-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, WdZPIHi0gK228UhxT939/eRznrUQKky9diDekU4fmCgnA0YrZT7sxkYd2T4zWmB8 fAaxMaJpMlj5zZ6iBnPV7w== /in/edgar/work/20000824/0001004858-00-000056/0001004858-00-000056.txt : 20000922 0001004858-00-000056.hdr.sgml : 20000922 ACCESSION NUMBER: 0001004858-00-000056 CONFORMED SUBMISSION TYPE: U-9C-3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000630 FILED AS OF DATE: 20000824 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NEW CENTURY ENERGIES INC CENTRAL INDEX KEY: 0001004858 STANDARD INDUSTRIAL CLASSIFICATION: [4931 ] IRS NUMBER: 841334327 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: U-9C-3 SEC ACT: SEC FILE NUMBER: 074-00031 FILM NUMBER: 708788 BUSINESS ADDRESS: STREET 1: 1225 17TH ST CITY: DENVER STATE: CO ZIP: 80202 BUSINESS PHONE: 3035717511 MAIL ADDRESS: STREET 1: 1225 17TH ST CITY: DENVER STATE: CO ZIP: 80202 U-9C-3 1 0001.txt 2ND QTR 2000 U9C3 FOR NCE 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 June 30, 2000 New Century Energies, Inc. (Name of Registered Holding Company) 1225 17th Street, Denver, Colorado 80202 (Address of Principal Executives Offices) Inquires concerning this Form U-9C-3 may be directed to either: Teresa S. Madden Controller New Century Energies, Inc. 1225 17th Street, Suite 900 Denver, CO 80202 (303) 294-2338 or William M. Dudley Associate General Counsel New Century Energies, Inc. 1225 17th Street, Suite 1200 Denver, CO 80202 (303) 294-2500 NEW CENTURY ENERGIES, INC. FORM U-9C-3 For the Quarter Ended June 30, 2000 Table of Contents Page Item 1. Organization Chart 1 Item 2. Issuances and Renewals of Securities and Capital Contributions 4 Item 3. Associated Transactions 4 Item 4. Summary of Aggregate Investment 6 Item 5. Other Investments 6 Item 6. Financial Statements and Exhibits 7 SIGNATURE 8 Item 1. - ORGANIZATION CHART
Percentage of Name of Energy or Voting Nature Reporting Gas Related Date of State of Securities Of Company Company Organization Organization Held Business ------- ------- ------------ ------------ ---- -------- New Century Energies, Inc. ("NCE")(a) - --------------------------------------------------------------------------------------------------------------------------------- NC Enterprises, Inc. (a) - --------------------------------------------------------------------------------------------------------------------------------- New Century-Cadence, Inc. (a) Energy August 28, CO 100% Holds energy-related company related 1997 - ----------------------------------------------------------------------------------------------------------------------------------- Cadence Network, LLC Energy September 3, DE 15% Energy management and related 1997 consulting services; also brokering and marketing of energy commodities - ----------------------------------------------------------------------------------------------------------------------------------- The Planergy Group, Inc.(a) Energy January 2, TX 100% Holds energy-related related 1990 companies - ----------------------------------------------------------------------------------------------------------------------------------- Planergy, Inc. (a) Energy August 19, TX 100% Energy management and related 1977 consulting services - ----------------------------------------------------------------------------------------------------------------------------------- Planergy Services, Inc.(a) Energy July 30, DE 100% Energy management and related 1987 consulting services - ----------------------------------------------------------------------------------------------------------------------------------- Utility Engineering Energy- August 14, TX 100% Holds energy-related Corporation related 1985 companies and is engaged in engineering, design and construction management, and invests in/developing cogeneration and energy-related projects - ----------------------------------------------------------------------------------------------------------------------------------- Universal Utility Energy- May 2, 1996 TX 100% Provides electric generation Services Company related services/maintenance - ----------------------------------------------------------------------------------------------------------------------------------- Precision Resource Company Energy- May 6, 1996 TX 100% Provides energy-contract related personnel service - ----------------------------------------------------------------------------------------------------------------------------------- Quixx Corporation Energy- August 14, TX 100% Invests in/developing related 1985 cogeneration and energy-related projects - ----------------------------------------------------------------------------------------------------------------------------------- Quixx Louisville, L.L.C. Energy- March 14, DE 100% Owns and operates gas-fired related 1994 boilers - ----------------------------------------------------------------------------------------------------------------------------------- Windpower Partners 1994, Energy- December 30, DE 24.67% Owns and operates Wind L.P. (LP) related 1994 generation facility - ----------------------------------------------------------------------------------------------------------------------------------- Quixx Mustang Station, Energy- October 4, DE 100% Holds energy-related Inc. related 1996 companies - ----------------------------------------------------------------------------------------------------------------------------------- Denver City Energy Energy- November 6, DE 0.5% Owns interest in gas-fired Associates, L.P./GP related 1996 combined facility, Mustang Station - ----------------------------------------------------------------------------------------------------------------------------------- Quixx WPP94, Inc. Energy- December 16, TX 100% Holds energy-related related 1994 companies - ----------------------------------------------------------------------------------------------------------------------------------- Windpower Partners 1994, Energy- December 30, TX 0.33% Operates Wind generation L.P. (GP) related 1994 facility - ----------------------------------------------------------------------------------------------------------------------------------- Quixx Power Services, Energy- October 13, TX 100% Operates/maintains Inc. related 1993 cogeneration facilities - ----------------------------------------------------------------------------------------------------------------------------------- Quixx Resources, Inc. Energy- December 8, NV 100% Holds energy-related related 1995 companies
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Percentage of Name of Energy or Voting Nature Reporting Gas Related Date of State of Securities Of Company Company Organization Organization Held Business ------- ------- ------------ ------------ ---- -------- Borger Energy Energy- May 6, 1997 DE 44.5% Owns interest in gas-fired Associates, L.P. (LP) related cogeneration facility, Blackhawk station - ---------------------------------------------------------------------------------------------------------- Denver City Energy Energy- November 6, DE 49.5% Owns interest in gas-fired Associates, L.P.(LP) related 1996 combined facility, Mustang station - ---------------------------------------------------------------------------------------------------------- Quixx Borger Cogen, Inc. Energy- March 13, DE 100% Holds energy-related related 1997 companies - ---------------------------------------------------------------------------------------------------------- Borger Energy Energy- May 6, 1997 DE 0.45% Owns interest in gas-fired Associates, L.P. (GP) related combined facility, Blackhawk station - ---------------------------------------------------------------------------------------------------------- Quixxlin Corp. Energy- July 16, 1997 DE 100% Holds energy-related related companies - ---------------------------------------------------------------------------------------------------------- Quixx Linden, L.P. (GP) Energy- June 25, 1996 TX 0.50% Owns and operates gas-fired related cogeneration facility - ---------------------------------------------------------------------------------------------------------- Quixx Linden, L.P. (LP) Energy- June 25, 1996 TX 49.5% Owns and operates gas-fired related cogeneration facility - ---------------------------------------------------------------------------------------------------------- Natural Station Equipment, Energy- January 1, DE 100% Manufactures natural gas LLC related 1999 equipment - ---------------------------------------------------------------------------------------------------------- e prime, inc. Energy- January 30, CO 100% Holds energy-related related 1995 companies and engages in energy marketing, trading and providing energy services - ---------------------------------------------------------------------------------------------------------- Young Gas Storage Company Energy- July 6, 1993 DE 100% Hold energy-related company related - ---------------------------------------------------------------------------------------------------------- Young Gas Storage Energy- June 30, 1993 CO 47.5% Owns & operates underground Company, Ltd. related gas storage facilities - ---------------------------------------------------------------------------------------------------------- Texas-Ohio Pipeline, Inc. Energy- June 22, 1990 TX 100% Owns and operates gas related pipeline - ---------------------------------------------------------------------------------------------------------- Johnstown Cogeneration Energy- February 8, CO 50% Operates cogeneration Company, L.L.C. related 1996 facility - ---------------------------------------------------------------------------------------------------------- e prime Energy Marketing, Energy- March 3, 1997 CO 100% Provides energy-related Inc.(new) related services - ---------------------------------------------------------------------------------------------------------- e prime Florida, Inc. Energy- October 18, CO 100% Provides retail gas related 1999 marketing services - ---------------------------------------------------------------------------------------------------------- e prime Georgia, Inc. Energy- June 10, 1999 GA 100% Provides retail gas related marketing services - ---------------------------------------------------------------------------------------------------------- Public Service Company of Colorado ("PSCo") - ---------------------------------------------------------------------------------------------------------- Colorado Natural Fuels, LLC Energy December 17, CO 100% Hold energy-related companies related 1999 - ---------------------------------------------------------------------------------------------------------- Natural Fuels Company, LLC Energy January 1, DE 100% Engages in natural gas related 1999 distribution and provides refueling station/natural gas distribution equipment
(a) Directly and/or indirectly holds securities in energy-related companies. LP: Limited Partner, GP: General Partner. 2 Narrative Description of Activities for Reporting Period New Century Cadence, Inc. - Exclusively in business of holding interest in Cadence Network, LLC. Cadence Network, LLC provides a single source for both energy management services and products designed to lower energy costs for national companies that operate at multiple locations. The Planergy Group, Inc. and subsidiaries - The Planergy Group, Inc. consists of two principal operating subsidiaries providing energy management, consulting and demand side management services to industrial, commercial, utility and municipal customers. The operating subsidiaries consist of Planergy, Inc. and Planergy Services, Inc. Other subsidiaries that were acquired are inactive or have no significant operations or employees. Utility Engineering Corporation ("UE") - UE is engaged in engineering, design, construction management and other miscellaneous services. UE currently has three wholly-owned subsidiaries - Universal Utility Services Company, Precision Resource Company, and Quixx Corporation ("Quixx"). Universal Utility Services Company provides cooling tower maintenance and repair, certain other industrial plant improvement services, and engineered maintenance of high voltage plant electric equipment. Precision Resource Company provides contract professional and technical resources for customers in the energy industrial sectors. On January 1, 2000, UE acquired Quixx Corporation and its subsidiaries from NC Enterprises at net book value, aggregate value of approximately $74 million. 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 also finances the sale of heat pumps. Quixx currently has several subsidiaries, most of which hold interests in various energy-related investments. Quixx Linden, L.P. - Quixx Linden, L.P. 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. This facility commenced cogeneration operations in October 1999. It is estimated that final completion of this facility will be in early 2000. Quixx also directly holds a 49.5% limited partnership interest in Quixx Linden, L.P. Colorado Natural Fuels, LLC - Colorado Natural Fuels, LLC was formed in December 1999 and owns 100% of Natural Fuels Company LLC ("NATCO"). NATCO is engaged in the sale of compressed natural gas as a transportation fuel to retail markets and the conversion of vehicles for natural gas usage. Colorado Natural Fuels, LLC is a wholly-owned subsidiary of PSCo. 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. 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, L.L.C. ("Johnstown") - Johnstown is electric cogeneration facility which e prime owns a 50% general partnership interest. 3 Item 2. - Issuances and Renewals of Securities and Capital Contribution CAPITAL CONTRIBUTIONS (in thousands of dollars): Company Company Amount of Contributing Receiving Capital Capital Capital Contribution - ------- ------- ------------ Cadence Network, LLC, executive Cadence Network, LLC $ 5 e prime, inc. Johnstown Cogeneration Company, $ 38 L.L.C. PSCo Colorado Natural Fuels, LLC $615 Item 3. - ASSOCIATED TRANSACTIONS Part I. - Transactions performed by reporting companies on behalf of associate companies (in thousands of dollars).
Reporting Company Associate Company Types of Services Rendered Direct Indirect Cost Total Rendering Receiving Costs Costs of Amount Services Services Charged Charged Capital Billed - -------- -------- ------------------------- ------- ------- ------- ------ UE PSCo Engineering/Utility Professional Services $20,577 $ - $ - $20,577 UE Southwestern Public Engineering/Utility 2,259 - - 2,259 Service Co. Professional Services UE New Century Services, Engineering Professional 1,580 - - 1,580 Inc. Services Colorado Natural PSCo Gas sales and gas equipment 10 - - 10 Fuels LLC. maintenance e prime PSCo Gas purchased 8,200 - - 8,200
4 Part II. - Transactions performed by associate companies on behalf of reporting companies (in thousands of dollars).
Reporting Associate Company Company Types of Direct Indirect Cost Total Receiving Rendering Services Costs Costs Of Amount Services Services Rendered Charged Charged Capital Billed - -------- -------- -------- ------- ------- ------- ------ Cadence Network, LLC New Century Services, Administrative support; mgmt $ 18 $ 3 $ 1 $ 22 Inc. services Planergy Group New Century Services, Administrative support; mgmt 29 40 4 73 Inc. services Quixx Linden, L.P. Quixx Power Services Power plant operating management 600 - - 600 fee and expenses Quixx Linden, L.P. Quixx Corporation Partnership management fee 25 - - 25 Utility Engineering New Century Services, Administrative support; mgmt 357 359 32 748 Corporation Inc. services Natural Station New Century Services, Administrative support; mgmt 18 10 - 28 Equipment, LLC Inc. services Natural Station PSCo Utilities Services 2 - - 2 Equipment, LLC Colorado Natural PSCo Gas transportation 48 - - 48 Fuels LLC. parts/services e prime, inc. New Century Services, Administrative support; mgmt 97 95 9 201 Inc. services e prime, inc. PSCo Gas transportation services 1,891 - - 1,891 e prime, inc. PSCo Compressor - Usage 33 - - 33
5 Item 4. - SUMMARY OF AGGREGATE INVESTMENT Investments in energy-related companies: (in thousands) Total consolidated capitalization as of June 30, 2000 $ 5,508,800 Line 1 Total capitalization multiplied by 15% (Line 1 multiplied by 0.15) 826,320 Line 2 Greater of $50 million or line 2 $826,320 Line 3 Total current aggregate investment: (categorized by major line of energy- related business) Energy management services (Category I) 18,973 Compressed natural gas services (Category III) 4,361 Brokering/Marketing services (Category V) 10,000 Developing/Ownership QF's (Category VIII) 3,451 ----- Total current aggregate investment 36,785 Line 4 ------- Difference between the greater of $50 million or 15% of capitalization and the total aggregate investment of the registered holding company system $789,535 Line 5 (line 3 less line 4) ======== Investments in gas-related companies: NONE Item 5. - OTHER INVESTMENTS (in thousands)
Other Other Major Line Investment Investment Reason for of Energy-Related in Last in This 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 NC Enterprises, which were created in conjunction with the formation of NCE, effective August 1, 1997. 6 Item 6. - FINANCIAL STATEMENTS AND EXHIBITS A. Financial Statements: Exhibit A-1 Financial statements of Cadence Network, LLC for the quarter ended June 30, 2000 - filed under confidential treatment pursuant to Rule 104(b). Exhibit A-2 Financial statements of the Planergy Group and subsidiaries for the quarter ended June 30, 2000 - filed under confidential treatment pursuant to Rule 104(b). Exhibit A-3 Financial statements of Quixx Linden, L.P. for the quarter ended June 30, 2000 - filed under confidential treatment pursuant to Rule 104(b). Exhibit A-4 Financial statements of Utility Engineering Corporation and subsidiaries for the quarter ended June 30, 2000 - filed under confidential treatment pursuant to Rule 104(b). Exhibit A-5 Financial statements of Natural Station Equipment LLC for the quarter ended June 30, 2000 - filed under confidential treatment pursuant to Rule 104(b). Exhibit A-6 Financial statements of e prime, inc. and subsidiaries for the quarter ended June 30, 2000 - filed under confidential treatment pursuant to Rule 104(b). Exhibit A-7 Financial statement of Johnstown Cogeneration Company, L.L.C. for the quarter ended June 30, 2000 - filed under confidential treatment pursuant to Rule 104(b). Exhibit A-8 Financial statement of Colorado Natural Fuels, LLC for the quarter ended June 30, 2000- filed under confidential treatment pursuant to Rule 104(b). B. Exhibits: NONE 7 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. New Century Energies, Inc. By /s/ Teresa S. Madden -------------------- Teresa S. Madden Controller August 28, 2000 With the above signature, I also certify that the corresponding report on Form U-9C-3 for the first quarter of 2000 was filed with New Century Energies, Inc.'s interested state commissions whose names and addresses are listed below. Public Utilities Commission of the State of Colorado 1580 Logan Street Denver, CO 80203 Public Service Commission of Wyoming Hansen Building, Suite 300 2515 Warren Avenue Cheyenne, WY 82002 Public Utility Commission of Texas 1701 N. Congress Avenue Austin, Texas 78711 New Mexico Public Regulation Commission 224 E. Palace Avenue Santa Fe, NM 87503 Kansas Corporation Commission 1500 SW Arrowhead Road Topeka, KS 66604 Oklahoma Corporation Commission 2101 N. Lincoln Blvd., Suite 130 Oklahoma City, OK 73105 8 -----END PRIVACY-ENHANCED MESSAGE-----