-----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, Jv6J2rw3Xtqq/IyBROCTy0uWTEaGI0r+oREqKmsL3doNgfF+OyqTfsuc11KJrIHA EpA9VkgoZCHBKMjSjkAVww== 0001046861-04-000097.txt : 20041202 0001046861-04-000097.hdr.sgml : 20041202 20041202114652 ACCESSION NUMBER: 0001046861-04-000097 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20041202 ITEM INFORMATION: Temporary Suspension of Trading Under Registrant's Employee Benefit Plans ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20041202 DATE AS OF CHANGE: 20041202 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ENERGY EAST CORP CENTRAL INDEX KEY: 0001046861 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 141798693 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-14766 FILM NUMBER: 041179530 BUSINESS ADDRESS: STREET 1: PO BOX 12904 STREET 2: STE 2006A 20TH FL CITY: ALBANY STATE: NY ZIP: 12212-2904 BUSINESS PHONE: 5184343049 MAIL ADDRESS: STREET 1: PO BOX 12904 STREET 2: SUITE 2006A 20TH FLOOR CITY: ALBANY STATE: NY ZIP: 12212-2904 FORMER COMPANY: FORMER CONFORMED NAME: NGE RESOURCES INC DATE OF NAME CHANGE: 19970924 8-K 1 e8k120204.htm ENERGY EAST FORM 8-K DATED DECEMBER 2, 2004 Form 8-K 12/2/04

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

_____________________

 

FORM 8-K
CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): December 2, 2004
_____________________

Commission
file number

Exact name of Registrant as specified in its charter,
State of incorporation, Address and Telephone number

IRS Employer
Identification No.

1-14766

Energy East Corporation
(A New York Corporation)
P. O. Box 12904
Albany, New York 12212-2904
(518) 434-3049
www.energyeast.com

14-1798693

 

 

Not Applicable
(Former name or former address, if changed since last report.)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

[   ]

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

[   ]

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

[   ]

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

[   ]

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

 

 

 

 

 

 

Item 5.04  Temporary Suspension of Trading under Registrant's Employee Benefit Plans

 

On December 2, 2004, Energy East Corporation sent a notice to directors and executive officers of Energy East Corporation informing them that a blackout period with respect to the 401(k) plans of Energy East's subsidiaries that offer The Energy East Corporation Stock Fund as an investment option will be in effect beginning at 3:00 p.m. Eastern Daylight Time on December 27, 2004, and will continue until January 6, 2005.

Energy East Corporation provided a notice to its directors and executive officers in accordance with Section 306(a) of the Sarbanes-Oxley Act of 2002 and Rule 104 of Regulation BTR.

The notice is attached as Exhibit 99-1 to this document.

 

Item 9.01  Financial Statements and Exhibits

(c)  Exhibits

99-1

Notice of a Blackout Period to Directors and Executive Officers of Energy East Corporation dated December 2, 2004.

 

 

SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

 





Date:  December 2, 2004

ENERGY EAST CORPORATION
              (Registrant)


By   /s/Robert D. Kump                                             
           Robert D. Kump
           Vice President, Treasurer
           and Secretary

EX-99.1 2 e8k120204e99-1.htm EXHIBIT 99-1, LETTER DATED DECEMBER 2, 2004 Form 8-K Exhibit 99-1, 12/2/2004

Exhibit 99-1




        December 2, 2004

 

Members of the Board of Directors
and Executive Officers of Energy East Corporation

 

RE:  Notice of Blackout Period for 401(k) Plans

Section 306(a) of the Sarbanes-Oxley Act of 2002 was adopted to prevent officers and directors of corporations from trading in the corporation's securities while employees of the corporation are restricted from trading such securities in an employee benefit plan. As a director of Energy East Corporation, or, as one of its executive officers, as defined by Section 16 of the Securities Exchange Act of 1934, you are subject to Section 306(a).

On January 1, 2005, T. Rowe Price will replace Putnam Investments as the trustee for all 401(k) plans of Energy East Corporation's subsidiaries other than the Rochester Gas and Electric Corporation Savings Plus Plan, for which T. Rowe Price already serves as the trustee. This memorandum is to notify you of a blackout period with respect to the 401(k) plans of Energy East's subsidiaries that offer The Energy East Corporation Stock Fund as an investment option.

The blackout period will be in effect beginning at 3:00 p.m. Eastern Daylight Time on December 27, 2004, and will continue until January 6, 2005. This period is necessary to allow for the orderly and accurate transfer of records and funds from Putnam Investments to T. Rowe Price or, in the case of the Rochester Gas and Electric Corporation Savings Plus Plan, to map new investment options. During this period participants in the plans will be unable to obtain a loan under their plan, obtain a distribution from their plan, or direct or diversify investments in their individual accounts, including directing or diversifying investments in Energy East common stock.

As a director or executive officer of Energy East, during the blackout period you are prohibited from purchasing, selling, or otherwise acquiring or transferring any Energy East common stock that you now have or may receive in connection with your position as a director or executive officer. This applies to any direct or indirect interest you may have in Energy East common stock, including restricted stock and stock options, regardless of whether or not your transaction is inside or outside of an Energy East subsidiary's 401(k) plan. This limitation will not affect the January 1, 2005, issuance of phantom shares under the Director Share Plan, contributions you make to the Energy East Corporation Employees' Stock Purchase Plan during the blackout period, or dividends reinvested through Energy East's Investor Services Program during the blackout period.

If you have any questions regarding this blackout period please contact:

Paul Karakantas
Energy East Management Corporation
89 East Avenue
Rochester,  NY 14649
(585) 771-4334

Sincerely,            
/s/Robert D. Kump

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