U.S. SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM U-9C-3
QUARTERLY REPORT PURSUANT TO RULE 58 OF
THE PUBLIC UTILITY HOLDING COMPANY ACT OF 1935
For the quarterly period ended September 30, 2001
Xcel Energy Inc.
(Name of Registered Holding Company)
800 Nicollet Mall, Minneapolis, Minnesota 55402
(Address of Principal Executives Offices)
Inquires concerning this Form U-9C-3
may be directed to either:
David E. Ripka
Vice President and Controller
Xcel Energy Inc.
414 Nicollet Mall
Minneapolis, MN 55401
(612) 330-2958
or
Scott Wilensky
Associate General Counsel
Xcel Energy Inc.
800 Nicollet Mall
Minneapolis, MN 55402
(612) 215-4590
XCEL ENERGY INC.
FORM U-9C-3
For the Quarter Ended September 30, 2001
Table of Contents
| Page | ||||
Item 1. Organization Chart |
1 | |||
Item 2. Issuances and Renewals of Securities and Capital Contributions |
13 | |||
Item 3. Associated Transactions |
14 | |||
Item 4. Summary of Aggregate Investment |
16 | |||
Item 5. Other Investments |
17 | |||
Item 6. Financial Statements and Exhibits |
18 | |||
SIGNATURE |
60 | |||
Item 1. — ORGANIZATION CHART
| Name of | Energy or | Percentage | Nature | |||||||||||||||||||||
| Reporting | Gas Related | Date of | State of | Of Voting | Of | |||||||||||||||||||
| Company | Company | Organization | Organization | Securities Held | Business | |||||||||||||||||||
Xcel Energy Inc. (Xcel Energy) |
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Xcel Energy Retail Holdings Inc. (a) |
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Natural Station Equipment LLC |
Energy related | January 1, 1999 | DE | 100 | % | Engages in natural gas distribution | ||||||||||||||||||
Xcel Energy Cadence Inc. (a) |
Energy related | August 28, 1997 | CO | 100 | % | Holds energy-related company | ||||||||||||||||||
Cadence Network Inc. |
Energy related | September 3, 1997 | DE | 22.22 | % | Energy management and consulting services; also | ||||||||||||||||||
| brokering and marketing of energy commodities | ||||||||||||||||||||||||
Planergy International Inc. (a) |
Energy related | January 2, 1990 | TX | 100 | % | Energy service to commercial and industrial customers | ||||||||||||||||||
Planergy (Delaware) Inc. (a) |
Energy related | September, 26 1996 | DE | 100 | % | No significant operations | ||||||||||||||||||
Planergy Services Inc. (a) |
Energy related | July 30, 1987 | DE | 100 | % | Industrial energy audits | ||||||||||||||||||
Planergy Services of California Inc. |
Energy related | November 6, 1984 | CA | 100 | % | No significant operations | ||||||||||||||||||
Planergy Capital Associates Inc. |
Energy related | June 19, 1981 | CA | 100 | % | No significant operations | ||||||||||||||||||
Planergy Energy Services Corp. |
Energy related | July 30, 1987 | DE | 100 | % | No significant operations | ||||||||||||||||||
Planergy Services of Houston Inc. |
Energy related | July 30, 1987 | DE | 100 | % | No significant operations | ||||||||||||||||||
Planergy Services USA Inc. |
Energy related | July 30, 1987 | DE | 100 | % | No significant operations | ||||||||||||||||||
Planergy Services of Texas Inc. |
Energy related | July 30, 1987 | DE | 100 | % | No significant operations | ||||||||||||||||||
Planergy Midwest Inc. |
Energy related | December 7, 2000 | DE | 100 | % | No significant operations | ||||||||||||||||||
Planergy New York Inc.* |
Energy related | February 20, 1991 | NY | 100 | % | Inactive | ||||||||||||||||||
Planergy Inc. (a) |
Energy related | August 19, 1977 | TX | 100 | % | Energy service company | ||||||||||||||||||
Planergy Limited |
Energy related | May 13, 1997 | Canada | 100 | % | Energy service company | ||||||||||||||||||
Energy Masters International Inc. |
Energy related | August 20, 1993 | MN | 100 | % | Provides energy marketing and performance contracting | ||||||||||||||||||
| services | ||||||||||||||||||||||||
EMI Performance Contracting, Inc. |
Energy related | June 18, 2001 | DE | 100 | % | Provides energy conservation services | ||||||||||||||||||
e prime Energy Marketing Inc. |
Energy related | March 3, 1997 | CO | 100 | % | Provides energy-related services | ||||||||||||||||||
e prime Florida Inc. |
Energy related | October 18, 1999 | CO | 100 | % | Provides retail gas marketing services | ||||||||||||||||||
1
| Name of | Energy or | Percentage | Nature | |||||||||||||||||||||
| Reporting | Gas Related | Date of | State of | Of Voting | Of | |||||||||||||||||||
| Company | Company | Organization | Organization | Securities Held | Business | |||||||||||||||||||
e prime Georgia Inc. |
Energy related | June 10, 1999 | GA | 100 | % | Provides retail gas marketing services | ||||||||||||||||||
Xcel Energy Ventures Inc. (a) |
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Ultra Power Technologies |
Energy related | October 10, 1997 | MN | 100 | % | Inactive entity previously involved in the testing of | ||||||||||||||||||
| underground electric cable. | ||||||||||||||||||||||||
Texas-Ohio Pipeline Inc. |
Energy related | June 22, 1990 | TX | 100 | % | Owns and operates gas pipeline | ||||||||||||||||||
Xcel Energy Wholesale Group Inc. (a) |
||||||||||||||||||||||||
NRG Energy Inc. (a) |
Energy related | May 29, 1992 | DE | 100 | % | Develops, organizes, owns and operates non-regulated | ||||||||||||||||||
| energy-related businesses | ||||||||||||||||||||||||
NRG Power Marketing Inc. |
Energy related | August 18, 1997 | DE | 100 | % | Established to maximize the utilization and return of | ||||||||||||||||||
| NRG's generation assets and to mitigate the risk | ||||||||||||||||||||||||
| associated with those assets. | ||||||||||||||||||||||||
NRG PacGen Inc. (a) |
Energy related | October 28, 1997 | DE | 100 | % | Owns interests in cogeneration and competitive power | ||||||||||||||||||
| producing projects. | ||||||||||||||||||||||||
Pacific Generation Company (a) |
Energy related | August 3, 1984 | OR | 100 | % | Domestic holding company acquired by NRG; also a | ||||||||||||||||||
| limited partner in Camas Power Boiler Limited | ||||||||||||||||||||||||
| Partnership | ||||||||||||||||||||||||
Camas Power Boiler Limited |
Owns waste-wood fired steam boiler in Camas paper | |||||||||||||||||||||||
Partnership |
Energy related | February 6, 1990 | OR | 100 | % | mill in Washington | ||||||||||||||||||
Camas Power Boiler Inc. |
Energy related | February 6, 1990 | OR | 100 | % | General partner in Camas Boiler Limited Partnership | ||||||||||||||||||
ESOCO Crockett Inc. |
Energy related | December 9, 1992 | OR | 100 | % | Operates Crockett cogeneration facility in California | ||||||||||||||||||
Energy National Inc. (a) |
Energy related | September 13, 1984 | UT | 100 | % | Holding company | ||||||||||||||||||
Pacific Generation Resources |
Domestic holding company which holds limited | |||||||||||||||||||||||
Company |
Energy related | November 21, 1991 | OR | 100 | % | partner interest in Long Island Cogeneration | ||||||||||||||||||
Penobscot Energy Recovery |
||||||||||||||||||||||||
Company |
Energy related | August 15, 1985 | ME | 35.68 | % | Owns waste-to-energy facility in Orrington, Maine | ||||||||||||||||||
Maine Energy Recovery Co. |
Energy related | June 30, 1983 | ME | 16 | % | Owns waste-to-energy facility in Maine | ||||||||||||||||||
Pacific Orrington Energy |
Holds general and limited partner interests in | |||||||||||||||||||||||
Inc. (a) |
Energy related | November 24, 1992 | OR | 100 | % | Orrington Waste LTD, Limited Partnership | ||||||||||||||||||
Orrington Waste LTD, |
Provides waste disposal services to municipalities to | |||||||||||||||||||||||
Limited Partnership |
Energy related | January 13, 1993 | OR | 17 | % | be delivered to waste disposal operators in Maine | ||||||||||||||||||
ESOCO Inc. (a) |
Energy related | February 1, 1989 | UT | 100 | % | Domestic holding company for individual ESOCO O&M companies | ||||||||||||||||||
2
| Name of | Energy or | Percentage | Nature | |||||||||||||||||||||
| Reporting | Gas Related | Date of | State of | Of Voting | Of | |||||||||||||||||||
| Company | Company | Organization | Organization | Securities Held | Business | |||||||||||||||||||
ESOCO Orrington Inc. |
Energy related | February 1, 1989 | UT | 100 | % | Operates Penobscot Energy Recovery Company in Maine | ||||||||||||||||||
Pacific Crockett Holdings Inc. |
Energy related | February 14, 1991 | OR | 100 | % | Domestic holding company for Pacific Crockett Energy | ||||||||||||||||||
| Inc. | ||||||||||||||||||||||||
ENI Crockett Limited Partnership(a) |
Energy related | April 10, 1995 | OR | 100 | % | Limited partner in Crockett Cogeneration, a | ||||||||||||||||||
| California Limited Partnership | ||||||||||||||||||||||||
Pacific Crockett Energy Inc. |
Energy related | February 6, 1997 | UT | 100 | % | General partner in Crockett Cogeneration, a | ||||||||||||||||||
| California Limited Partnership | ||||||||||||||||||||||||
ONSITE Energy Inc. (a) |
Energy related | January 22, 1986 | OR | 100 | % | Domestic holding company of ONSITE Soledad Inc. and | ||||||||||||||||||
| ONSITE Marianas Corporation; also indirectly holds | ||||||||||||||||||||||||
| general partner interest in Mt. Poso project and | ||||||||||||||||||||||||
| limited partner interest in Turner Falls project | ||||||||||||||||||||||||
Pacific-Mt. Poso Corporation |
Energy related | June 8, 1997 | OR | 100 | % | General partner in Mt. Poso Cogeneration Company, a | ||||||||||||||||||
| California Limited Partnership | ||||||||||||||||||||||||
Turner Falls Limited |
Owns Turner Falls cogeneration facility in | |||||||||||||||||||||||
Partnership |
Energy related | MA | 9 | % | Massachusetts | |||||||||||||||||||
Pacific Generation Holdings Co. |
Energy related | January 12, 1995 | OR | 100 | % | Domestic holding company for Pacific Generation | ||||||||||||||||||
| Funding and Pacific Recycling Inc. | ||||||||||||||||||||||||
Graystone Corporation (a) |
Energy related | May 25, 1989 | MN | 100 | % | General partner in Louisiana Energy Services LP | ||||||||||||||||||
Le Paz Incorporated |
Energy related | June 1, 1990 | MN | 100 | % | Limited partner in Louisiana Energy Services LP | ||||||||||||||||||
NRG Cadillac Inc. (a) |
Energy related | April 15, 1997 | DE | 100 | % | Domestic holding company in Cadillac Renewable Energy | ||||||||||||||||||
| LLC | ||||||||||||||||||||||||
Cadillac Renewable Energy LLC |
Energy related | February 27, 1997 | DE | 100 | % | Owns wood-fired electric generation plant in Mich | ||||||||||||||||||
O’Brien Cogeneration Inc II |
Energy related | December 31, 1985 | DE | 100 | % | Owns and/or operates cogeneration facilities. | ||||||||||||||||||
NEO Corporation (NEO) (a) |
Energy related | May 27, 1993 | MN | 100 | % | Develops, owns and operates landfill gas, | ||||||||||||||||||
| hydroelectric and small cogeneration projects in the | ||||||||||||||||||||||||
| U.S. | ||||||||||||||||||||||||
NEO Chester-Gen LLC |
Energy related | July 13, 2000 | DE | 100 | % | Owns 3.4 MW cogeneration facility at Crozer Chester | ||||||||||||||||||
| Hospital in Chester, Pennsylvania | ||||||||||||||||||||||||
NEO Freehold-Gen LLC |
Energy related | July 13, 2000 | DE | 100 | % | Formed to acquire landfill gas project | ||||||||||||||||||
NEO Toledo-Gen LLC |
Energy related | July 13, 2000 | DE | 100 | % | Owns 1.0 MW cogeneration facility at Riverside Hospital in Toledo, Ohio | ||||||||||||||||||
3
| Name of | Energy or | Percentage | Nature | |||||||||||||||||||||
| Reporting | Gas Related | Date of | State of | Of Voting | Of | |||||||||||||||||||
| Company | Company | Organization | Organization | Securities Held | Business | |||||||||||||||||||
NEO Landfill Gas Holdings Inc. |
Energy related | April 8, 1996 | DE | 100 | % | Domestic holding company-provides O&M services for | ||||||||||||||||||
| landfill gas projects | ||||||||||||||||||||||||
Four Hills LLC |
Energy related | August 19, 1996 | DE | 50 | % | Landfill gas collection system for Nashua project in | ||||||||||||||||||
| New Hampshire | ||||||||||||||||||||||||
NEO Burnsville LLC |
Energy related | October 25, 1996 | DE | 100 | % | Landfill gas collection system for Edward Kraemer | ||||||||||||||||||
| landfill in Minnesota | ||||||||||||||||||||||||
NEO Corona LLC |
Energy related | January 8, 1997 | DE | 100 | % | Landfill gas collection system for O'Brien project in | ||||||||||||||||||
| California | ||||||||||||||||||||||||
NEO Erie LLC |
Energy related | August 17, 1999 | DE | 100 | % | Landfill gas collection system for project in Denver | ||||||||||||||||||
NEO Ft Smith LLC |
Energy related | October 14, 1997 | DE | 100 | % | Landfill gas collection system for project in Arkansas | ||||||||||||||||||
NEO Hackensack LLC |
Energy related | January 6, 1997 | DE | 100 | % | Landfill gas collection system for HMDC/Balefill/Kingsland | ||||||||||||||||||
NEO Martinez LLC |
Energy related | August 18, 1999 | DE | 100 | % | Landfill gas collection system for project in | ||||||||||||||||||
| California | ||||||||||||||||||||||||
NEO Nashville LLC |
Energy related | June 20, 1997 | DE | 100 | % | Landfill gas collection system for project in Tenn. | ||||||||||||||||||
NEO Northern Tier LLC |
Energy related | March 11, 1997 | DE | 100 | % | Landfill gas collection system for project in | ||||||||||||||||||
| Pennsylvania | ||||||||||||||||||||||||
NEO Phoenix LLC |
Energy related | January 4, 1996 | DE | 100 | % | Landfill gas collection system for project in Arizona | ||||||||||||||||||
NEO Prima Deshecha LLC |
Energy related | January 16, 1997 | DE | 100 | % | Landfill gas collection system for project in Orange | ||||||||||||||||||
| County, California | ||||||||||||||||||||||||
NEO Riverside LLC |
Energy related | December 19, 1996 | DE | 100 | % | Landfill gas collection system for project in | ||||||||||||||||||
| California | ||||||||||||||||||||||||
NEO SKB LLC |
Energy related | October 14, 1997 | DE | 100 | % | Landfill gas collection system for project in | ||||||||||||||||||
| Pennsylvania | ||||||||||||||||||||||||
NEO Tajiguas LLC |
Energy related | December 5, 1995 | DE | 100 | % | Landfill gas collection system for project in Santa | ||||||||||||||||||
| Barbara, California | ||||||||||||||||||||||||
NEO Woodville LLC |
Energy related | February 11, 1998 | DE | 100 | % | Landfill gas collection system for project in | ||||||||||||||||||
| California | ||||||||||||||||||||||||
NEO El Sobrante LLC |
Energy related | February 10, 2000 | DE | 100 | % | Landfill gas collection system | ||||||||||||||||||
NEO Tri-Cities LLC |
Energy related | February 10, 2000 | DE | 100 | % | Landfill gas collection system for project in Fremont, California | ||||||||||||||||||
4
| Name of | Energy or | Percentage | Nature | |||||||||||||||||||||
| Reporting | Gas Related | Date of | State of | Of Voting | Of | |||||||||||||||||||
| Company | Company | Organization | Organization | Securities Held | Business | |||||||||||||||||||
NEO Montauk Genco Management LLC |
Energy related | August 21, 2001 | DE | 100 | % | Manager of NEO-Montauk Genco LLC | ||||||||||||||||||
NEO Montauk Genco LLC |
Energy related | August 17, 2001 | DE | 50 | % | Owner of landfill gas fueled power generation | ||||||||||||||||||
NEO San Bernardino LLC (a) |
Energy related | June 26, 1998 | DE | 100 | % | Landfill gas collection system for project in | ||||||||||||||||||
| California | ||||||||||||||||||||||||
San Bernardino Landfill Gas Limited Partnership |
Energy related | September 18, 1997 | DE | 95 | % | Limited partner to landfill gas collection system for project in California | ||||||||||||||||||
NEO MESI LLC (a) |
Energy related | October 12, 1999 | DE | 100 | % | Holding company for project company in the business | ||||||||||||||||||
| of producing and selling synthetic fuel from Ken West | ||||||||||||||||||||||||
| terminal in Catlettsburg, Boyd County Kentucky on the Big Sandy River | ||||||||||||||||||||||||
MESI Fuel Station #1 LLC |
Energy related | October 28, 1999 | DE | 50 | % | Owns synthetic coal processing facility in Kentucky | ||||||||||||||||||
NEO ECO 11 LLC |
Energy related | May 9, 2000 | DE | 100 | % | Formed to acquire landfill gas project | ||||||||||||||||||
Minnesota Methane II LLC (a) |
Energy related | April 8, 1997 | DE | 50 | % | Owns and operates original 3 NEO/Ziegler landfill gas | ||||||||||||||||||
| projects | ||||||||||||||||||||||||
MM Burnsville Energy LLC |
Energy related | October 14, 1997 | DE | 50 | % | Landfill gas fueled power generation for Edward | ||||||||||||||||||
| Kraemer landfill in Minnesota | ||||||||||||||||||||||||
Suncook Energy LLC |
Energy related | October 14, 1997 | DE | 50 | % | Landfill gas fueled power generation for Nashua | ||||||||||||||||||
| project in New Hampshire | ||||||||||||||||||||||||
Landfill Power LLC |
Energy related | May 2, 1994 | WY | 50 | % | Owns and operates Flying Cloud landfill gas fueled | ||||||||||||||||||
| power generation facility in Minnesota | ||||||||||||||||||||||||
Minnesota Methane LLC |
Energy related | September 21, 1998 | WY | 50 | % | Owns and operates 18 landfill gas projects in the U.S. | ||||||||||||||||||
MM Albany Energy LLC |
Energy related | January 8, 1997 | DE | 50 | % | Landfill gas fueled power generation for project in | ||||||||||||||||||
| New York | ||||||||||||||||||||||||
MM Biogas Power LLC |
Energy related | April 8, 1996 | DE | 50 | % | Domestic holding company-owns 100% interest in | ||||||||||||||||||
| landfill gas fueled power generation projects not yet | ||||||||||||||||||||||||
| financed | ||||||||||||||||||||||||
MM Corona Energy LLC |
Energy related | January 8, 1997 | DE | 50 | % | Landfill gas fueled power generation for O'Brien | ||||||||||||||||||
| projects in California | ||||||||||||||||||||||||
MM Cuyahoga Energy LLC |
Energy related | June 18, 1997 | DE | 50 | % | Landfill gas fueled power generation project in Ohio | ||||||||||||||||||
MM Erie Power LLC |
Energy related | August 17, 1999 | DE | 50 | % | Landfill gas fueled power generation for project in | ||||||||||||||||||
| Denver, Colorado | ||||||||||||||||||||||||
5
| Name of | Energy or | Percentage | Nature | |||||||||||||||||||||
| Reporting | Gas Related | Date of | State of | Of Voting | Of | |||||||||||||||||||
| Company | Company | Organization | Organization | Securities Held | Business | |||||||||||||||||||
MM Hackensack Energy LLC |
Energy related | April 8, 1997 | DE | 50 | % | Landfill gas fueled power generation for | ||||||||||||||||||
| HMDC/Balefill/Kingsland O'Brien project in New Jersey | ||||||||||||||||||||||||
MM Hartford Energy LLC |
Energy related | May 16, 1997 | DE | 50 | % | Landfill gas fueled power generation for project in | ||||||||||||||||||
| Connecticut | ||||||||||||||||||||||||
MM Lopez Energy LLC |
Energy related | December 13, 1996 | DE | 50 | % | Landfill gas fueled power generation for Lopez Canyon | ||||||||||||||||||
| project in Los Angeles, California | ||||||||||||||||||||||||
MM Lowell Energy LLC |
Energy related | January 8, 1997 | DE | 50 | % | Landfill gas fueled power generation for project in | ||||||||||||||||||
| Massachusetts | ||||||||||||||||||||||||
MM Martinez Energy LLC |
Energy related | August 17, 1999 | DE | 50 | % | Landfill gas fueled power generation for project in | ||||||||||||||||||
| California | ||||||||||||||||||||||||
MM Nashville Energy LLC |
Energy related | June 20, 1997 | DE | 50 | % | Landfill gas fueled power generation for project in | ||||||||||||||||||
| Tennessee | ||||||||||||||||||||||||
MM Northern Tier Energy LLC |
Energy related | March 11, 1997 | DE | 50 | % | Landfill gas fueled power generation for project in | ||||||||||||||||||
| Pennsylvania | ||||||||||||||||||||||||
MM Phoenix Energy LLC |
Energy related | January 20, 1998 | DE | 50 | % | Landfill gas fueled power generation for project in | ||||||||||||||||||
| Arizona | ||||||||||||||||||||||||
MM Prima Deshecha Energy LLC |
Energy related | January 8, 1997 | DE | 50 | % | Landfill gas fueled power generation for project in | ||||||||||||||||||
| Orange County, California | ||||||||||||||||||||||||
MM Prince William Energy LLC |
Energy related | June 18, 1997 | DE | 50 | % | Landfill gas fueled power generation for project in | ||||||||||||||||||
| Virginia | ||||||||||||||||||||||||
MM Riverside LLC |
Energy related | December 19, 1996 | DE | 50 | % | Landfill gas fueled power generation for project in | ||||||||||||||||||
| California | ||||||||||||||||||||||||
MM San Diego LLC |
Energy related | January 8, 1997 | DE | 50 | % | Landfill gas fueled power generation for Miramar | ||||||||||||||||||
| project in California | ||||||||||||||||||||||||
MM SKB Energy LLC |
Energy related | June 20, 1997 | DE | 50 | % | Landfill gas fueled power generation for project in | ||||||||||||||||||
| Pennsylvania | ||||||||||||||||||||||||
MM Spokane Energy LLC |
Energy related | January 8, 1997 | DE | 50 | % | Landfill gas fueled power generation for project in | ||||||||||||||||||
| Washington | ||||||||||||||||||||||||
MM Tacoma LLC |
Energy related | December 19, 1996 | DE | 50 | % | Landfill gas fueled power generation for project in | ||||||||||||||||||
| Washington | ||||||||||||||||||||||||
MM Tajiguas Energy LLC |
Energy related | January 20, 1998 | DE | 50 | % | Landfill gas fueled power generation for project in | ||||||||||||||||||
| California | ||||||||||||||||||||||||
6
| Name of | Energy or | Percentage | Nature | |||||||||||||||||||||
| Reporting | Gas Related | Date of | State of | Of Voting | Of | |||||||||||||||||||
| Company | Company | Organization | Organization | Securities Held | Business | |||||||||||||||||||
MM Taunton Energy LLC |
Energy related | January 8, 1997 | DE | 50 | % | Landfill gas fueled power generation for project in | ||||||||||||||||||
| Massachusetts | ||||||||||||||||||||||||
MM Tomoka Farms Energy LLC |
Energy related | March 11, 1997 | DE | 50 | % | Landfill gas fueled power generation for project in | ||||||||||||||||||
| Florida | ||||||||||||||||||||||||
MM Tri-Cities Energy LLC |
Energy related | February 10, 2000 | DE | 50 | % | Landfill gas power generation in Fremont, CA | ||||||||||||||||||
MM Tulare Energy LLC |
Energy related | May 16, 1997 | DE | 50 | % | Landfill gas fueled power generation for Visalia | ||||||||||||||||||
| project in California | ||||||||||||||||||||||||
MM West Covina LLC |
Energy related | December 4, 1995 | DE | 50 | % | Landfill gas fueled power generation for BKK project | ||||||||||||||||||
| in California | ||||||||||||||||||||||||
MM Woodville Energy LLC |
Energy related | February 11, 1998 | DE | 50 | % | Landfill gas fueled power generation for project in | ||||||||||||||||||
| California | ||||||||||||||||||||||||
MM Yolo Power LLC |
Energy related | February 14, 1996 | DE | 50 | % | Landfill gas fueled power generation for Visalia | ||||||||||||||||||
| project in California | ||||||||||||||||||||||||
MMSB Transco Holdings LLC |
Energy related | December 30, 1998 | DE | 50 | % | Transport landfill gas for resale | ||||||||||||||||||
NEO Landfill Gas Inc. |
Energy related | April 8, 1996 | DE | 100 | % | Domestic holding company-holds 99% interest in | ||||||||||||||||||
| landfill gas collection system projects. | ||||||||||||||||||||||||
Northbrook Acquisition Corp. |
Energy related | December 23, 1994 | DE | 50 | % | Domestic holding company in STS Hydropower | ||||||||||||||||||
Northbrook Carolina Hydro LLC |
Energy related | October 5, 1995 | DE | 50 | % | Owns and operates hydroelectric power plants in North | ||||||||||||||||||
| Carolina and South Carolina | ||||||||||||||||||||||||
Northbrook Energy LLC |
Energy related | November 4, 1994 | DE | 50 | % | Develops hydroelectric power projects in the US | ||||||||||||||||||
Northbrook New York LLC |
Energy related | June 21, 1999 | DE | 30 | % | Holds interest in Northbrook Acquisition Corp | ||||||||||||||||||
O’Brien Biogas (Mazzaro) Inc |
Energy related | February 26, 1990 | DE | 50 | % | Landfill gas collection system for project in | ||||||||||||||||||
| Pennsylvania | ||||||||||||||||||||||||
O’Brien Biogas IV LLC |
Energy related | July 8, 1997 | DE | 50 | % | Landfill gas fueled power generation for Edgeboro | ||||||||||||||||||
| project in New Jersey | ||||||||||||||||||||||||
O’Brien Standby Power Energy Inc |
Energy related | December 6, 1988 | DE | 50 | % | Landfill gas fueled power generation for SKB project | ||||||||||||||||||
| in Pennsylvania | ||||||||||||||||||||||||
STS Hydropower LTD (a) |
Energy related | August 11, 1987 | MI | 50 | % | Owns and operates hydroelectric projects in | ||||||||||||||||||
| California, Colorado, Michigan, Virginia and Wash. | ||||||||||||||||||||||||
NEO Albany LLC |
Energy related | September 12, 1995 | DE | 100 | % | Landfill gas collection system for project in NY | ||||||||||||||||||
NEO Cuyahoga LLC |
Energy related | October 31, 1996 | DE | 100 | % | Landfill gas collection system for project in Ohio | ||||||||||||||||||
7
| Name of | Energy or | Percentage | Nature | |||||||||||||||||||||
| Reporting | Gas Related | Date of | State of | Of Voting | Of | |||||||||||||||||||
| Company | Company | Organization | Organization | Securities Held | Business | |||||||||||||||||||
NEO Edgeboro LLC |
Energy related | January 6, 1997 | DE | 100 | % | Landfill gas collection system for O'Brien project in | ||||||||||||||||||
| New Jersey | ||||||||||||||||||||||||
NEO Fitchburg LLC |
Energy related | January 16, 1997 | DE | 100 | % | Landfill gas collection system for project in | ||||||||||||||||||
| Massachusetts | ||||||||||||||||||||||||
NEO Hartford LLC |
Energy related | October 13, 1995 | DE | 100 | % | Landfill gas collection system for project in | ||||||||||||||||||
| Connecticut | ||||||||||||||||||||||||
NEO Lopez Canyon LLC |
Energy related | January 4, 1996 | DE | 100 | % | Landfill gas collection system for project in | ||||||||||||||||||
| California | ||||||||||||||||||||||||
NEO Lowell LLC |
Energy related | January 16, 1997 | DE | 100 | % | Landfill gas collection system for project in | ||||||||||||||||||
| Massachusetts | ||||||||||||||||||||||||
NEO Prince William LLC |
Energy related | October 30, 1996 | DE | 100 | % | Landfill gas collection system for project in Virginia | ||||||||||||||||||
NEO San Diego LLC |
Energy related | October 12, 1995 | DE | 100 | % | Landfill gas collection system for Miramar project in | ||||||||||||||||||
| California | ||||||||||||||||||||||||
NEO Spokane LLC |
Energy related | November 22, 1995 | DE | 100 | % | Landfill gas collection system for project in | ||||||||||||||||||
| Washington | ||||||||||||||||||||||||
NEO Tacoma LLC |
Energy related | December 5, 1995 | DE | 100 | % | Landfill gas collection system for project in | ||||||||||||||||||
| Washington | ||||||||||||||||||||||||
NEO Taunton LLC |
Energy related | January 16, 1997 | DE | 100 | % | Landfill gas collection system for project in | ||||||||||||||||||
| Massachusetts | ||||||||||||||||||||||||
NEO Tomoka Farms LLC |
Energy related | December 5, 1995 | DE | 100 | % | Landfill gas collection system of Volusia project in | ||||||||||||||||||
| Florida | ||||||||||||||||||||||||
NEO Tulare LLC |
Energy related | December 5, 1995 | DE | 100 | % | Landfill gas collection system for Visalia project in | ||||||||||||||||||
| California | ||||||||||||||||||||||||
NEO West Covina LLC |
Energy related | July 16, 1997 | DE | 100 | % | Landfill gas collection system for BKK project in | ||||||||||||||||||
| California | ||||||||||||||||||||||||
NEO Yolo LLC |
Energy related | December 23, 1996 | DE | 100 | % | Landfill gas collection system for project in | ||||||||||||||||||
| California | ||||||||||||||||||||||||
NRG Thermal Corporation (a) |
Energy related | October 25, 1999 | DE | 100 | % | Provides district heating and cooling systems in | ||||||||||||||||||
| several cities in the U.S. | ||||||||||||||||||||||||
8
| Name of | Energy or | Percentage | Nature | |||||||||||||||||||||
| Reporting | Gas Related | Date of | State of | Of Voting | Of | |||||||||||||||||||
| Company | Company | Organization | Organization | Securities Held | Business | |||||||||||||||||||
NRG Energy Center Minneapolis LLC |
Energy related | October 27, 1999 | DE | 100 | % | Owns and operates the district heating and cooling | ||||||||||||||||||
| system serving customers in the downtown Minneapolis | ||||||||||||||||||||||||
| area | ||||||||||||||||||||||||
NRG Energy Center San Diego LLC |
Energy related | October 27, 1999 | DE | 100 | % | Formed to own and operate San Diego Power & Cooling, | ||||||||||||||||||
| a chilled water plant serving customers in downtown | ||||||||||||||||||||||||
| San Diego area | ||||||||||||||||||||||||
NRG Energy Center Rock Tenn LLC |
Energy related | October 27, 1999 | DE | 100 | % | Owns assets in connection with the sale of steam to | ||||||||||||||||||
| Rock-Tenn Corporation in St. Paul | ||||||||||||||||||||||||
NRG Energy Center Grand Forks LLC |
Energy related | October 27, 1999 | DE | 100 | % | Owns assets in connection with a contract to provide | ||||||||||||||||||
| steam at the Grand Forks Air Force Base | ||||||||||||||||||||||||
NRG Energy Center Paxton Inc. |
Energy related | April 25, 2000 | DE | 100 | % | Formed to own interest in cogeneration facility and | ||||||||||||||||||
| sell steam to NRG Energy Center Harrisburg Inc. | ||||||||||||||||||||||||
NRG Energy Center Washco LLC |
Energy related | October 27, 1999 | DE | 100 | % | Owns assets in connection with the sale of steam to | ||||||||||||||||||
| Anderson Corporation and the State of Minnesota | ||||||||||||||||||||||||
| Correctional Facility | ||||||||||||||||||||||||
NRG Energy Center Dover LLC |
Energy related | July 12, 2000 | DE | 100 | % | Own 18 MW cogeneration facility and 80 MW expansion | ||||||||||||||||||
| project in Dover, Delaware | ||||||||||||||||||||||||
NRG Thermal Services Inc. |
Energy related | July 5, 2000 | DE | 100 | % | This entity formed to hold the chiller plant assets | ||||||||||||||||||
| and diesel services business for NRG Energy Center | ||||||||||||||||||||||||
| Harrisburg Inc. | ||||||||||||||||||||||||
NRG Energy Center Pittsburgh LLC |
Energy related | October 27, 1999 | DE | 100 | % | Formed to own and operate the Pittsburgh Thermal | ||||||||||||||||||
| district heating and cooling plant which currently | ||||||||||||||||||||||||
| serves approx 25 customers in the Pittsburgh area. | ||||||||||||||||||||||||
NRG Energy Center San Francisco LLC |
Energy related | July 30, 1991 | DE | 48.09 | % | Provides district heating and cooling services in | ||||||||||||||||||
| California | ||||||||||||||||||||||||
NRG Capital LLC |
Energy related | April 9, 2001 | DE | 100 | % | Sole member of construction revolver borrower | ||||||||||||||||||
NRG Finance Company I LLC |
Energy related | February 6, 2001 | DE | 100 | % | Borrower under proposed construction revolver | ||||||||||||||||||
NRG Turbines LLC |
Energy related | August 15, 2001 | DE | 100 | % | Owner for financing purposes of certain turbines | ||||||||||||||||||
| prior to their assignment to project companies | ||||||||||||||||||||||||
Utility Engineering Corporation (UE) (a) |
Energy related | August 14, 1985 | TX | 100 | % | Holds energy-related companies and is engaged in | ||||||||||||||||||
| engineering, design and construction management, and | ||||||||||||||||||||||||
| invests in developing cogeneration and energy-related | ||||||||||||||||||||||||
| projects | ||||||||||||||||||||||||
Quixx Corporation (a) |
Energy related | August 14, 1985 | TX | 100 | % | Invests in developing cogeneration and energy-related projects | ||||||||||||||||||
9
| Name of | Energy or | Percentage | Nature | |||||||||||||||||||||
| Reporting | Gas Related | Date of | State of | Of Voting | Of | |||||||||||||||||||
| Company | Company | Organization | Organization | Securities Held | Business | |||||||||||||||||||
Quixxlin Corporation (a) |
Energy related | July 16, 1997 | DE | 100 | % | Owns .5% general partnership interest in Quixx Linden | ||||||||||||||||||
Quixx Linden (GP) |
Energy related | June 25, 1996 | TX | 0.50 | % | Owns and operates gas-fired cogeneration facility | ||||||||||||||||||
Quixx Linden (LP) |
Energy related | June 25, 1996 | TX | 49.5 | % | Owns and operates gas-fired cogeneration facility | ||||||||||||||||||
Xcel Energy Markets Holdings Inc. (a) |
Holding company for subsidiaries providing energy | |||||||||||||||||||||||
| marketing services | ||||||||||||||||||||||||
e prime Inc. (a) |
Energy related | January 30,1995 | CO | 100 | % | Holds energy-related companies and engages in energy | ||||||||||||||||||
| marketing, trading and providing energy services | ||||||||||||||||||||||||
Young Gas Storage Company (a) |
Energy related | July 6, 1993 | DE | 100 | % | Hold energy-related company | ||||||||||||||||||
Young Gas Storage Company Ltd. |
Energy related | June 30, 1993 | CO | 47.5 | % | Owns & operates underground gas storage facilities | ||||||||||||||||||
Johnstown Cogeneration Company LLC |
Energy related | February 8, 1996 | CO | 50 | % | Operates cogeneration facility | ||||||||||||||||||
Viking Gas Transmission Company |
Gas related | February 2, 1988 | DE | 100 | % | Natural gas transmission | ||||||||||||||||||
NSP-Minnesota (a) |
||||||||||||||||||||||||
NSP Nuclear Corporation (a) |
Energy related | November 19, 1999 | MN | 100 | % | Owns 20% interest in Nuclear Management Co. | ||||||||||||||||||
Nuclear Management Company LLC |
Energy related | February 26, 1999 | WI | 20 | % | Nuclear operating company that manages several | ||||||||||||||||||
| nuclear plants for 5 different utilities. | ||||||||||||||||||||||||
Private Fuel Storage LLC |
Energy related | September 6, 1995 | DE | 12.5 | % | Storage facility of spent nuclear fuel in Utah | ||||||||||||||||||
(a) Directly and/or indirectly holds securities in energy-related companies.
LP: Limited Partner, GP: General Partner.
10
Narrative Description of Activities for Reporting Period
Natural Station Equipment LLC (“STATCO”) – STATCO assembles, packages and sells equipment (large compressors, heavy steel storage vessels, and fuel dispensers) to the national and international natural gas industry for their construction and operation of natural gas fueling stations.
Xcel Energy Cadence Inc. – Holds interest in Cadence Network Inc. Cadence Network Inc. provides a single source for both energy management services and products designed to lower energy costs for national companies that operate at multiple locations.
Planergy International Inc. and subsidiaries – Planergy International Inc. consists of operating subsidiaries providing energy management, consulting and demand side management services to industrial, commercial, utility and municipal customers.
e prime Energy Marketing Inc. – e prime Energy Marketing Inc. provides energy related products and services, which include natural gas marketing and trading.
e prime Florida Inc. – e prime Florida Inc. provides energy related products and services.
e prime Georgia Inc. – e prime Georgia Inc. provides energy related products and services.
Ultra Power Technologies – Inactive entity previously involved in the testing of underground electric cable.
Texas-Ohio Pipeline Inc. – small pipeline company that connects two major interstate pipelines.
NRG Power Marketing Inc. – Established to maximize the utilization and return of NRG’s generation assets and to mitigate the risk associated with those assets. NRG Power Marketing purchases and markets energy and energy related commodities including electricity, natural gas, oil, coal and emission allowances.
NRG PacGen Inc. – Owns interests in cogeneration and competitive power producing projects.
Graystone Corporation – General partner in Louisiana Energy Services LP which provides uranium enrichment services.
NRG Cadillac Inc. – Owns a portion of Cadillac Renewable Energy LLC. Which owns a 38 MW wood fired plant located in Cadillac, Michigan.
O’Brien Cogeneration Inc. II – Owns and/or operates cogeneration facilities.
NEO Corporation – Develops, owns and operates landfill gas, hydroelectric and small cogeneration projects in the U.S.
NRG Thermal Corporation – Provides district heating and cooling systems in several cities in the U.S.
11
Narrative Description of Activities for Reporting Period (continued)
NRG Capital LLC – Sole member of construction revolver borrower.
Utility Engineering Corporation – Utility Engineering Corporation is engaged in engineering, design, construction management and other miscellaneous services. On January 1, 2000, UE acquired Quixx Corporation and its subsidiaries from NC Enterprises. Quixx’s primary business is investing in and developing cogeneration and energy-related projects. Quixx also holds water rights and certain other non-utility assets. Quixx currently has several subsidiaries, most of which hold interests in various energy-related investments.
Quixx Linden LP – Quixx Linden LP owns a 23 Mw natural gas fired cogeneration facility in Linden, New Jersey. Quixxlin Corporation, a wholly-owned subsidiary of Quixx, holds a 0.5% general partnership interest in this partnership. Quixx also directly holds a 49.5% limited partnership interest in Quixx Linden, L.P.
e prime Inc.(“e prime”) – e prime provides energy related products and services (directly and through its subsidiaries) which include, but are not limited to, energy marketing and trading and energy consulting. Also, e prime owns Young Gas Storage Company, which has a 47.5% interest in Young Gas Storage Company Ltd.
Johnstown Cogeneration Company LLC (“Johnstown”) – Johnstown is an electric cogeneration facility which e prime owns a 50% general partnership interest.
Viking Gas Transmission Company – Gas transmission pipeline company.
Nuclear Management Company – Nuclear operating company that manages several nuclear plants for 5 different utilities.
12
Item 2. – ISSUANCES AND RENEWALS OF SECURITIES AND CAPITAL CONTRIBUTION
ISSUANCES AND RENEWALS OF SECURITIES (in thousands of dollars):
| Company | Type of | Principal | Issue | Cost | Person to | Collateral | Consideration | |||||||||||||||||||||
| Issuing | security | amount | or | of | whom security | given with | received for | |||||||||||||||||||||
| security | issued | of security | renewal | capital | was issued | security | each security | |||||||||||||||||||||
Xcel Energy Retail |
ST Debt | $ | 4,931 | Renewal | 3.86 | % | Planergy International Inc | None | $ | 4,931 | ||||||||||||||||||
Xcel Energy Retail |
ST Debt | 16,100 | Issue | 3.86 | % | Planergy International Inc | None | 16,100 | ||||||||||||||||||||
Xcel Energy Retail |
ST Debt | 861 | Renewal | 3.86 | % | Cadence Network Inc | None | 861 | ||||||||||||||||||||
Utility Engineering Corp. |
ST Debt | 61,000 | Renewal | 3.86 | % | Xcel Energy Wholesale | None | 61,000 | ||||||||||||||||||||
Utility Engineering Corp. |
ST Debt | 6,000 | Issue | 3.86 | % | Xcel Energy Wholesale | None | 6,000 | ||||||||||||||||||||
Xcel Energy Retail |
ST Debt | 750 | Renewal | 3.86 | % | e prime Energy Marketing | None | 750 | ||||||||||||||||||||
Xcel Energy Retail |
ST Debt | 6,260 | Issue | 3.86 | % | e prime Energy Marketing | None | 6,260 | ||||||||||||||||||||
Quixx Corporation |
ST Debt | 36,200 | Renewal | 3.86 | % | Utility Engineering Corp | None | 36,200 | ||||||||||||||||||||
Quixx Corporation |
ST Debt | 850 | Issue | 3.86 | % | Utility Engineering Corp | None | 850 | ||||||||||||||||||||
Utility Engineering Corp. |
ST Debt | 800 | Renewal | 3.86 | % | Applied Power Associates | None | 800 | ||||||||||||||||||||
Utility Engineering Corp. |
ST Debt | 650 | Renewal | 3.86 | % | Proto-Power Corporation | None | 650 | ||||||||||||||||||||
Utility Engineering Corp. |
ST Debt | 500 | Issue | 3.86 | % | Proto-Power Corporation | None | 500 | ||||||||||||||||||||
Utility Engineering Corp. |
ST Debt | 1,750 | Renewal | 3.86 | % | Universal Utility Services | None | 1,750 | ||||||||||||||||||||
Utility Engineering Corp. |
ST Debt | 675 | Renewal | 3.86 | % | Precision Resource Co | None | 675 | ||||||||||||||||||||
Utility Engineering Corp. |
ST Debt | 100 | Issue | 3.86 | % | Precision Resource Co | None | 100 | ||||||||||||||||||||
Xcel Energy Markets Inc. |
ST Debt | 9,700 | Issue | 3.86 | % | e prime inc | None | 9,700 | ||||||||||||||||||||
Xcel Energy Markets Inc. |
ST Debt | 2,147 | Issue | 3.86 | % | Viking Gas Transmission Co | None | 2,147 | ||||||||||||||||||||
Texas-Ohio Pipeline Inc. |
ST Debt | 150 | Renewal | 3.86 | % | Xcel Energy Ventures Inc | None | 150 | ||||||||||||||||||||
Texas-Ohio Pipeline Inc. |
ST Debt | 20 | Issue | 3.86 | % | Xcel Energy Ventures Inc | None | 20 | ||||||||||||||||||||
CAPITAL CONTRIBUTIONS (in thousands of dollars):
| Company | Company | Amount of | ||||||
| Contributing | Receiving | Capital | ||||||
| Capital | Capital | Contribution | ||||||
NSP Nuclear Corporation |
Nuclear Management Company | $ | 54 | |||||
13
Item 3. – ASSOCIATED TRANSACTIONS
Part I. – Transactions performed by reporting companies on behalf of associate companies (in thousands of dollars).
| Reporting Company | Associate Company | Direct | Indirect | Cost | Total | |||||||||||||||||||
| Rendering | Receiving | Costs | Costs | of | Amount | |||||||||||||||||||
| Services | Services | Types of Services Rendered | Charged | Charged | Capital | Billed | ||||||||||||||||||
Utility Engineering Corp. |
PSCo | Engineering/Utility Professional Services | $ | 39,261 | — | — | $ | 39,261 | ||||||||||||||||
Utility Engineering Corp. |
Southwestern Public Service Co | Engineering/Utility Professional Services | 4,178 | — | — | 4,178 | ||||||||||||||||||
Utility Engineering Corp. |
Xcel Energy Services Inc | Engineering/Utility Professional Services | 1,036 | — | — | 1,036 | ||||||||||||||||||
Utility Engineering Corp. |
NRG Energy Inc | Engineering/Utility Professional Services | 163 | — | — | 163 | ||||||||||||||||||
Utility Engineering Corp. |
Northern States Power Company | Engineering/Utility Professional Services | 4,503 | — | — | 4,503 | ||||||||||||||||||
Utility Engineering Corp. |
Xcel International | Engineering/Utility Professional Services | 30 | — | — | 30 | ||||||||||||||||||
e prime Inc. |
PSCo | Gas purchased | 33,747 | — | — | 33,747 | ||||||||||||||||||
Viking Gas Transmission Co. |
NSP-Minnesota | Gas transportation services | 2,900 | — | — | 2,900 | ||||||||||||||||||
Viking Gas Transmission Co. |
NSP-Wisconsin | Gas transportation services | 1,040 | — | — | 1,040 | ||||||||||||||||||
14
Part II. – Transactions performed by associate companies on behalf of reporting companies (in thousands of dollars).
| Reporting | Associate | ||||||||||||||||||||||||||
| Company | Company | Types of | Cost | Total | |||||||||||||||||||||||
| Receiving | Rendering | Services | Direct | Indirect | Of | Amount | |||||||||||||||||||||
| Services | Services | Rendered | Costs Charged | Costs Charged | Capital | Billed | |||||||||||||||||||||
Cadence Network Inc. |
Xcel Energy Services Inc | Administrative support; mgmt services | $ | 4 | $ | 1 | $ | — | $ | 5 | |||||||||||||||||
Planergy International Inc. |
Xcel Energy Services Inc | Administrative support; mgmt services | 571 | (54 | ) | 241 | 758 | ||||||||||||||||||||
Quixx Linden LP |
Quixx Power Services | Power plant operating management fee | 1,117 | — | — | 1,117 | |||||||||||||||||||||
| and expenses | |||||||||||||||||||||||||||
Quixx Linden LP |
Quixx Corporation | Partnership management fee | 75 | — | — | 75 | |||||||||||||||||||||
Utility Engineering Corporation |
Xcel Energy Services Inc | Administrative support; mgmt services | 2,404 | 753 | 174 | 3,331 | |||||||||||||||||||||
Natural Station Equipment LLC |
Xcel Energy Services Inc | Administrative support; mgmt services | 51 | (51 | ) | 51 | 51 | ||||||||||||||||||||
e prime Inc. |
Xcel Energy Services Inc | Administrative support; mgmt services | 693 | 243 | 9 | 945 | |||||||||||||||||||||
e prime Inc. |
PSCo | Gas transportation services | 125 | — | — | 125 | |||||||||||||||||||||
e prime Inc. |
PSCo | Compressor – Usage | 48 | — | — | 48 | |||||||||||||||||||||
NRG Energy Inc. |
Xcel Energy Services Inc | Administrative support; mgmt services | 335 | 4,137 | (20 | ) | 4,452 | ||||||||||||||||||||
NRG Thermal Services Inc. |
Xcel Energy Services Inc | Administrative support; mgmt services | 1 | — | — | 1 | |||||||||||||||||||||
Energy Masters International |
Xcel Energy Services Inc | Administrative support; mgmt services | 382 | 590 | (44 | ) | 928 | ||||||||||||||||||||
Ultra Power Technologies Inc. |
Xcel Energy Services Inc | Administrative support; mgmt services | 28 | 4 | — | 32 | |||||||||||||||||||||
Viking Gas Transmission Co. |
Xcel Energy Services Inc | Administrative support; mgmt services | 216 | 301 | — | 517 | |||||||||||||||||||||
15
Item 4. – SUMMARY OF AGGREGATE INVESTMENT
| Investments in energy-related companies: | (in thousands) | |||||||||||||
Total consolidated capitalization as of September 30, 2001 |
$ | 18,615,622 | Line 1 | |||||||||||
Total capitalization multiplied by 15% |
||||||||||||||
(Line 1 multiplied by 0.15) |
2,792,343 | Line 2 | ||||||||||||
Greater of $50 million or line 2 |
$ | 2,792,343 | Line 3 | |||||||||||
Total current aggregate investment: |
||||||||||||||
(categorized by major line of energy-related business) |
||||||||||||||
Energy management services (Category I) |
89,222 | |||||||||||||
Compressed natural gas services (Category III) |
101 | |||||||||||||
Brokering/Marketing services (Category V) |
10,000 | |||||||||||||
Utility engineering/construction services (Category VII) |
6,330 | |||||||||||||
Developing/Ownership QF’s (Category VIII)* |
785,379 | |||||||||||||
Total current aggregate investment |
891,032 | Line 4 | ||||||||||||
Difference between the greater of $50 million or 15% of
capitalization and the total aggregate investment of the registered holding company system |
$ | 1,901,311 | Line 5 | |||||||||||
(line 3 less line 4) |
||||||||||||||
| Investments in gas-related companies: | (in thousands) | ||||||||
Total current aggregate investment: |
|||||||||
(categorized by major line of gas-related business)
|
|||||||||
Section 2(a) gas-related activities (Category I) |
27,675 | ||||||||
Total current aggregate investment |
$ | 27,675 | |||||||
| *Includes $781.9 million of aggregated investment by Xcel Energy in NRG Energy |
16
Item 5. – OTHER INVESTMENTS (in thousands)
| Major Line | Other | Other | ||||||||||||
| of Energy-Related | Investment in Last | Investment in This | Reason for Difference in | |||||||||||
| Business (a) | U-9C-3 Report | U-9C-3 Report | Other Investment | |||||||||||
Brokering/Marketing services |
$ | 27,199 | $ | 27,199 | ||||||||||
Engineering and related services |
$ | 11,463 | $ | 11,463 | ||||||||||
Developing/Ownership QF’s |
$ | 85,713 | $ | 85,713 | ||||||||||
| (a) | Investments for these reporting companies, prior to March 23, 1997, were excluded from aggregate investments in Items 4. These reporting companies’ investments were subsidiaries, directly or indirectly, of Xcel Energy Inc. |
17
SIGNATURE
The undersigned registered holding company has duly caused this quarterly report to be signed on its behalf by the undersigned officer thereunto duly authorized pursuant to the requirements of the Public Utility Holding Company Act of 1935.
| Xcel Energy Inc. |
| By /s/ David E.
Ripka David E. Ripka Vice President and Controller |
November 29, 2001
With the above signature, I also certify that the corresponding report on Form U-9C-3 for the third quarter of 2001 was filed with Xcel Energy Inc.’s interested state commissions whose names and addresses are listed below.
| Public Utilities Commission of the State of Colorado | South Dakota Public Utilities Commission | |
| 1580 Logan Street | 500 E. Capitol Ave. | |
| Denver, CO 80203 | Pierre, SD 57501 |
| Public Service Commission of Wyoming | Public Service Commission of Wisconsin | |
| Hansen Building, Suite 300 | 610 North Whitney Way | |
| 2515 Warren Avenue | Madison, WI 53707 | |
| Cheyenne, WY 82002 |
| Public Utility Commission of Texas | Michigan Public Service Commission | |
| 1701 N. Congress Avenue | 6545 Mercantile Way, Suite 7 | |
| Austin, Texas 78711 | Lansing, MI 48911 |
| New Mexico Public Regulation Commission | Arizona Corporation Commission | |
| 224 E. Palace Avenue | 1200 West Washington | |
| Santa Fe, NM 87503 | Phoenix, AZ 85007 |
| Kansas Corporation Commission |
| 1500 SW Arrowhead Road |
| Topeka, KS 66604 |
| Oklahoma Corporation Commission |
| 2101 N. Lincoln Blvd., Suite 130 |
| Oklahoma City, OK 73105 |
| Minnesota Public Utilities Commission |
| 121 E. 7th Place, Suite 350 |
| St. Paul, MN 55101 |
| North Dakota Public Service Commission |
| 600 East Blvd |
| Bismarck, ND 58505 |
18