SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM U-6B-2
Certificate of Notification
Certificate is filed by: HEC/Tobyhanna Energy Project, Inc.
This certificate is notice that the above-named company has issued,
renewed or guaranteed the security or securities described herein which
issue, renewal or guaranty was exempted from the provisions of Section 6(a)
of the Act and was neither the subject of a declaration or application on
Form U-1 nor included within the exemption provided by Rule U-48.
1. Type of the security or securities:
7.625% Certificates of Participation.
2. Issue, renewal or guaranty:
Issue
3. Principal amount of security:
$26,477,000 aggregate principal amount.
4. Rate of interest per annum of each security:
7.625%
5. Date of issue, renewal or guaranty of each security:
Certificates of Participation were issued as of September 30, 1999.
6. If renewal of security, give date of original issue:
7. Date of maturity of security:
August 15, 2022.
8. Name of the person to whom security was issued, renewed or guaranteed:
First Union Capital Markets Corp.
9. Collateral given with security, if any:
Obligations under the Certificates of Participation are secured by a
security interest in (i) all goods, equipment, machinery, structures,
fixtures or other tangible property (including building materials and
supplies, and all gas pipelines, mains, meters, valves, fixtures, fittings
and appurtenances thereto), wherever located or installed, whether now owned
or hereafter acquired, which are or are to be installed as part of, or are or
are to be used in connection with the installation and the operation of, the
Energy Savings Performance Contract Project at any time, all attachments or
accessions thereto, and all substitutions and replacements thereof, (ii) all
books, records, warranties and other general intangibles at any time relating
to any of the foregoing and (iii) all proceeds, including insurance proceeds,
of any of the foregoing.
10. Consideration received for security:
$26,477,000.
11. Application of proceeds of security:
General construction, maintenance and overhead costs incurred in
providing energy services and general working capital.
12. Indicate by a check after the applicable statement below whether the
issue, renewal or guaranty of each security was exempt from the
provisions of Section 6(a) because of:
a. the provisions contained in the first sentence of
Section 6(b):
Not applicable.
b. the provisions contained in the fourth sentence of
Section 6(b):
Not applicable.
c. the provisions contained in any rule of the Commission other than
Rule U-48:
X
13. If the security or securities were exempt from the provisions of
Section 6(a) by virtue of the first sentence of Section 6(b), give the
figures which indicate that the security or securities aggregate
(together with all other than outstanding notes and drafts of a
maturity of nine months or less, exclusive of days of grace, as to
which such company is primarily or secondarily liable) not more than
5 per centum of the principal amount and par value of the other
securities of such company then outstanding. (Demand notes,
regardless of how long they may have been outstanding, shall be
considered as maturing in not more than nine months for purposes of
the exemption from Section 6(a) of the Act granted by the first
sentence of Section 6(b).)
Not applicable.
14. If the security or securities are exempt from the provisions of
Section 6(a) because of the fourth sentence of Section 6(b), name the
security outstanding on January 1, 1935, pursuant to the terms of
which the security or securities herein described have been
issued:
Not applicable.
15. If the security or securities are exempt from the provisions of
Section 6(a) because of any rule of the Commission other than
Rule U-48, designate the rule under which exemption is claimed:
Rule 52.
HEC/Tobyhanna Energy Savings Project, Inc.
By /s/Leonard Rodriguez
Counsel
Northeast Utilities Service Company
Its Attorney
Date: October 27, 1999
