|
SECURITIES AND EXCHANGE COMMISSION
FORM U5B
Energy East Corporation
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 |
3. |
Name and address of chief accounting officer: |
Wesley W. von Schack Chief Accounting Officer |
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 |
|
State of |
|
|
Energy East Corporation |
Corporation |
NY |
Holding company |
|
New York State Electric & |
Corporation |
NY |
Electric and natural |
|
Connecticut Energy |
Corporation |
CT |
Holding company |
|
The Southern Connecticut |
Corporation |
CT |
Natural gas utility |
|
CNE Energy Services Group, Inc. |
Corporation |
CT |
Energy products and services |
|
Energy East Solutions, LLC |
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, |
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 |
Limited partnership |
CA |
Energy-related investment company |
Name of Company |
|
State of |
|
Nth Power Technologies Fund II, LP |
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 |
VT |
Natural gas supply and distribution |
Seneca Lake Storage, Inc. |
Corporation |
NY |
Natural gas storage |
Maine Natural Gas, LLC (formerly CMP |
Limited liability company |
ME |
Natural gas utility |
EAS Enterprises, Inc. |
Corporation |
DE |
Energy-related |
Energy East Solutions, Inc. |
Corporation |
DE |
Electricity and natural |
NYSEG Solutions, Inc. |
Corporation |
NY |
Electricity and natural gas marketer |
South Jersey Energy Solutions, LLC |
Limited liability company |
DE |
Electricity marketer, energy services |
Energy East Solutions, LLC |
Limited liability company |
DE |
Energy products |
Energy East Telecommunications, Inc. |
Corporation |
DE |
Exempt Telecommunications Company |
Telergy East, LLC |
Limited liability company |
NY |
Exempt Telecommunications |
Name of Company |
|
State of |
|
Cayuga Energy, Inc. |
Corporation |
DE |
Energy-related |
PEI Power II, LLC |
Limited liability company |
PA |
Peaking generation |
Carthage Energy, LLC |
Limited liability company |
NY |
Peaking generation |
South Glens Falls Energy, LLC |
Limited liability company |
NY |
Peaking generation |
Energy East Management |
Corporation |
DE |
Service company |
CMP Group, Inc. |
Corporation |
ME |
Holding company |
Central Maine Power Company |
Corporation |
ME |
Electric utility |
Maine Electric Power Company, Inc. |
Corporation |
ME |
Electric transmission utility |
NORVARCO |
Corporation |
ME |
Electric utility |
Chester SVC Partnership |
General partnership |
ME |
Static var |
Central Securities Corporation |
Corporation |
ME |
Real estate |
Cumberland Securities Corporation |
Corporation |
ME |
Real estate |
Maine Yankee Atomic Power |
Corporation |
ME |
Nuclear generator - |
Yankee Atomic Electric Company |
Corporation |
MA |
Decommissioned |
Connecticut Yankee Atomic Power |
Corporation |
CT |
Nuclear generator - |
Name of Company |
|
State of |
|
Vermont Yankee Nuclear Power |
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. |
Corporation |
DE |
Telecommunications |
New England Security Corp. |
Corporation |
MA |
Exempt Telecommunications |
New England Gas Development |
Corporation |
ME |
Investment company |
Maine Natural Gas, LLC |
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 |
|
State of |
|
ENI Gas Services, Inc. |
Corporation |
CT |
Energy services |
KBC Energy Services |
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 |
Gas |
|
Total Annual Sales |
||
Interstate Transactions: |
||
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
Col. A |
Col. B |
Col. C |
Col. D |
|
|
Amount |
Amount Issued |
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 |
|
|
|
Amount Reserved for Options, Warrants, Conversions & Other Rights |
|
|
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, |
90,000,000 |
0 |
25,491,523 |
64,508,477 |
Connecticut Energy |
Common Stock, |
1,000 |
0 |
0 |
1,000 |
Southern |
Common Stock, |
1,407,072 |
0 |
0 |
1,407,072 |
CNE Energy Services |
Common Stock, |
1,000 |
0 |
0 |
1,000 |
CNE Development Corporation (CNE Development) |
Common Stock, |
1,000 |
0 |
0 |
1,000 |
CNE Venture-Tech, Inc. |
Common Stock, |
1,000 |
0 |
0 |
1,000 |
Energy East Enterprises, Inc. (EEE) |
Common Stock, |
10,000 |
0 |
9,974 |
26 |
New Hampshire Gas Corporation |
Common Stock, |
1,000 |
0 |
975 |
25 |
Southern Vermont Natural Gas Corporation |
Common Stock, |
5,000 |
0 |
4,999 |
1 |
Seneca Lake Storage, Inc. |
Common Stock, |
1,000 |
0 |
999 |
1 |
EAS Enterprises |
Common, No par value, $10,000 Stated Value |
10,000 |
0 |
4,556 |
5,444 |
|
|
|
Amount Reserved for Options, Warrants, Conversions & Other Rights |
|
|
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 |
5,000 |
0 |
4,999 |
1 |
Energy East Management Corp. |
Common Stock, $.01 par value |
200 |
0 |
190 |
10 |
CMP Group |
Common Stock, |
1,000 |
0 |
0 |
1,000 |
CMP Co |
Common Stock, |
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% |
220,000 |
0 |
0 |
220,000 |
CMP Co |
Preferred $100 par value, Redemption Price $101.00, 4.60% |
30,000 |
0 |
0 |
30,000 |
CMP Co |
Preferred $100 par value, Redemption Price $101.00, 4.75% |
50,000 |
0 |
0 |
50,000 |
CMP Co |
Preferred $100 par value, Redemption Price $102.00, 5.25% |
50,000 |
0 |
0 |
50,000 |
CMP Co |
Preferred $100 par value, Redemption Price $100.00, Dividend Series, 7.99% |
99,100 |
0 |
0 |
99,100 |
CMP Co. |
Preferred $100 par value, Noncallable, |
533 |
0 |
0 |
533 |
CMP Co |
Preferred $100 par value, Noncallable, |
5,713 |
0 |
0 |
5,713 |
MEPCo |
Common Stock, |
20,000 |
0 |
11,215 |
8,785 |
NORVARCO |
Common Stock, |
5,000 |
0 |
0 |
5,000 |
Central Securities Corp |
Common Stock, |
10 |
0 |
0 |
10 |
Cumberland Securities Corporation |
Common Stock, |
110 |
0 |
0 |
110 |
MaineCom Services |
Common Stock, |
10,000 |
0 |
0 |
10,000 |
New England Investment Corp |
Common Stock, |
100 |
0 |
0 |
100 |
New England Security Corp. |
Common Stock, |
100 |
0 |
0 |
100 |
New England Gas Development |
Common Stock, |
500 |
0 |
0 |
500 |
|
|
|
Amount Reserved for Options, Warrants, Conversions & Other Rights |
|
|
The Union Water-Power Company |
Common Stock, |
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, |
500 |
0 |
490 |
10 |
TEN |
$1.00 par value Common Stock |
5,000 |
0 |
4,000 |
1,000 |
The Hartford Steam Company |
Common Stock, |
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 |
|
|
Amount |
Amount Issued |
CMP Co |
Pollution Control Facility (PCF) - Industrial Development Authority of N. H. Notes |
$11,000 |
$11,000 |
CMP Co |
PCF - Industrial Development Authority of |
$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
|
|
|
|
Cost to System Company Originally Acquiring |
Amount at Which Carried on Books (000) |
Energy East |
NYSEG |
Common Stock, |
64,508,477 |
$600,734 |
$640,029 |
Energy East |
Connecticut Energy |
Common Stock, |
1,000 |
$436,481 |
$434,360 |
Connecticut Energy |
Southern |
Common Stock, |
1,407,072 |
$419,815 |
$415,355 |
Connecticut Energy |
CNE Energy Services |
Common Stock, |
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, |
1,000 |
$1,580 |
$2,322 |
Connecticut Energy |
CNE Venture-Tech |
Common Stock, |
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, |
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 |
|
|
|
|
Cost to System Company Originally Acquiring |
Amount at Which Carried on Books |
Energy East |
CMP Group |
Common Stock, |
1,000 |
$772,055 |
$766,730 |
CMP Group |
CMP Co |
Common Stock, |
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:
|
|
|
System |
|
Loans or |
John Hancock Financial |
|
|
|
|
|
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 |
20% |
$50 |
$62 |
None |
|
Nth Power Technology |
7.8884% |
$7,641 |
$7,641 |
None |
|
Nth Power Technology |
4.1% |
$750 |
$750 |
None |
|
Total Peaking Services, |
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 |
190,000 |
$26,977 |
$26,977 |
None |
|
Connecticut Yankee Atomic |
21,000 |
$5,358 |
$5,358 |
None |
|
Vermont Yankee Nuclear |
15,681 |
$2,116 |
$2,116 |
None |
|
Yankee Atomic Electric |
14,573 |
$1,094 |
$1,094 |
None |
|
New England Business |
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 |
4.87% |
$11,799 |
$11,799 |
None |
|
Downtown Cogeneration |
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:
(i) Intercompany Payables and Receivables:
|
Name of |
Amount Owed |
|
|
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 |
CMP Co |
$842 |
None |
N/A |
CMP Co |
Maine Yankee Atomic Power |
$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 |
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 |
Amount Owed |
|
|
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 |
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 |
$29 |
None |
net 30 days |
Telergy East, LLC |
Energy East |
$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 |
$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 |
$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 |
$594 |
None |
net 30 days |
(ii) Intercompany Notes Receivable/Payable:
|
|
Amount Owed |
|
|
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.
|
|
|
Annual |
|
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 |
Lancaster Service |
$558,866 |
12/16/2022 |
Southern |
People's Bank |
Office |
$1,232 |
12/31/2012 |
Southern |
Baker Properties |
Operations Center |
$935 |
12/2013 |
Southern |
Fleet |
Liquefied Natural Gas |
$609 |
12/31/2020 |
CMP Co |
VETCO |
Transmission |
$356 |
12/2011 |
CMP Co |
NEETCO |
Transmission |
$623 |
12/2011 |
CMP Co |
NEP |
Transmission |
$711 |
6/2015 |
CMP Co |
NEH |
Transmission |
$2,467 |
6/2015 |
CMP Co |
NHH |
Transmission |
$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 |
Augusta - Gall |
Building |
$167 |
3/2005 |
Union Water Power |
Portland - Congdon |
Building |
$62 |
2/2005 |
Department of Human |
Union Water Power |
Building |
$215 |
10/2008 |
Adelphia Co. |
Union Water Power |
Building |
$180 |
9/2006 |
Fairchild |
Union Water Power |
Building |
$54 |
Tenants at will |
CMP Co |
Augusta Edison Trust |
Buildings |
$1,100 |
3/2021 |
CNG |
Pacific Rim Capital |
Computer Equipment |
$54 |
6/30/01 |
CNG |
IBM Credit Corp. |
Computer Equipment |
$55 |
11/30/01 |
CNG |
Pacific Rim Capital |
Computer Equipment |
$54 |
9/30/02 |
CNG |
Pacific Rim Capital |
Computer Equipment |
$51 |
3/31/03 |
CNG |
Old Track Road LLC |
Office Space |
$330 |
8/18/14 |
Paradigm Investment |
CNG |
Office Space |
$144 |
8/18/06 |
|
|
|
Annual |
|
The Hartford Steam |
Hartford Downtown |
Cogeneration |
$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 |
Office |
$89 |
3/31/01 |
EAS Enterprises |
217 Commercial Street |
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:
|
Holder of Record |
Number of |
Percent of Class |
Common Stock |
Cede & Co |
|
|
Common Stock |
Energy East Corporation as Agent |
|
|
Common Stock |
ChaseMellon Shareholder Services Ridgefield Park NJ 07660 |
|
|
Common Stock |
Energy East Corp Repurchase AC |
|
|
Common Stock |
Edward T Burns Jr |
|
|
Common Stock |
ChaseMellon Shareholder Services |
|
|
Common Stock |
Josephine Burns |
|
|
Common Stock |
Esther C Chadwick |
|
|
Common Stock |
Hart Securities Ltd |
|
|
Common Stock |
Anthony S Papa and Joan B Papa JT TEN |
|
|
|
Holder of Record |
Number of |
Percent of Class |
Common Stock |
Angelo Tomasso Jr |
|
|
Common Stock |
Muriel Putnam Smith and Everett |
|
|
Common Stock |
Edward T Burns Jr Cust |
|
|
Common Stock |
Paula Julian |
|
|
Common Stock |
David L Mandel |
|
|
Common Stock |
Price Y Cia Inc |
|
|
Common Stock |
George Kozmetsky & |
|
|
Common Stock |
Evelyn P Ahlquist |
|
|
Common Stock |
Dwight C Baum TR UA Jan 16 79 |
|
|
Common Stock |
Roberta R Mercadente |
|
|
(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.
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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 |
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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 |
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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 |
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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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