U-6B-2 1 du6b2.txt CAROLINA POWER & LIGHT CO. Form U-6B-2 Securities and Exchange Commission Washington, DC Form U-6B-2 Certificate of Notification Carolina Power & Light Company 410 S. Wilmington Street Raleigh, NC 27602 Filed by a registered holding company or subsidiary thereof pursuant to Rule U-20-(d) [Reg. Section 250.20, paragraph 36,652] or U-47 [Reg. Section 250.47, paragraph 36,620] adopted under the Public Utility Holding Company Act of 1935. Certificate is filed by Carolina Power & Light Company This certificate is notice that the above named company has issued, renewed, or guaranteed the security or securities described herein, which issue, renewal or guaranty was exempted from the provisions of Section 6(a) of the Public Utility Holding Company Act of 1935, and was neither the subject of a declaration or application on Form U-1 nor included within the exemption provided by Rule U-48, [Reg.Section 250.48, paragraph 36,621]. REQUIREMENTS: 1. Type of the security or securities. ----------------------------------- Pollution Control Revenue Refunding Bonds 2. Issue, renewal or guaranty. --------------------------- Issuance 3. Principal amount of each security. ---------------------------------- $48,485,000 4. Rate of interest per annum of each security. -------------------------------------------- 5.375% 5. Date of issue, renewal or guaranty of each security. ---------------------------------------------------- February 6, 2002 6. If renewal of security, give date of original issue. ---------------------------------------------------- N/A 7. Date of maturity of each security. ---------------------------------- (In case of demand notes, indicate "on demand"). ------------------------------------------------------- February 1, 2017 8. Name of the person to whom each security was issued, renewed or ----------------------------------------------------------------------- guaranteed. ----------- First Union National Bank, as Trustee 9. Collateral given with each security, if any. -------------------------------------------- The securities will initially be secured by one or more series of First Mortgage Bonds, which will be created and issued under, and subject to the provisions of the Company's Mortgage and Deed of Trust, dated as of May 1, 1940, as supplemented. The First Mortgage Bonds will become unsecured senior obligations of the Company when substantially all of the Company's outstanding First Mortgage Bonds are retired. 10. Consideration received for each security. ----------------------------------------- Cash 11. Application of proceeds of each security. ----------------------------------------- Proceeds will be used for the purpose of refinancing bonds that were originally issued in 1983 for the purpose of financing the construction of certain air and water pollution control and other facilities at the Company's Shearon Harris plant located in Wake County, North Carolina. 12. Indicate by a check after the applicable statement below whether the ----------------------------------------------------------------------- issue, renewal or guaranty of each security was exempt from the ----------------------------------------------------------------------- provisions of Section 6(a) because of: -------------------------------------- a. The provision contained in the first sentence of Section 6(b)[_] b. The provisions contained in the fourth sentence of Section 6(b)[_] c. The provisions contained in any rule of the Commission other than Rule U-48 [X] 13. If the security or securities were exempt from the provisions of ----------------------------------------------------------------------- Section 6(a) by virtue of the first sentence of Section 6(b), give the ----------------------------------------------------------------------- figures which indicate that the security or securities aggregate ----------------------------------------------------------------------- (together with all other then outstanding notes and drafts of a ----------------------------------------------------------------------- maturity of nine months or less, exclusive of days of grace, as to ----------------------------------------------------------------------- which company is primarily or secondarily liable) not more than 5 per ----------------------------------------------------------------------- centum of the principal amount and par value of the other securities of ----------------------------------------------------------------------- such company then outstanding. (Demand notes, regardless of how long ----------------------------------------------------------------------- they may have been outstanding shall be considered as maturing in not ----------------------------------------------------------------------- more than nine months for the purposes of the exemption from Section ----------------------------------------------------------------------- 6(a) of the Act granted by the first sentence of Section 6(b). -------------------------------------------------------------- N/A 14. If the security or securities are exempt from the provisions of Section ----------------------------------------------------------------------- 6(a) because of the fourth sentence of Section 6(b), name the security ----------------------------------------------------------------------- outstanding on January 1, 1935, pursuant to the terms of which the ----------------------------------------------------------------------- security or securities herein described have been issued. --------------------------------------------------------- N/A 15. If the security or securities are exempt from the provisions of Section ----------------------------------------------------------------------- 6(a) because of any rule of the Commission other than Rule U-48 (Reg. ----------------------------------------------------------------------- Section 250.48, paragraph 36,621) designate the rule under which ----------------------------------------------------------------------- exemption is claimed. --------------------- Rule 52(a) Carolina Power & Light Company By: /s/ Thomas R. Sullivan ---------------------------- Thomas R. Sullivan Treasurer Date: February 15, 2002