SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
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This Certificate of Notification (the "Certificate") is filed by Energy East Corporation ("Energy East"), a New York corporation and registered holding company under the Public Utility Holding Company Act of 1935, as amended (the "Act"). The transactions proposed in the Form U-1 Application, as amended (the "Application") of Energy East in File No. 70-9609 were authorized by Order of the Securities and Exchange Commission (the "Commission") dated September 12, 2000, (the "Order"). Energy East hereby certifies the matters set forth below pursuant to Rule 24 of the rules under the Act for the period January 1, 2002, through March 31, 2002.
(a) |
The sales of any Common Stock or Preferred Securities by Energy East and the purchase price per share and the market price per share at the date of the agreement of sale: |
(b) |
The total number of shares of Common Stock issued or issuable under options granted during the quarter under Energy East's dividend reinvestment plan and employee benefit plans or otherwise, including any plans subsequently adopted: |
(c) |
If Common Stock has been transferred to a seller of securities of a company or assets being acquired, the number of shares so issued, the value per share and whether the shares are restricted to the acquiror: |
(d) |
The name of the guarantor and of the beneficiary of any guaranteed note, Energy East Guaranty, Intermediate Holding Company Guaranty or Nonutility Subsidiary Guaranty issued during the quarter, and the amount, terms and purpose of the guaranty: |
Terms |
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Start |
Expiration |
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Energy East Corporation |
Allegheny Energy Supply Co. LLC |
$2,000,000 |
2/25/02 |
2/28/03 |
Wholesale electric sales |
Energy East Corporation |
New York State Electric & Gas Corporation |
$200,000 |
2/26/02 |
3/31/02 |
Retail gas sales |
(e) |
The amount and terms of any Debentures issued during the quarter: |
(f) |
The amount and terms of any financings consummated by any Nonutility Subsidiary during the quarter that are not exempt under rule 52: |
(g) |
The notional amount and principal terms of any Interest Rate Hedge or Anticipatory hedge entered into during the quarter and the identity of the parties to the instruments: |
(h) |
The name, parent company, and amount invested in any Intermediate Subsidiary or Financing Subsidiary during the quarter: |
Name |
Parent Company |
Amount Invested |
Cayuga Energy, Inc. |
The Energy Network |
$821,000 |
Energy East Telecommunications, Inc. |
The Energy Network |
$100,386 |
Energy East Enterprises |
Energy East Corporation |
$2,500,000 |
(i) |
A list of U-6B-2 statements filed with the Commission during the quarter, including the name of the filing entity and the date of filing: |
(j) |
The amount and terms of any Short-Term Debt issued by Energy East during the quarter: |
(k) |
The amount and terms of any Short-Term Debt issued by any Utility Subsidiary during the quarter: |
(l) |
The amount and terms of any Short-Term Debt issued by any Intermediate Holding Company during the quarter: |
(m) |
Consolidated balance sheets as of the end of the quarter and separate balance sheets as of the end of the quarter of each company, including Energy East, that has engaged in jurisdictional financing transactions during the quarter: |
(n) |
A table showing, as of the end of the quarter, the dollar and percentage components of the capital structures of Energy East on a consolidated basis, each Intermediate Holding Company and each Utility Subsidiary: |
(o) |
A retained earnings analysis of Energy East on a consolidated basis, each Intermediate Holding Company and each Utility Subsidiary detailing gross earnings, goodwill amortization, dividends paid out of each capital account, and the resulting capital account balances at the end of the quarter: |
S I G N A T U R E
Pursuant to the requirements of the Public Utility Holding Company Act of 1935, as amended, the undersigned company has duly caused this Certificate to be signed on its behalf by the undersigned thereunto duly authorized.
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Energy East Corporation |