-----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, Tv4zcqcwalNzCVsgCIUJhpUvDmrQRrzlspulwVPBPekPGWkw5sG7mC/gf4vkZDeB 5C4zvZ475tCTumilFGHAYA== 0000950128-01-000559.txt : 20010402 0000950128-01-000559.hdr.sgml : 20010402 ACCESSION NUMBER: 0000950128-01-000559 CONFORMED SUBMISSION TYPE: U-3A3-1 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010330 FILER: COMPANY DATA: COMPANY CONFORMED NAME: MELLON BANK N A CENTRAL INDEX KEY: 0000216543 STANDARD INDUSTRIAL CLASSIFICATION: ASSET-BACKED SECURITIES [6189] IRS NUMBER: 250659306 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: U-3A3-1 SEC ACT: SEC FILE NUMBER: 034-00087 FILM NUMBER: 1586240 BUSINESS ADDRESS: STREET 1: ONE MELLON BANK CTR STREET 2: ROOM 980 CITY: PITTSBURGH STATE: PA ZIP: 15258-0001 BUSINESS PHONE: 4122345000 MAIL ADDRESS: STREET 1: ONE MELLON CENTER STREET 2: ROOM 980 CITY: PITTSBURGH STATE: PA ZIP: 15258-0001 U-3A3-1 1 j8745701u-3a31.htm MELLON BANK, N.A., FORM U-3A3-1 FOR 02/28/2001 MELLON BANK, N.A., Form U-3A3-1 for 02/28/2001

Adopted 12/29/50

SECURITIES AND EXCHANGE COMMISSION
Washington, D. C.

FORM U-3A3-1

TWELVE-MONTH STATEMENT BY BANK CLAIMING EXEMPTION AS A HOLDING
COMPANY, OR EXEMPTION FROM SECTION 9(a)(2) OF THE PUBLIC UTILITY
HOLDING COMPANY ACT OF 1935 UNDER RULE 3 OF THE GENERAL RULES AND
REGULATIONS UNDER THE ACT

(Note: No statement on this form need be filed unless an answer other than “None” is required under items 1 or 2.)

Statement for 12-month period ending February 28, 2001.

Name of bank    Mellon Bank, N.A.                            

Address            One Mellon Center, Pittsburgh, PA 15258-0001          

Organized in the year 1902 under the laws of the United States of America    

and subject to regulation or examination under the laws of the United States    

      If this statement is submitted by a receiver, conservator, or liquidating agent, state name and status: N/A  

IT IS HEREBY CERTIFIED BY THE UNDERSIGNED THAT ACCORDING TO THE RECORDS OF THE UNDERSIGNED AND TO THE BEST OF ITS KNOWLEDGE AND BELIEF:

 


      1. The following tabulation sets forth the total amount of voting securities of each public-utility company or holding company which the bank, as of the end of the 12-month period, owned, controlled or held in any one or more of the following categories:

        (i) beneficially; or

        (ii) as trustee or in any fiduciary capacity other than a customary custodian relationship; or

  (iii) as collateral to secure any bond, note or other evidence of indebtedness which is in default as to interest or principal for a period of 90 days or more or which has been placed by a Federal or State supervisory agency in classes II, III or IV, or comparable loan classification.

                         
Name of Company and
Description of Securities
Total Outstanding
Total Owned, Controlled
or Held by Bank
Nature of Holding
(a) (b) (c) (d)




Energy East Corporation
Common Stock
118,026,998 970,115 (ii)

Instructions to Item 1.

1.   Securities representing less that 5% of the outstanding voting securities of the issuer need not be reported unless the issuer is a company named in the answer to item 2 or item 3 of this form.
 
2.   No securities need be reported which are owned, controlled or held under a collateral trust agreement or mortgage, securing bonds or any similar instruments, which is not in default as to principal or interest for a period of 90 days or more, unless such trust agreement or mortgage gives the bank the right to vote securities pledged thereunder prior to default.
 
3.   Only the class of voting securities need be described which was owned, controlled or held by the bank. Other securities of the same issuer need not be described.
 
4.   In column (b) state the total number of shares outstanding of the class of securities described in column (a).
 
5.   Under column (d), “Nature of Holdings”, indicate by appropriate symbol upon what basis the bank holds the security, e.g., “(i)” if beneficially held, “(ii)” as trustee, etc.

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        2. The following tabulation sets forth all loans which the bank had outstanding, as of the end of the 12-month period, to any public-utility company or holding company not in a registered holding company system, which were in default or placed by a Federal or State bank supervisory agency in classes II, III or IV or comparable loan classification:

                         
Voting Securities of Public-Utility or Holding
Companies Pledged to Secure Such Loans

Number of Shares
Description of Security Pledged
Name of Company Amount of Loan

(a) (b) (c ) (d )




None

Instructions to Item 2.

1.   In column (a) indicate by a symbol loans which were in default as to interest or principal for 90 days or more or which were carried on the books of the bank at less than principal amount or for which a specific reserve was carried.
 
2.   Loans extended in conjunction or participation with others should be so designated and the proportionate interest of the bank in the loan and the security pledged thereunder should be indicated.
 
3.   See General Instruction 7. Public disclosure.

      3. The following tabulation identifies all representatives of the bank on the board of directors of any public-utility or holding company, and all officers, employees or directors of the bank who were officers or directors of any such company, at the end of the 12-month period:

                         
Official Position Official Position
Name of Company Name of Individual with Company with Bank
(a) (b) (c) (d)




Energy East Corporation Wesley W
von Schack
Chairman, President and
Chief Executive Officer
Director

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      4. The following tabulation sets forth all loans to any officer or director of any company listed in the answer to item 1 or item 2 hereof, in excess of $25,000 principal amount and not fully secured, which the bank had outstanding as of the end of the 12-month period:

                         
   
Name of Company Name of Borrower Position of Borrower
with Company
Amount of Loan
(a) (b) (c) (d)




None

Instructions to Item 4.

1.   The term “fully secured” means secured by readily marketable securities dealt in on any national securities exchange or in any recognized over-the-counter market, equal in value at least to the amount of the loan, or secured by life insurance policies having a cash surrender value at least equal to the amount of the loan.
 
2.   Loans extended in conjunction or participation with others should be so indicated and the proportionate interest of the bank in the loan indicated.
 
3.   See General Instruction 7. Public disclosure.

      5. The following tabulation sets forth all notes or other evidences of indebtedness in excess of $100,000 aggregate principal amount owing by any company, listed in the answer to item 1 of this statement, or by any subsidiary of such company, owned beneficially by the bank at the end of the 12-month period and not reported under item 2 of this statement:

                 
Name of Company Amount of Indebtedness Form of Indebtedness
(a) (b) (c)



 
New York State
Electric & Gas
Corporation
$ 40,781,250  Direct Pay Letter of Credit
 
Energy East
Corporation
$ 20,000,000* 364 day Unsecured
Revolving Credit


*   Of the $20,000,000 revolving credit, $11,666,667 is currently outstanding.

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      6. The following tabulation sets forth and describes all arrangements under which the bank received fees in excess of $10,000 during the 12-month period from any of the companies listed in the answers to items 1, 2 or 3 of this statement, or from any subsidiary of any such company, in the bank’s capacity as indenture trustee, transfer agent, registrar or paying agent in respect of securities issued or assumed by the company:

         
Name of Company Amount of Fees Services for which Fees were Paid
(a) (b) (c)



Energy East
Corporation
* Transfer Agency
 
* Exchange and Information
Agent for
Acquisition of CTG
Resources, Inc.
 
* Disbursing and
Information Agent for
Acquisition of Berkshire
Energy Resources, Inc.
 
* Exchange and Information
Agent for Acquisition of
Connecticut Energy
Corporation
 
* Disbursing and
Information Agent for
Acquisition of CMP
Group, Inc.
 
New York State
Electric & Gas
Corporation
* Redemption Agent on
$7.40 Preferred
 
TOTAL *$681,000 (*These fees were received by an entity that prior to December 1, 2000 was 50% owned, and after that date 100% owned, by an affiliate of Mellon Bank, N.A.)

      7. This statement covers all foreign as well as domestic offices of this bank and its subsidiaries, except as follows:   N/A  

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March 30, 2001
(Date)
 
(CORPORATE SEAL) Mellon Bank, N.A.
(Name of Bank)
 
 
Attest:
By    Carl Krasik

(Signature of Officer)
 
Associate General Counsel
and Assistant Secretary
(Title)
 
Elaine Beck Oresti
(Signature of Officer)
 
        Secretary        
(Title)

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