UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
GENERAL INSTRUCTIONS
A. Use of Form
1. A reporting company, as defined herein, shall file a report on this form within 60 days after the end of each of the first three quarters, and within 90 days after the end of the fourth quarter, of the fiscal year of the registered holding company. The period beginning on the date of effectiveness of rule 58 and ending at the end of the quarter following the quarter in which the rule becomes effective shall constitute the initial period for which any report shall be filed, if applicable.
2. The requirement to provide specific information by means of this form supersedes and replaces any requirement by order of the Commission to provide identical information by means of periodic certificates under rule 24; but does not so supersede and replace any requirement by order to provide information by means of an annual report on Form U-13-60.
3. Information with respect to reporting companies that is required by Form U-13-60 shall be provided exclusively on that form.
4. Notwithstanding the specific requirements of this form, the Commission may informally request such further information as, in its opinion, may be necessary or appropriate.
B. Statements of Monetary Amounts and Deficits
1. Amounts included in this form and in related financial statements may be expressed in whole dollars, thousands of dollars or hundred thousands of dollars.
2. Deficits and other similar entries shall be indicated by either brackets or parentheses. An explanation
should be provided by footnote.
C. Formal Requirements
This form, including exhibits, shall be filed with the Commission electronically pursuant to Regulation S-T (17 CFR 232.10 et seq.). A conformed copy of each such report shall be filed with each state commission having jurisdiction over the retail rates of a public-utility company that is an associate company of a reporting company. Each report shall provide the name and telephone number of the person to whom inquiries concerning the report should be directed.
D. Definitions
As used in this form, the word "reporting company" means an energy-related company or gas-related company, as defined in rule 58(b). All other words and terms have the same meaning as in the Public Utility Holding Company Act of 1935, as amended, and the rules and regulations thereunder.
ITEM 1 - ORGANIZATION CHART
Instructions.
1. Complete Item 1 only for the first three calendar quarters of the fiscal year of the registered holding company.
2. Under the caption "Name of Reporting Company," list each energy-related and gas-related company and each system company that directly or indirectly holds securities thereof. Add the designation "(new)" for each reporting company of which securities were acquired during the period, and the designation "(*)" for each inactive company.
3. Under the caption "Percentage of Voting Securities Held," state the aggregate percentage of the outstanding voting securities of the reporting company held directly or indirectly by the registered holding company at the end of the quarter.
4. Provide a narrative description of each reporting company's activities during the reporting period.
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State of |
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LNG Marketing Partners |
Holding |
(CT) |
(C) |
10% by |
RGS Energy Group, Inc. |
Holding |
NY |
(D) |
100% by |
Energetix, Inc. (Energetix) |
Electricity and |
NY |
(E) |
100% by |
RGS Development |
* |
NY |
(F) |
100% by |
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State of |
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CNE Energy Services Group, |
Energy products |
CT |
(H) |
100% by Connecticut |
Total Peaking Services, |
Natural gas |
DE |
(I) |
100% by |
Nth Power Technologies |
Energy related |
CA |
(J) |
7.9% by CNE Energy |
CNE Peaking, LLC |
Firm in-market |
DE |
(K) |
100% by |
Energy East Enterprises, Inc. |
Energy-related |
ME |
(L) |
100% by |
New Hampshire Gas |
Energy services |
NH |
(M) |
100% by |
Seneca Lake Storage, Inc. |
Natural gas |
NY |
(N) |
100% by |
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State of |
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Energy East Solutions, Inc. |
Electricity and |
DE |
(P) |
100% by |
NYSEG Solutions, Inc. |
Electricity and |
NY |
(Q) |
100% by |
Cayuga Energy, Inc. |
Energy-related |
DE |
(R) |
100% by |
PEI Power II, LLC |
Peaking |
PA |
(S) |
50.1% by |
Carthage Energy, LLC |
Peaking |
NY |
(T) |
100% by |
South Glens Falls Energy, |
Peaking |
NY |
(U) |
85% by |
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State of |
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TEN Companies, Inc. |
Energy services |
CT |
(W) |
100% by |
The Hartford Steam |
Heating and |
CT |
(X) |
100% by |
TEN Transmission |
Natural gas |
CT |
(Y) |
100% by |
CMP Group, Inc. |
Holding |
ME |
(Z) |
100% by |
Union Water Power |
Utility services |
ME |
(AA) |
100% by |
* Inactive subsidiary
Notes Continued for Item 1:
ITEM 2 - ISSUANCES AND RENEWALS OF SECURITIES AND CAPITAL CONTRIBUTIONS
Instruction.
With respect to a transaction with an associate company, report only the type and principal amount of securities involved.
Refer to Energy East Corporation's filing on Form U-6B-2 for the quarter ended June 30, 2004, for Carthage Energy, LLC, Cayuga Energy, Inc. and South Glenn Falls Energy, LLC.
ITEM 3 - ASSOCIATE TRANSACTIONS
Part I - Transactions performed by reporting companies on behalf of associate companies
Reporting |
Associate |
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CNE Energy Services Group, Inc. |
TEN Transmission Company |
Support Services |
$2,324 |
- |
- |
$2,324 |
CNE Energy Services Group, Inc. |
CNE Peaking, LLC |
Marketing / Sales |
$31,812 |
- |
- |
$31,812 |
CNE Peaking, LLC |
Southern Connecticut Gas Company |
Natural Gas |
$1,504,705 |
- |
- |
$1,504,705 |
Energy East Solutions, Inc. |
TEN Companies Inc. |
Gas Supply |
$1,891,542 |
- |
- |
$1,891,542 |
Energy East Solutions, Inc. |
PEI Power II, LLC |
Gas Supply |
$853,555 |
- |
- |
$853,555 |
Reporting |
Associate |
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NYSEG Solutions, Inc. |
New York State Electric & Gas Corporation |
Ancillary Services |
$981,119 |
- |
- |
$981,119 |
PEI Power II, LLC |
NYSEG Solutions, Inc. |
Electric Supply |
$35,069 |
- |
- |
$35,069 |
Union Water Power Company |
Central Maine Power Company |
Construction |
$927,462 |
- |
- |
$927,462 |
Union Water Power Company |
Central Maine Power Company |
Locating |
$275,652 |
- |
- |
$275,652 |
Part II - Transactions performed by associate companies on behalf of reporting companies
Instructions.
2. Parts I and II concern transactions performed by reporting companies on behalf of associate companies, and transactions performed by associate companies on behalf of reporting companies, respectively.
Associate |
Reporting |
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Southern Connecticut Gas Company |
CNE Energy Services Group |
Gas Supply |
$750,316 |
- |
- |
$750,316 |
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Southern Connecticut Gas Company |
TEN Companies Inc. |
Legal Services |
$1,645 |
- |
- |
$1,645 |
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Connecticut Natural Gas Corporation |
CTG Resources, Inc. |
Management Services |
$25,000 |
- |
- |
$25,000 |
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Connecticut Natural Gas Corporation |
TEN Companies, Inc. |
Operational and Support Services |
$239,457 |
- |
- |
$239,457 |
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Connecticut Natural Gas Corporation |
TEN Companies, Inc. |
Property Rental |
$13,024 |
- |
- |
$13,024 |
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Rochester Gas and Electric Corporation |
Energetix, Inc. |
Operational and Support Services |
$88,935 |
- |
- |
$88,935 |
Associate |
Reporting |
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Southern Connecticut Gas Company |
Total Peaking Services, LLC |
Rents / Support Services |
$363,772 |
- |
- |
$363,772 |
Southern Connecticut Gas Company |
CNE Energy Services Group, Inc. |
Support Services |
$30,900 |
$2,680 |
- |
$33,580 |
Southern Connecticut Gas Company |
CNE Energy Services Group, Inc. |
Rent |
$19,932 |
- |
- |
$19,932 |
TEN Companies, Inc. |
CNE Energy Services Group, Inc. |
Management Services |
$15,000 |
- |
- |
$15,000 |
Rochester Gas and Electric Corporation |
Energetix, Inc. |
Gas and Electric Distribution charges |
$20,973 |
- |
- |
$20,973 |
Energy East Solutions |
Energetix, Inc. |
Gas Supply |
$3,606,493 |
- |
- |
$3,606,493 |
Associate |
Reporting |
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New York State Electric & Gas Corporation |
Energy East Solutions, Inc. |
Gas Supply |
$54,787 |
- |
- |
$54,787 |
Energy East Solutions, Inc. |
NYSEG Solutions, Inc. |
Gas Supply |
$2,067,144 |
- |
- |
$2,067,144 |
South Glenn Falls Energy, LLC |
NYSEG Solutions, Inc. |
Electric Supply |
$509,387 |
- |
- |
$509,387 |
Carthage Energy, LLC |
NYSEG Solutions, Inc. |
Electric Supply |
$371,294 |
- |
- |
$371,294 |
New York State Electric & Gas Corporation |
NYSEG Solutions, Inc. |
Support Services |
- |
$76,649 |
- |
$76,649 |
NYSEG Solutions, Inc. |
South Glenn Falls Energy, LLC |
Gas Supply |
$1,003,718 |
- |
- |
$1,003,718 |
NYSEG Solutions, Inc. |
Carthage Energy, LLC |
Gas Supply |
$71,300 |
- |
- |
$71,300 |
Central Maine Power Company |
Union Water Power Company |
Billing |
$4,816 |
- |
- |
$4,816 |
ITEM 4 - SUMMARY OF AGGREGATE INVESTMENT
Investments in energy-related companies:
Energy East Corporation
($ in Thousands) |
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Total consolidated capitalization as of |
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Total capitalization multiplied by 15% |
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Greater of $50 million or line 2 |
$406,711 |
line 3 |
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Total current aggregate investment: |
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None |
- |
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Investments in gas-related companies: |
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LNG Storage Partners |
$8,416 |
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LNG Marketing Partners |
$9,091 |
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Total current aggregate investment: |
$17,507 |
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ITEM 5 - OTHER INVESTMENTS
Instruction.
This item concerns investments in energy-related and gas-related companies that are excluded from the calculation of aggregate investment under rule 58.
Major Line |
Other Investment |
Other Investment |
Reason for |
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South Glenn Falls Energy, LLC |
$345,000 |
$632,000 |
Additional |
ITEM 6 - FINANCIAL STATEMENTS AND EXHIBITS
A. Financial Statements
Financial Statement:
LNG Storage Partners
Balance Sheet - As of June 30, 2004
Income Statement - Three Months and Six Months Ended June 30, 2004
LNG Marketing Partners
Balance Sheet - As of June 30, 2004
Income Statement - Three Months and Six Months Ended June 30, 2004
Energetix Inc.
Balance Sheet - As of June 30, 2004
Income Statement - Three Months and Six Months Ended June 30, 2004
CNE Energy Services Group, Inc.
Balance Sheet - As of June 30, 2004
Income Statement - Three Months and Six Months Ended June 30, 2004
Total Peaking Services, LLC
Balance Sheet - As of June 30, 2004
Income Statement - Three Months and Six Months Ended June 30, 2004
CNE Peaking, LLC
Balance Sheet - As of June 30, 2004
Income Statement - Three Months and Six Months Ended June 30, 2004
New Hampshire Gas Corporation
Balance Sheet - As of June 30, 2004
Income Statement - Three Months and Six Months Ended June 30, 2004
Seneca Lake Storage
Balance Sheet - As of June 30, 2004
Income Statement - Three Months and Six Months Ended June 30, 2004
Energy East Solutions, Inc.
Balance Sheet - As of June 30, 2004
Income Statement - Three Months and Six Months Ended June 30, 2004
NYSEG Solutions, Inc.
Balance Sheet - As of June 30, 2004
Income Statement - Three Months and Six Months Ended June 30, 2004
Cayuga Energy, Inc.
Balance Sheet - As of June 30, 2004
Income Statement - Three Months and Six Months Ended June 30, 2004
PEI Power II, LLC
Balance Sheet - As of June 30, 2004
Income Statement - Three Months and Six Months Ended June 30, 2004
Carthage Energy, LLC
Balance Sheet - As of June 30, 2004
Income Statement - Three Months and Six Months Ended June 30, 2004
South Glens Falls Energy, LLC
Balance Sheet - As of June 30, 2004
Income Statement - Three Months and Six Months Ended June 30, 2004
TEN Companies, Inc.
Balance Sheet - As of June 30, 2004
Income Statement - Three Months and Six Months Ended June 30, 2004
The Hartford Steam Company
Balance Sheet - As of June 30, 2004
Income Statement - Three Months and Six Months Ended June 30, 2004
TEN Transmission Company
Balance Sheet - As of June 30, 2004
Income Statement - Three Months and Six Months Ended June 30, 2004
Union Water Power Company
Balance Sheet - As of June 30, 2004
Income Statement - Three Months and Six Months Ended June 30, 2004
B. Exhibits
1. Copies of contracts required to be provided by Item 3 shall be filed as exhibits.
Copies of Service Agreements required by Item 3 are filed confidentially pursuant to Rule 104.
2. A certificate stating that a copy of the report for the previous quarter has been filed with interested state commissions shall be filed as an exhibit. The certificate shall provide the names and addresses of the state commissions.
The company certifies that a conformed copy of Form U-9C-3 for the previous quarter will be filed with the following state commissions:
Honorable Janet H. Deixler
Secretary
NYS Department of Public Service
3 Empire State Plaza
Albany, NY 12223
Mr. Dennis Keschl
Administrative Director
State of Maine
Maine Public Utility Commission
State House Station
Louise Rickard
Executive Secretary
Department of Public Utility Control
10 Franklin Square
New Britain, CT 06051
The Commonwealth of Massachusetts
Department of Telecommunications & Energy
Office of Utility Accounting
One South Station
Boston, MA 02110
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.
Energy East Corporation |
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