrant and of each subsidiary thereof in holding companies and in public utility companies which are not subsidiary companies of the registrant as of September 30, 2000:

None.

(b) All other investments of the registrant and of each subsidiary thereof in the securities of any other enterprise as of September 30, 2000:




Investment
    Company    



Principal
amount
  ($000)   



Number of shares
  or units  

System
Company's
Original
Acquisition
  Cost (000)  


Investment Owner's
Book Value
    (000)    

Loans or
Obligations
for Which
Pledged,
    if any    

John Hancock Financial
Services, Inc.(1)



200,062


$3,401


$5,377


 $874

Humana, Inc.(1)

$22,271

N/A

$22,271

$22,271

None

Winn-Dixie Stores, Inc.(1)

$3,494

N/A

$3,494

$3,494

None

East Coast Natural Gas
Cooperative, LLC

 

20%

$50

$62

None

Nth Power Technology
Fund I, L.P.

 

7.8884%

$7,641

$7,641

None

Nth Power Technology
Fund II, L.P.

 

4.1%

$750

$750

None

Total Peaking Services,
LLC

 

100%

$2,660

$2,660

None

CNE Peaking, LLC

 

100%

$5,447

$5,447

None

CIS Service Bureau

 

100%

$7,813

$7,813

None

Chester SVC Partnership

         

Maine Yankee Atomic
Power Company

 

190,000

$26,977

$26,977

None

Connecticut Yankee Atomic
Power Company

 

21,000

$5,358

$5,358

None

Vermont Yankee Nuclear
Power Corporation

 

15,681

$2,116

$2,116

None

Yankee Atomic Electric
Company

 

14,573

$1,094

$1,094

None

New England Business
Trust

 

100%

$123,289

$140,930

None

NEON Communications Inc.

 

4,455,802

$9,411

$147,650

None

KBC Energy Services

 

100%

$1,202

-0-

None

Iroquois Gas Transmission
System Limited
Partnership

 

4.87%

     $11,799

$11,799

None

Downtown Cogeneration
Associates Partnership

 

10%

$309

$309

None

Maine Natural Gas LLC

 

100%

$5,560

$5,560

None

(1) Exempt investment under 17CFR Section 250.40.

 

INDEBTEDNESS OF SYSTEM COMPANIES

11. List each indebtedness of the registrant and of each subsidiary company thereof (other than indebtedness reported under Item 8, but as of the same date) where the aggregate debt owed by any such company to any one person exceeds $25,000 or an amount exceeding 2% of the total of the debit accounts shown on the balance sheet of the debtor (whichever amount is the lesser) but not including any case in which such aggregate indebtedness is less than $5,000, and give the following additional information as to each such indebtedness:

(a) Debts owed to associate companies as of September 30, 2000:

(i) Intercompany Payables and Receivables:



Name of Debtor

Name of
Creditor

Amount Owed
(000)


Rate of
Interest


Date of
Maturity

NYSEG

Energy East

$2,907

18%

net 15 days

EAS Enterprises, Inc.

NYSEG

$387

18%

net 15 days

EEE

NYSEG

$113

18%

net 15 days

Southern

Connecticut Energy

$93

None

N/A

Connecticut Energy

Southern

$488

None

N/A

CNE Energy Services

Southern

$1,214

None

N/A

CNE Venture-Tech

Southern

$191

None

N/A

Connecticut Energy

CNE Development

$618

None

N/A

Connecticut Energy

CNE Energy Services

$260

None

N/A

Southern

CNE Energy Services

$127

None

N/A

Connecticut Energy

CNE Venture-Tech

$76

None

N/A

Southern

CNE Venture-Tech

$239

None

N/A

CMP Co

CMP Group

$2,863

None

N/A

MaineCom Services

CMP Group

$33

None

N/A

Union Water Power

CMP Group

$166

None

N/A

Energy East

CMP Group

$88

None

N/A

CMP Group

CMP Co

$456

None

N/A

Union Water Power

CMP Co

$623

None

N/A

CMP Co

Union Water Power

$351

None

N/A

MaineCom Services

CMP Co

$198

None

N/A

MEPCO

CMP Co

$194

None

N/A

Maine Yankee Atomic Power
Co.

CMP Co

$842

None

N/A

CMP Co

Maine Yankee Atomic Power
Co.

$2,225

None

N/A

CTG Resources

CNG

$4,624

None

N/A

CTG Resources

TEN

$41,109

None

N/A

CNG

CTG Resources

$1,055

None

N/A

CNG

The Hartford Steam Company

$41

None

N/A

CNG

CNG Realty Corp

$436

None

N/A

CNG

TEN

$109

None

N/A

CNG Realty Corp.

CNG

$122

None

N/A

The Hartford Steam Company
- Hartford Hospital Division

TEN

$1,669

None

N/A

TEN

CNG

$1,008

None

N/A

TEN

CTG Resources

$99

None

N/A

TEN

CTG Resources

$1,000

None

N/A

CNG Realty Corp.

CNG

$156

None

N/A

TEN

CNG

$106

None

N/A

CTG Resources

TEN

$41,135

None

N/A

 



Name of Debtor

Name of
Creditor

Amount Owed
(000)


Rate of
Interest


Date of
Maturity

CNG

TEN

$44

None

N/A

Berkshire Gas

Berkshire Energy

$88

None

Monthly

Berkshire Gas

Berkshire Propane, Inc.

$771

None

Monthly

Berkshire Gas

Berkshire Service

$35

None

Monthly

Berkshire Propane, Inc

Berkshire Energy

$263

None

Monthly

Berkshire Service

Berkshire Energy

$112

None

Monthly

Berkshire Energy

Berkshire Gas

$691

None

Monthly

Berkshire Propane, Inc.

Berkshire Gas

$724

None

Monthly

Berkshire Service

Berkshire Gas

$251

None

Monthly

Energy East Solutions, Inc.

EAS Enterprises

$562

None

net 30 days

Cayuga Energy

EAS Enterprises

$39

None

net 30 days

NYSEG Solutions

EAS Enterprises

$117

None

net 30 days

NYSEG

NYSEG Solutions

$237

None

net 30 days

Carthage Energy

NYSEG Solutions

$72

None

net 30 days

Energy East Solutions, Inc.

NYSEG Solutions

$350

None

net 30 days

South Jersey Energy
Solutions, LLC

NYSEG Solutions

$2,124

None

net 30 days

EAS Enterprises

Energy East Solutions, Inc.

$906

None

net 30 days

Energy East Solutions

Energy East Solutions, Inc.

$30

None

net 30 days

Energy East Solutions, Inc.

Energy East Solutions

$580

None

net 30 days

NYSEG Solutions

Energy East Solutions, Inc.

$692

None

net 30 days

South Jersey Solutions, LCC

Energy East Solutions, Inc.

$166

None

net 30 days

NYSEG

Energy East
Telecommunications

$29

None

net 30 days

Telergy East, LLC

Energy East
Telecommunications

$138

None

net 30 days

NYSEG Solutions

South Glens Falls Energy

$1,015

None

net 30 days

Carthage Energy

South Glens Falls Energy

$63

None

net 30 days

NYSEG Solutions

Carthage Energy

$594

None

net 30 days

Cayuga Energy

NYSEG

$32

None

net 30 days

NYSEG Solutions, Inc.

NYSEG

$213

None

net 30 days

EAS Enterprises

Energy East

$98

None

net 30 days

EAS Enterprises

Energy East Management
Corp.

$594

None

net 30 days

Energy East

EAS Enterprises

$1,043

None

net 30 days

Energy East

Energy East Solutions, Inc.

$101

None

net 30 days

Energy East

NYSEG Solutions

$2,543

None

net 30 days

Energy East

Energy East
Telecommunications

$86

None

net 30 days

Cayuga Energy

Energy East

$425

None

net 30 days

Maine Natural Gas

NYSEG

$79

None

net 30 days

NYSEG

Energy East

$4,370

None

net 30 days

EAS Enterprises

Energy East

$98

None

net 30 days

Energy East

NYSEG

$1,463

None

net 30 days

EAS Enterprises

Energy East Management
Corporation

$594

None

net 30 days

(ii) Intercompany Notes Receivable/Payable:



Name of Debtor


Name of
Creditor

Amount Owed
(000)


Rate of
Interest


Date of
Maturity

CNE Energy Services

Connecticut Energy

$5,454

7.224%

12/4/00

CNE Venture-Tech

Connecticut Energy

$4,130

0%

N/A

CNG

TEN

$11,000

variable

 

Berkshire Gas

Berkshire Energy

$11,989

7.29%

Revolving

Berkshire Propane, Inc.

Berkshire Energy

$4,673

9.5%

Revolving

Berkshire Service

Berkshire Energy

$3,165

9.5%

Revolving

EAS Enterprises

Energy East Solutions

$1,000

5.4125%

11/27/00

EAS Enterprises

Energy East

$3,850

7.50%

11/30/00

(b) Debts owed to others as of September 30, 2000:

Omitted by permission of the Staff.

 

PRINCIPAL LEASES

12. Describe briefly the principal features of each lease (omitting oil and gas leases) to which the registrant or any subsidiary company thereof is a party, which involves rental at an annual rate of more than $50,000 or an amount exceeding 1% of the annual gross operating revenue of such party to said lease during its last fiscal year (whichever of such sums is the lesser) but not including any lease involving rental at a rate of less than $5,000 per year.



Lessee



Lessor



Item(s) Leased

Annual
Payments
(000)


Expiration
Date

NYSEG

Dell Financial Services

Computers

$131,735

10/31/2001

NYSEG

Dell Financial Services

Computers

$180,273

05/31/2002

NYSEG

Dell Financial Services

Computers

$165,690

06/30/2002

NYSEG

Dell Financial Services

Computers

$170,846

07/31/2002

NYSEG

Dell Financial Services

Computers

$144,172

08/31/2002

NYSEG

Columbia Lancaster
   Group, L.L.C.

Lancaster Service
   Center Building

$558,866

12/16/2022

Southern

People's Bank

Office

$1,232

12/31/2012

Southern

Baker Properties
   Limited Partnership

Operations Center

$935

12/2013

Southern

Fleet

Liquefied Natural Gas
(LNG) Plant

$609

12/31/2020

CMP Co

VETCO

Transmission
Facilities

$356

12/2011

CMP Co

NEETCO

Transmission
Facilities

$623

12/2011

CMP Co

NEP

Transmission
Facilities

$711

6/2015

CMP Co

NEH

Transmission
Facilities

$2,467

6/2015

CMP Co

NHH

Transmission
Facilities

$2,242

6/2015

CMP Co

John G. Morse Jr.

Land & Building

$121

1/2007

CMP Co

Transco

Copiers

$59

12/2000

CMP Co

Storagetec Financial

Computers

$85

6/2002

Union Water Power
Company

Augusta - Gall

Building

$167

3/2005

Union Water Power
Company

Portland - Congdon

Building

$62

2/2005

Department of Human
Services

Union Water Power
Company

Building

$215

10/2008

Adelphia Co.

Union Water Power
Company

Building

$180

9/2006

Fairchild
Semiconductor

Union Water Power
Company

Building

$54

Tenants at will

CMP Co

Augusta Edison Trust

Buildings

$1,100

3/2021

CNG

Pacific Rim Capital
Bank One

Computer Equipment

$54

6/30/01

CNG

IBM Credit Corp.

Computer Equipment

$55

11/30/01

CNG

Pacific Rim Capital
Capital Associates

Computer Equipment

$54

9/30/02

CNG

Pacific Rim Capital
Relational Funding

Computer Equipment

$51

3/31/03

CNG

Old Track Road LLC

Office Space

$330

8/18/14

Paradigm Investment
Services Inc.

CNG

Office Space

$144

8/18/06



Lessee



Lessor



Item(s) Leased

Annual
Payments
(000)


Expiration
Date

The Hartford Steam
Company

Hartford Downtown
Revival LLC

Cogeneration
Facilities and
Equipment

$72

5/01/14

TEN

State of Connecticut

Building

$55

7/01/09

Berkshire Gas

Fleet Capital Leasing

Computer Equipment

$66

2/2002

Berkshire Gas

Fleet Capital Leasing

Computer Equipment

$82

11/2002

Berkshire Gas

Fleet Capital Leasing

Computer Equipment

$54

12/2002

Berkshire Gas

Wells Fargo Leasing

Computer Equipment

$214

4/2001

Berkshire Gas

KeyCorp Leasing

Computer Equipment

$64

6/2003

EAS Enterprises

The Chase Manhattan
Bank

Office

$89

3/31/01

EAS Enterprises

217 Commercial Street
Associates, Inc.

Office

$76

12/31/04

 

SECURITIES SOLD

13. If, during the last five years, the registrant or any subsidiary company thereof has issued, sold or exchanged, either publicly or privately, any securities having a principal amount, par, stated or declared value exceeding $1,000,000 or exceeding an amount equal to 10% of the total liabilities as shown by the balance sheet of the issuer at the time of such issue (whichever of such sums is the lesser), give the following information with respect to each such issue or sale:

Omitted by permission of the Staff.

 

AGREEMENTS FOR FUTURE DISTRIBUTION OF SECURITIES

14. (a) Summarize the terms of any existing agreement to which the registrant or any associate or affiliate company thereof is a party or in which any such company has a beneficial interest with respect to future distribution of securities of the registrant or of any subsidiary;

Certain information regarding agreements with respect to future distribution of securities of Energy East and its subsidiaries is set forth in the following documents, the applicable portions of which are hereby incorporated by reference: information with respect to Energy East's Dividend Reinvestment and Stock Purchase Plan is set forth in Energy East's Registration Statement No. 033-54155, as amended; information with respect to Energy East's 2000 Stock Option Plan is set forth in Energy East's Registration Statement No. 333-37392; information with respect to NYSEG's Employees' Stock Purchase Plan is set forth in Energy East's Registration Statement No. 33-54993, as amended; information with respect to NYSEG's 401K Plan is set forth in Energy East's Registration Statement No. 333-16201, as amended; information with respect to Southern's 401K Plan is set forth in Energy East's Registration Statement No. 333-34776; information with respect to Connecticut Natural Gas Corporation's 401K Plan is set forth in Energy East's Registration Statement No. 333-45082; and information with respect to Central Maine Power's 401K Plan is set forth in Energy East's Registration Statement No. 333-45084.

(b) Describe briefly the nature of any financial interest (other than the ownership of securities acquired as a dealer for the purpose of resale) which any person with whom such agreement exists, has in the registrant or in any associate or affiliate company thereof.

The beneficiaries of the employee benefit plans referred to above may be deemed to have a financial interest in the registrant or affiliated companies thereof by virtue of their employment relationship with the registrant or such other companies and compensation, benefit and severance agreements and arrangements relating to such employment.

 

TWENTY LARGEST HOLDERS OF CAPITAL STOCKS

15. As of a recent date (indicating such date for each class) give the following information with respect to the holders of each class of stock and/or certificates of beneficial interest of the registrant:

(a) List the twenty largest holders in accordance with the table below:
     The 20 largest registered holders of common stock of Energy East as of its most recent dividend record date, October 23, 2000, are:


Title of Issue

Holder of Record
and Address

Number of
Shares Owned

Percent of Class

Common Stock

Cede & Co
c/o The Depository Trust Co.
Attn Neil Desai - Cash Receipts
7 Hanover Square - 24th Floor
New York NY 10004


88,310,545


74.6137%

Common Stock

Energy East Corporation as Agent
for the Dividend Reinvestment and
Stock Purchase Plan
PO Box 3200
Ithaca NY 14852


10,776,093


9.1047%

Common Stock

ChaseMellon Shareholder Services
as Exchange Agent for the
Unexchanged Shs of CT Energy Corp
Reorganization Dept
85 Challenger Rd

Ridgefield Park NJ 07660


318,215


0.2689%

Common Stock

Energy East Corp Repurchase AC
Ithaca Dryden Rd - Box 3287
Ithaca NY 14852


170,000


0.1436%

Common Stock

Edward T Burns Jr
300 Sperry Avenue
Stratford CT 06615


166,508


0.1407%

Common Stock

ChaseMellon Shareholder Services
as Exchange Agent for the
Unexchanged Shares of CTG
Resources & Oak Merger Co
85 Challenger Rd - Reorganization Dept
Ridgefield Park NJ 07660


109,652


0.0926%

Common Stock

Josephine Burns
240 Rosebrook Dr
Stratford CT 06614-2450


53,495


0.0452%

Common Stock

Esther C Chadwick
19 Kent Rd
Scarsdale NY 10583


52,014


0.0439%

Common Stock

Hart Securities Ltd
c/o Anthony Bonanno Esq
Gibson Dunn and Crutcher
1050 Connecticut Ave NW - Suite 900
Washington DC 20036


50,000


0.0422%

Common Stock

Anthony S Papa and Joan B Papa JT TEN
60 Linwood Ave
Newington CT 06111-3824


49,708


0.0420%


Title of Issue

Holder of Record
and Address

Number of
Shares Owned

Percent of Class

Common Stock

Angelo Tomasso Jr
132 Roslyn Dr
New Britain CT 06052-1824


36,055


0.0305%

Common Stock

Muriel Putnam Smith and Everett
Smith III TR UA May 16 96 The Muriel Putnam Smith Trust
Quaker Lane
Greenwich CT 06831


33,689


0.0285%

Common Stock

Edward T Burns Jr Cust
John Burns
Unif Gift Min Act MA
240 Rosebrook Dr
Stratford CT 06614-2450


28,120


0.0238%

Common Stock

Paula Julian
91 Avalon Court
Fairfield CT 06430-6235


22,213


0.0188%

Common Stock

David L Mandel
14 Willow Lane
Morgantown WV 26505


21,932


0.0185%

Common Stock

Price Y Cia Inc
c/o Thomas E Price
216 Dixie Terminal Building
Cincinnati OH 45202


20,784


0.0176%

Common Stock

George Kozmetsky &
Ronya Kozmetsky JT TEN
PO Box 2253
Austin TX 78701


20,034


0.0169%

Common Stock

Evelyn P Ahlquist
17 Brooke Meadow Rd
Kensington CT 06037-2805


18,200


0.0154%

Common Stock

Dwight C Baum TR UA Jan 16 79
Dwight C Baum Hildagarde E Baum Trust
1011 Oak Grove Ave
San Marino CA 91108-1025


17,320


0.0146%

Common Stock

Roberta R Mercadente
24 Crest St
Wethersfield CT 06109-2601


17,100


0.0144%

 

(b) Number of shareholders of record each holding 1,000 shares or more, and aggregate number of shares so held.
     
5,070 accounts holding 110,782,822 shares (includes shareholders listed in (a) above)

(c) Number of shareholders of record each holding less than 1,000 shares, and the aggregate number of shares so held.
     30,870 accounts holding 7,574,176 shares

 

 

OFFICERS, DIRECTORS AND EMPLOYEES

16. (a) Positions and Compensation of Officers and Directors. Give name and address of each director and officer (including any person who performs similar functions) of the registrant, of each subsidiary company thereof, and of each mutual service company which is a member of the same holding company system. Opposite the name of each such individual give the title of every such position held by him and briefly describe each other employment of such individual by each such company.

State the present rate of compensation on an annual basis for each director whose aggregate compensation from all such companies exceeds $1,000 per year, and of each officer whose aggregate compensation from such companies is at the rate of $20,000 or more per year. In the event any officer devotes only part of his time to a company or companies in the system, this fact should be indicated by appropriate footnote. Such compensation for such part time should be computed on an annual rate, and if such annual rate exceeds $20,000, the actual compensation, as well as annual rate, should also be reported.

 



Name



Address



Company


Positions and Employments

Present Compensation (Annual Rate)

         
         
         

(b) Compensation of Certain Employees. As to regular employees of such companies who are not directors or officers of any one of them, list the name, address and aggregate annual rate of compensation of all those who receive $20,000 or more per year from all such companies.

(c) Indebtedness to System Companies. As to every such director, trustee or officer as aforesaid, who is indebted to any one of such companies, or on whose behalf any such company has now outstanding and effective any obligation to assume or guarantee payment of any indebtedness to another, and whose total direct and contingent liability to such company exceeds the sum of $1,000, give the name of such director, trustee, or officer, the name of such company and describe briefly the nature and amount of such direct and contingent obligations.

(d) Contracts. If any such director, trustee, or officer as aforesaid:

(1) has an existing contract with any such company (exclusive of an employment contract which provides for no compensation other than that set forth in paragraph (a) of this Item); or,

(2) either individually or together with the members of his immediate family, owns, directly or indirectly, 5% or more of the voting securities of any third person with whom any such company has an existing contract; or,

(3) has any other beneficial interest in an existing contract to which any such company is a party; describe briefly the nature of such contract, the names of the parties thereto, the terms thereof and the interest of such officer, trustee, or director therein.

     By permission of the Staff of the Commission, the information required for Items 16(a) through 16(d) is not included in this report. Instead, the information will be available in Energy East Corporation's Proxy Statement to be distributed in connection with the 2001 Annual Meeting of Stockholders. Information concerning the positions and compensation of officers and directors of Energy East prior to the Mergers may be found in the Energy East Proxy Statement dated March 28, 2000, which is hereby incorporated by reference.

(e) Banking Connections. If any such director, trustee or officer is an executive officer, director, partner, appointee or representative of any bank, trust company, investment banker, or banking association or firm, or of any corporation a majority of whose stock having the unrestricted right to vote for the election of directors, is owned by any bank, trust company, investment banker, or banking association or firm, state the name of such director or officer, describe briefly such other positions held by him and indicate which of the rules under Section 17(c) authorizes the registrant and subsidiary companies of which he is a director or officer to retain him in such capacity.

Wesley W. von Schack - Member of the Board of Directors of Energy East since 1997 and Chairman, Chief Executive Officer and Chief Accounting Officer of Energy East Corporation. Currently a director of Mellon Bank Corporation and Mellon Bank, N.A., Pittsburgh, Pennsylvania. Authorized pursuant to Rule 70(b) of the Act.

 

INTERESTS OF TRUSTEES IN SYSTEM COMPANIES

17. Describe briefly the nature of any substantial interest which any trustee under indentures executed in connection with any outstanding issue of securities of the registrant or any subsidiary thereof, has in either the registrant or such subsidiary, and any claim which any such trustee may have against registrant or any subsidiary; provided, however, that it shall not be necessary to include in such description any evidences of indebtedness owned by such trustee which were issued pursuant to such an indenture.

To the knowledge of Energy East, no such interests exist.

 

SERVICE, SALES AND CONSTRUCTION CONTRACTS

18. As to each service, sales or construction contract (as defined in paragraphs (19) to (21) of Section 2(a) of the Act) which the registrant and any subsidiary company thereof has had in effect within the last three months, describe briefly the nature of such contract, the name and address of the parties thereto, the dates of execution and expiration, and the compensation to be paid thereunder. Attach typical forms of any such contracts as an exhibit to this registration statement. If the other party to any such contract is a mutual service company or a subsidiary service company which is a member of the same holding company system as the registrant and as to which the Commission has made a favorable finding in accordance with Rule 13-22, specific reference may be made to the application or declaration filed by such company pursuant to Rule 13-22 and no further details need be given as to such contracts.

     The information relating to all existing service, sales and construction contracts is included in File
No. 70-9675, Amendment No. 4 on Form U-1/A, and is incorporated by reference herein. There are no typical forms of such contracts.

 

LITIGATION

19. Describe briefly any existing litigation of the following descriptions, to which the registrant or any subsidiary company thereof is a party, or of which the property of the registrant or any such subsidiary company is the subject, including the names of the parties and the court in which such litigation is pending:

(1) Proceedings to enforce or to restrain enforcement of any order of a State commission or other governmental agency;

(2) Proceedings involving any franchise claimed by any such company;

(3) Proceedings between any such company and any holder, in his capacity as such, of any funded indebtedness or capital stock issued, or guaranteed by such company, or between any such company and any officer thereof;

(4) Proceedings in which any such company sues in its capacity as owner of capital stock or funded indebtedness issued or guaranteed by any other company;

(5) Each other proceeding in which the matter in controversy, exclusive of interest and costs, exceeds an amount equal to 2% of the debit accounts shown on the most recent balance sheet of such company.

     Information concerning litigation involving Energy East and its subsidiaries is available in Item 3 of the annual reports on Form 10-K and Item 1 of the quarterly reports on Form 10-Q of the companies: Energy East (File No. 1-14766), NYSEG (File No. 1-3103-2), Connecticut Energy (File No. 1-8369), CMP Group (File No. 1-14786), CMP Co (File No. 1-5139), CTG Resources (File No. 1-12859) and Berkshire Energy (File No. 0-29812), the relevant sections of which are incorporated by reference herein.

 

EXHIBITS

Submit the following exhibits as a part of the registration statement.

EXHIBIT A. Furnish a corporate chart showing graphically relationships existing between the registrant and all subsidiary companies thereof as of the same date as the information furnished in the answer to Item 8. The chart should show the percentage of each class of voting securities of each subsidiary owned by the registrant and by each subsidiary company.

A corporate chart of Energy East and its subsidiaries is provided as Exhibit A-1.

EXHIBIT B. With respect to the registrant and each subsidiary company thereof, furnish a copy of the charter, articles of incorporation, trust agreement, voting trust agreement, or other fundamental document of organization, and a copy of its by-laws, rules and regulations, or other instruments corresponding thereto. If such documents do not set forth fully the rights, priorities and preferences of the holders of each class of capital stock described in the answer to Item 8(b) and those of the holders of any warrants, options or other securities described in the answer to Item 8(d), and of any limitations on such rights, there shall also be included the text appearing on each certificate or a copy of each resolution or other document establishing or defining such rights and limitations. The text of each such document shall be in the amended form effective at the date of filing the registration statement or shall be accompanied by copies of any amendments to it then in effect.

     By permission of the Staff, in lieu of the items required for this exhibit, the disclosure requirements for Exhibit B have been limited to 1) the state of incorporation for Energy East and each of its subsidiary companies and 2) a brief description of every subsidiary company of Energy East including a statement as to whether each such company is active or inactive. Such information is provided in Items 4 and 5 of this report.

EXHIBIT C. (a) With respect to each class of funded debt shown in the answers to Items 8(a) and 8(c), submit a copy of the indenture or other fundamental document defining the rights of the holders of such security, and a copy of each contract or other instrument evidencing the liability of the registrant or a subsidiary company thereof as endorser or guarantor of such security. Include a copy of each amendment of such document and of each supplemental agreement, executed in connection therewith. If there have been any changes of trustees thereunder, such changes, unless otherwise shown, should be indicated by notes on the appropriate documents. No such indenture or other document need be filed in connection with any such issue if the total amount of securities that are now, or may at any time hereafter, be issued and outstanding thereunder does not exceed either $1,000,000 or an amount equal to 10% of the total of the debit accounts shown on the most recent balance sheet of the registrant or subsidiary company which issued or guaranteed such securities or which is the owner of property subject to the lien of such securities, whichever of said sums is the lesser.

Omitted by permission of the Staff.

(b) As to each outstanding and uncompleted contract or agreement entered into by registrant or any subsidiary company thereof relating to the acquisition of any securities, utility assets (as defined in Section 2(a)(18) of the Act), or any other interest in any business, submit a copy of such contract or agreement and submit details of any supplementary understandings or arrangements that will assist in securing an understanding of such transactions.

Omitted by permission of the Staff.

EXHIBIT D. A consolidating statement of income and surplus of the registrant and its subsidiary companies for its last fiscal year ending prior to the date of filing this registration statement, together with a consolidating balance sheet of the registrant and its subsidiary companies as of the close of such fiscal year.

     By permission of the Staff, Exhibit D will be filed on or before May 1, 2001. Such Exhibit will disclose the consolidating financial statements of Energy East Corporation and its subsidiaries as of the fiscal year ended December 31, 2000.

EXHIBIT E. For each public utility company and natural gas producing and pipe line property in the holding company system of the registrant, furnish the following maps (properties of associate companies operating in contiguous or nearby areas may be shown on the same map, provided property and service areas of each company are shown distinctively); provided that all maps shall be filed in paper under cover of Form SE (Section 259.603) if submitted by an electronic filer.

(1) Map showing service area in which electric service is furnished, indicating the names of the companies serving contiguous areas;

(2) Electric system map showing location of electric property (exclusive of local distribution lines) owned and/or operated, and information as follows:

(a) Generating plants - kind and capacity;

(b) Transmission lines - voltage, number of circuits, kind of supports, kind and size of conductors;

(c) Transmission substations - capacity;

(d) Distribution substations - capacity;

(e) Points of interconnection with all other electric utility companies and with all electrical enterprises operated by municipal or governmental agencies, giving names of such companies and enterprises;

(3) Map showing service area in which gas service is furnished, indicating the names of companies serving contiguous areas;

(4) Gas system map showing location of gas property (exclusive of low pressure local distribution lines) owned and/or operated, and information as follows:

(a) Generating plants - kind and daily capacity;

(b) Holders - kind and capacity;

(c) Compressor stations - capacity in horsepower;

(d) Transmission pipe lines - size, approximate average transmission pressure and the estimated daily delivery capacity of the system;

(e) Points of interconnection with all other private and public gas utilities, pipe lines or producing enterprises, giving names of such companies and other enterprises;

(f) General location and outline of gas producing and reserve areas, and diagrammatic location of gathering lines.

Maps have been provided as Exhibits E-1 through E-10.

EXHIBIT F. Furnish an accurate copy of each annual report for the last fiscal year ending prior to the date of the filing of this registration statement, which the registrant and each subsidiary company thereof has previously submitted to its stockholders. For companies for which no reports are submitted the reason for omission should be indicated; provided that electronic filers shall submit such reports in paper format only under cover of Form SE (Section 259.603).

Annual Reports have been provided as Exhibits F-1 through F-5.

EXHIBIT G. Furnish a copy of each annual report which the registrant and each public utility subsidiary company thereof shall have filed with any State commission having jurisdiction to regulate public utility companies for the last fiscal year ending prior to the date of filing this registration statement. If any such company shall have filed similar reports with more than one such State commission, the registrant need file a copy of only one of such reports provided that notation is made of such fact, giving the names of the different commissions with which such report was filed, and setting forth any differences between the copy submitted and the copies filed with such other commissions. In the event any company submits an annual report to the Federal Power Commission but not to a State commission, a copy of such report should be furnished. In the case of a registrant or any public utility subsidiary company for which no report is appended, the reasons for such omission should be indicated such as "No such reports required or filed;" provided that electronic filers shall submit such reports in paper format only under cover of Form SE (Section 259.603).

An annual report to a State Commission for each public utility subsidiary has been provided as Exhibits G-1 through G-7. No such report is required of Energy East and NORVARCO.

 

EXHIBIT H. Typical forms of service, sales or construction contracts described in answer to Item 18.

See response to Item 18.

This registration statement comprises:

(a) Pages numbered 1 to 29, consecutively.

(b) The following Exhibits:

EXHIBIT INDEX

Exhibit Number


Description

A-1

Corporate chart of Energy East Corporation and Subsidiaries (filed herewith on Form SE).

E-1

New York State Electric & Gas Corporation Electric System Map dated October 2000 (filed herewith on Form SE).

E-2

New York State Electric & Gas Corporation Gas System Map dated August 2000 (filed herewith on Form SE).

E-3

New York State Electric & Gas Corporation Line Impedance Listing 3.45 kv - 345 kv dated January 2000 (filed herewith on Form SE).

E-4

New York State Electric & Gas Corporation Substations (filed herewith on Form SE).

E-5

The Southern Connecticut Gas Company, Connecticut Energy Corporation, Franchise Area Map by Town dated May 2000 (filed herewith on Form SE).

E-6

Central Maine Power Company Map of Towns Served dated October 2000 (filed herewith on Form SE).

E-7

Central Maine Power Company Map of Major Transmission System and Transmission Line Data dated October 2000 (filed herewith on Form SE).

E-8

Connecticut Natural Gas Service Areas and State of Connecticut Natural Gas LDC Town Assignments, dated October 2000 (filed herewith on Form SE).

E-9

Connecticut Natural Gas Corporation Gas Distribution System and Supply Points, dated October 2000 (filed herewith on Form SE).

E-10

Map of Berkshire Gas Co. And information on Propane Air Plants and LNG - Liquefied Natural Gas (filed herewith on Form SE).

F-1

Energy East Corporation's 1999 Annual Report (year ended December 31, 1999) (filed herewith on Form SE).

F-2

Connecticut Energy Corporation's 1999 Annual Report (year ended September 30, 1999) (filed herewith on Form SE).

F-3

CMP Group's and Central Maine Power Company's Summary Annual Report for 1999 (year ended December 31, 1999) (filed herewith on Form SE).

F-4

CTG Resources, Inc.'s 1999 Annual Report (year ended September 30, 1999) (filed herewith on Form SE).

F-5

Berkshire Energy Resources' 1999 Annual Report (year ended June 30, 1999) (filed herewith on Form SE).

G-1

New York State Electric & Gas Corporation Annual Report for the year ended December 31, 1999, to the State of New York Public Service Commission (filed herewith on Form SE).

G-2

The Southern Connecticut Gas Company Annual Report to the Department of Public Utility Control of the State of Connecticut for the Year Ended September 30, 1999 (filed herewith on Form SE).

G-3

Maine Natural Gas, LLC (formerly CMP Natural Gas, LLC) Calendar Year 1999 Financial Statements filed with the Maine Public Utilities Commission (filed herewith on Form SE).

G-4

Central Maine Power Company FERC Form 1 Annual Report for the Year Ended December 31, 1999 submitted to the Maine Public Utilities Commission (filed herewith on Form SE).

 

Exhibit Number


Description

G-5

Maine Electric Power Company, Inc. FERC Form 1 Annual Report for the Year Ended December 31, 1999 submitted to the Maine Public Utilities Commission (filed herewith on Form SE).

G-6

Connecticut Natural Gas Corporation Annual Report to the Department of Public Utility Control of the State of Connecticut for the Year Ended September 30, 1999 (filed herewith on Form SE).

G-7

The Berkshire Gas Company, The Commonwealth of Massachusetts, Return to the Department of Telecommunications and Energy of Massachusetts for the Year Ended December 31, 1999 (filed herewith on Form SE).

S I G N A T U R E

Pursuant to the requirements of the Public Utility Holding Company Act of 1935, the registrant has caused this registration statement to be duly signed on its behalf in the City of Ithaca and State of New York, on the 27th day of November, 2000.

 

(SEAL)

 

 

ENERGY EAST CORPORATION
         (Name of Registrant)

 


By  /s/ Robert E. Rude                   
      Robert E. Rude
      Vice President and Controller

Attest:

 /s/ Kenneth M. Jasinski                     
     Kenneth M. Jasinski
     Executive Vice President, General
     Counsel & Secretary

 

V E R I F I C A T I O N

State of New York     )

                                )    ss.

County of Tompkins  )

The undersigned being duly sworn deposes and says that he has duly executed the attached registration statement dated November 27, 2000, for and on behalf of Energy East Corporation; that he is the Vice President and Controller of such company and that all action by stockholders, directors, and other bodies necessary to authorize deponent to execute and file such instrument has been taken. Deponent further says that he is familiar with such instrument and the contents thereof, and that the facts therein set forth are true to the best of his knowledge, information and belief.

 /s/ Robert E. Rude                          
     Robert E. Rude

 

 

Subscribed and sworn to before me, a notary public this 27th day of November, 2000.

(OFFICIAL SEAL)

 /s/ Darlene E. Beach                        
     Darlene E. Beach

My commission expires:   June 30, 2001  



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