35-CERT 1 doc1.txt FILE NO. 70-10013 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 QUARTERLY FILING CERTIFICATE PURSUANT TO ORDER GRANTING EXEMPTIONS UNDER SECTION 3(b) TO FOREIGN PUBLIC UTILITY COMPANIES Release No 35-27497; File No. 70-10013 -------------------------------------------- DUKE ENERGY CORPORATION 526 S. Church Street Charlotte, North Carolina 28202 (Name of the company filing this certificate and address of its principal executive office) --------------------------------------------- David L. Hauser Senior Vice President and Treasurer Duke Energy Corporation 526 S. Church Street Charlotte, North Carolina 28202 (Name and address of agent for service) Please also submit copies of all correspondence to: Robert T. Lucas Duke Energy Corporation 422 South Church Street Charlotte, North Carolina 28201-1244 Adam Wenner, Esq. Vinson & Elkins L.L.P. The Willard Office Building 1455 Pennsylvania Avenue, N.W. Washington, D.C. 20004-1008 By order issued March 8, 2002, the Commission granted the application of Duke Energy Corporation ("Duke Energy") under section 3(b) of the Public Utility Holding Company Act of 1935, as amended. The Commission's order required Duke Energy, beginning with the first calendar quarter after March 8, to file, on a quarterly basis, a certificate containing certain information regarding the capitalization and senior debt ratings of Duke Energy. Pursuant to that requirement, Duke Energy hereby submits its certificate. CERTIFICATE ----------- The undersigned officer of Duke Energy Corporation hereby certifies as follows: 1. The following table shows the Company's total capitalization as of March 31, 2002 CAPITALIZATION (IN MILLIONS OF DOLLARS) 3/31/02 Notes Payable and Commercial Paper 2,615 Long-Term Debt (including current portion) 18,881 Guaranteed Preferred Beneficial Interests in Subordinated Notes of DEC or Subsidiaries 1,407 Preferred and Preference Stock (including current portion) 247 Minority Interest 2,666 Total Common Stock Equity 14,559 ------- Total Capitalization 40,375 -------------------------------------------------------------------------------- 2. As of March 31, 2002, the Company's senior unsecured debt ratings were A1 from Moody's Investors Service, Inc., A+ from Standard & Poor's Ratings Service, a division of McGraw-Hill, Inc. and A+ from Fitch Ratings. IN WITNESS WHEREOF, the undersigned has hereunto set his hand this 31st day of May, 2002. /s/ Myron L. Caldwell --------------------------------- Myron L. Caldwell Vice President, Corporate Finance Respectfully submitted, DUKE ENERGY CORPORATION By: /s/ David L. Hauser -------------------------------- David L. Hauser Senior Vice President and Treasurer Dated: May 31, 2002 2