-----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, UR7eInmeDTvJfq/Skg60Tlb3J2inWEjh+C7OeZ/GOyNo9KbM7P1JbQD/xvnmrMBP n+jh5gsr9Yljx9KF9qv5VA== 0001193125-03-083952.txt : 20031119 0001193125-03-083952.hdr.sgml : 20031119 20031119162105 ACCESSION NUMBER: 0001193125-03-083952 CONFORMED SUBMISSION TYPE: 35-CERT PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20031119 EFFECTIVENESS DATE: 20031119 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DUKE ENERGY CORP CENTRAL INDEX KEY: 0000030371 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 560205520 STATE OF INCORPORATION: NC FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 35-CERT SEC ACT: 1935 Act SEC FILE NUMBER: 070-10013 FILM NUMBER: 031013145 BUSINESS ADDRESS: STREET 1: 526 SOUTH CHURCH STREET CITY: CHARLOTTE STATE: NC ZIP: 28202 BUSINESS PHONE: 7045940887 MAIL ADDRESS: STREET 1: 526 S. CHURCH ST. CITY: CHARLOTTE STATE: NC ZIP: 28202 FORMER COMPANY: FORMER CONFORMED NAME: DUKE POWER CO /NC/ DATE OF NAME CHANGE: 19920703 35-CERT 1 d35cert.htm FORM 35-CERT Form 35-CERT

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 III

Duke Energy Corporation

422 South Church Street

Charlotte, North Carolina 28201-1244

 

 

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 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 Duke Energy’s total capitalization as of September 30, 2003

 

Capitalization (in millions of dollars)

     
     September 30, 2003

Notes Payable and Commercial Paper

    $ 494

Long-Term Debt (including current portion)a

      23,470

Guaranteed Preferred Beneficial Interests in Subordinated Notes of Duke Energy or Subsidiariesa

      —  

Preferred and Preference Stock (including current portion)a

      134

Minority Interestsa

      1,716

Total Common Stock Equity

      15,932
    

Total Capitalization

    $ 41,746
    

a Upon the implementation of Statement of Financial Accounting Standards No. 150 “Accounting for Certain Financial Instruments with Characteristics of Both Liabilities and Equity,” effective July 1, 2003, $1,200 million of trust preferred securities which had been previously classified as Guaranteed Preferred Beneficial Interests in Subordinated Notes of Duke Energy or Subsidiaries were reclassified to Long-Term Debt. Additionally, $23 million of preferred stock with sinking fund requirements, which had been previously classified as Preferred and Preference Stock with Sinking Fund Requirements, and approximately $23 million of a Duke Energy subsidiary’s preferred and preference stock, which had been previously classified as Minority Interests, were reclassified to Long-Term Debt.

 

2. As of September 30, 2003, Duke Energy’s senior unsecured debt ratings were Baa1 from Moody’s Investors Service, Inc., BBB+ from Standard & Poor’s Rating Service, a division of The McGraw-Hill Companies, Inc. and BBB+ from Fitch Ratings.

 

IN WITNESS WHEREOF, the undersigned has hereunto set his hand this 19th day of November, 2003.

 

         

/s/    Myron L. Caldwell

          Myron L. Caldwell
         

Vice President, Corporate Finance

 

 

          Respectfully submitted,
         

DUKE ENERGY CORPORATION

 

 

     By:   

/s/    Robert T. Lucas III

          Robert T. Lucas III
          Assistant Secretary

Dated: November 19, 2003

          
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