-----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, AyMyW3Jyi6jns5aXfidmMG7XS67Kmk65qWDID32R1EE7gasuU0EYgs2GbE7Epymb bCxXIKsPi6mdTSkugs+teA== 0000950128-97-000652.txt : 19970326 0000950128-97-000652.hdr.sgml : 19970326 ACCESSION NUMBER: 0000950128-97-000652 CONFORMED SUBMISSION TYPE: U-3A3-1 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970325 SROS: NYSE 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: 1935 Act SEC FILE NUMBER: 034-00087 FILM NUMBER: 97562664 BUSINESS ADDRESS: STREET 1: ONE MELLON BANK CTR STREET 2: ROOM 4040 CITY: PITTSBURGH STATE: PA ZIP: 15258-0001 BUSINESS PHONE: 4122340726 U-3A3-1 1 MELLON BANK U-3A3-1 1 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, 1997. -- -- Name of bank Mellon Bank, N.A. -------------------------------------------------------------- Address One Mellon Bank 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 Total Owned, Controlled Nature of of Securities Total Outstanding or Held by Bank Holding (a) (b) (c) (d) - --------------- ----------------- ----------------------- --------- Consolidated Natural 94,837,204 2,280,204 (ii) Gas Company
2 - 2 - Instructions to Item 1. 1. Securities representing less than 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. 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 Se- cure Such Loans ----------------------------------- Description of Number of Shares Name of Security Pledged Debtor Company Amount of Loan -------------- ---------------- (a) (b) (c) (d) - -------------- -------------- -------------- ---------------- NONE
3 - 3 - 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) - --------------- ------------------ ----------------- ----------------- Consolidated Natural J. W. Connolly Director Director Gas Company
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:
Position of Borrower Name of Company Name of Borrower with Company Amount of Loan (a) (b) (c) (d) - --------------- ------------------ ----------------- ----------------- NONE
4 - 4 - 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) - --------------- ---------------------- -------------------- NONE
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:
Services for which Name of Company Amount of Fees Fees were Paid (a) (b) (c) - --------------- -------------- ------------------ Consolidated Natural $19,704.65 external proxy Gas Company tabulation
5 - 5 - 7. This statement covers all foreign as well as domestic offices of this bank and its subsidiaries, except as follows: ------------------------ NONE - --------------------------------------------------------------------------- 3/25/97 - ---------------- (Date) (CORPORATE SEAL) MELLON BANK, N.A. ---------------------- (Name of Bank) By CARL KRASIK ---------------------- Attest: (Signature of Officer) Associate General Counsel and Assistant Secretary ------------------------- (Title) ELAINE BECK ORESTI - ----------------------------- (Signature of Officer) Secretary - ----------------------------- (Title) -----END PRIVACY-ENHANCED MESSAGE-----