-----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, Aw+xB7rfo3IqWEeqmFMuIxx09Wxlip69Yenyuu9dp/PtISTrYGV9wVJUJ5gertsp aWA1LOxcoAPVFL9kBuQxlg== 0000070145-01-500067.txt : 20010827 0000070145-01-500067.hdr.sgml : 20010827 ACCESSION NUMBER: 0000070145-01-500067 CONFORMED SUBMISSION TYPE: U-9C-3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20010630 FILED AS OF DATE: 20010824 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NATIONAL FUEL GAS CO CENTRAL INDEX KEY: 0000070145 STANDARD INDUSTRIAL CLASSIFICATION: NATURAL GAS DISTRIBUTION [4924] IRS NUMBER: 131086010 STATE OF INCORPORATION: NJ FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: U-9C-3 SEC ACT: 1935 Act SEC FILE NUMBER: 074-00027 FILM NUMBER: 1722970 BUSINESS ADDRESS: STREET 1: 10 LAFAYETTE SQ CITY: BUFFALO STATE: NY ZIP: 14203 BUSINESS PHONE: 7168576980 MAIL ADDRESS: STREET 1: 10 LAFAYETTE SQ STREET 2: 10 LAFAYETTE SQ CITY: BUFFALO STATE: NY ZIP: 14203 U-9C-3 1 formu9c3.htm FORM U9C3 063001 u9c3 060301

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM U-9C-3
QUARTERLY REPORT PURSUANT TO RULE 58
For the Quarterly Period Ending June 30, 2001


National Fuel Gas Company
(Name of Registered Holding Company)

10 Lafayette Square
Buffalo, New York 14203
(Name of Principal Executive Officer)



Inquiries concerning this Form U-9C-3 may be directed to:
James R. Peterson
Assistant Secretary
National Fuel Gas Company
Suite 1500
10 Lafayette Square
Buffalo, New York 14203
(716) 857-7702

                           ITEM 1 - ORGANIZATION CHART

Name of Reporting Co.        Energy or Gas   Date of        State of       Percentage of         Nature of  Business
                             Related         Organization   Organization   Voting Securities
                                                                           Held

National Fuel Gas Company    Holding         1902           New Jersey     Holds all voting      The Company  is an integrated
                                                                           securities of         natural gas operation engaged in
                                                                           the reporting         owning and holding securities
                                                                           companies except      issued by its subsidiaries.
                                                                           as indicated below.

Seneca Independence          Gas             1996           Delaware       100%                  Holds a 33 1/3% general partnership
Pipeline Company                                                                                 interest in Independence Pipeline
                                                                                                 Company, which was not formed
                                                                                                 under Rule 58.

Niagara Independence         Holding         1997           Delaware       100%                  Holds the 33-1/3% general
Marketing Company                                                                                partnership interest in DirectLink
                                                                                                 indicated below.

DirectLink Gas Marketing     Gas             1997           Delaware       33-1/3%               Gas marketing.
Company

Upstate Energy Inc.          Gas             1997           New York       100%                  Gas marketing. Also owns a 50%
                                                                                                 interest in the Roystone Gas
                                                                                                 Processing Plant which was
                                                                                                 acquired pursuant to Rule 58.

Roystone Gas Processing      Gas             1994           Pennsylvania   50%                   Processes natural gas and sells
Plant                                                       (general                             natural gas liquids.
                                                            partnership)


      NARRATIVE DESCRIPTION:

      National Fuel Gas Company is not a "reporting company" but is included in this Item 1 because it holds,
      directly or indirectly, voting securities issued by reporting companies as indicated above.

      During the quarter ended June 30, 2001, the reporting companies engaged in the following activities:

      Seneca Independence Pipeline Company ("SIP") retained its 33 1/3% general partnership interest in
      Independence Pipeline Company ("Independence"), pursuant to approval by the SEC under the PUHCA (see File
      70-9117, HCAR No. 35-26840).  SIP's transactions this quarter are described in its financial statements at
      Item 6.

      Niagara Independence Marketing Company ("NIM") retained its 33 1/3% interest in DirectLink Gas Marketing
      Company ("DirectLink").  NIM's and DirectLink's transactions this quarter are described in their financial
      statements at Item 6.

      Upstate Energy Inc. ("Upstate") engaged in gas marketing transactions this quarter.

      Roystone Gas Processing Plant engaged in processing natural gas and selling natural gas liquids during the
      quarter.





            ITEM 2 - ISSUANCE OF SECURITIES AND CAPITAL CONTRIBUTIONS

Company           Type of   Principal Amount  Issue or  Cost of  Person to      Collateral  Consideration
Issuing           Security  of Security       Renewal   Capital  Whom Security  Given With  Received for
Stock             Issued                                         Was Issued     Security    Each Security


Seneca            Note         $100,000       Issue*    N/A      National       N/A            $100,000
Independence                   $200,000       Issue*             Fuel Gas                      $200,000
Pipeline                                                         Company
Company

DirectLink Gas    no transactions this quarter
Marketing
Company

Niagara           no transactions this quarter
Independence
Marketing
Company

Upstate           Note         $200,000       Issue**   N/A      National       N/A            $200,000
Energy Inc.                    $100,000       Issue**            Fuel Gas                      $100,000
                             $1,800,000       Issue**            Company                     $1,800,000
                             $6,100,000       Issue**                                        $6,100,000
                               $100,000       Issue**                                          $100,000
                               $200,000       Issue**                                          $200,000
                               $100,000       Issue**                                          $100,000

Roystone Gas      no transactions this quarter
Processing Plant

     *  Represents an increase in the daily principal balance of borrowings from the National Fuel Gas Company
        System Money Pool as compared with balance from preceding day.  For the quarter, the outstanding balance
        increased by $100,000.
     ** Represents an increase in the daily principal balance of borrowings from the National Fuel Gas Company
        System Money Pool as compared with the balance from the preceding day.  For the quarter, the outstanding
        balance decreased by $9,400,000.


Company Contributing        Company Receiving     Amount of Capital
Capital                     Capital               Contribution

National Fuel Gas Company   Upstate Energy Inc.   $6,800,000





                         ITEM 3 -ASSOCIATE TRANSACTIONS

 PART 1 - TRANSACTIONS PERFORMED BY REPORTING COMPANY ON BEHALF OF ASSOCIATE COMPANIES

Reporting Co.     Associate Co.  Types of     Direct    Indirect  Cost of  Total Amount Billed
Rendering         Receiving      Services     Costs     Costs     Capital
Services          Services       Rendered     Charged   Charged


Roystone Gas      National Fuel  Natural gas  $75,070*  -0-       -0-      $75,070
Processing Plant  Gas Supply     processing
                  Corporation

   * Represents payments made by National Fuel Gas Supply Corporation to Roystone Gas
     Processing Plant ("Roystone") pursuant to an agreement predating Upstate Energy
     Inc.'s investment in Roystone.

 PART 2 - TRANSACTIONS PERFORMED BY ASSOCIATE COMPANIES ON BEHALF OF REPORTING COMPANY

Associate Co.    Reporting Co.  Types of       Direct   Indirect  Cost of  Total Amount Billed
Rendering        Receiving      Services       Costs    Costs     Capital
Services         Services       Rendered       Charged  Charged

National Fuel    Seneca         Managerial,    -0-      -0-       -0-       -0-
Gas Supply       Independence   financial,
Corporation      Pipeline       legal, and
                 Company        other similar
                                services.

Seneca           Upstate        Managerial,    -0-      -0-       -0-       -0-
Resources        Energy Inc.    financial and
Corporation                     other similar
                                services.

National Fuel    Upstate        Managerial     -0-      -0-       -0-       -0-
Resources, Inc.  Energy Inc.    services.

- -----------------------------------

Upstate Energy Inc. also may have  purchased  regulated  interstate  natural gas
transportation and storage services from its associate, National Fuel Gas Supply
Corporation ("Supply"),  pursuant to Supply's FERC gas tariff, but such services
are "exempted transactions" pursuant to Rule 81 under the Public Utility Holding
Company Act (17 CFR Sec. 250.81).



                    ITEM 4 - SUMMARY OF AGGREGATE INVESTMENT

Investment in Energy-Related Companies:

        Not applicable; all the Reporting Companies are gas-related companies.

Investments in Gas-Related Companies:

        Confidential Treatment requested pursuant to Rule 104(b)



                           ITEM 5 - OTHER INVESTMENTS

Major Line of Energy-   Other Investment in last   Other Investment in This   Reason For Difference
Related Business        U-9C-3 Report              U-9C-3 Report              in Other Investment

NONE



                    ITEM 6- FINANCIAL STATEMENTS AND EXHIBITS

A.  FINANCIAL STATEMENTS:

    Balance Sheet for Seneca Independence Pipeline Company ("Seneca")     Confidential treatment requested pursuant to Rule 104(b)
    Income Statement for Seneca                                           Confidential treatment requested pursuant to Rule 104(b)
    Balance Sheet for Niagara Independence Marketing Company ("Niagara")  Confidential treatment requested pursuant to Rule 104(b)
    Income Statement of Niagara                                           Confidential treatment requested pursuant to Rule 104(b)
    Balance Sheet for DirectLink Gas Marketing Company ("DirectLink")     Confidential treatment requested pursuant to Rule 104(b)
    Income Statement for DirectLink                                       Confidential treatment requested pursuant to Rule 104(b)
    Balance Sheet for Upstate Energy Inc. ("Upstate")                     Confidential treatment requested pursuant to Rule 104(b)
    Income Statement for Upstate                                          Confidential treatment requested pursuant to Rule 104(b)
    Balance Sheet for Roystone Gas Processing Plant ("Roystone")          Confidential treatment requested pursuant to Rule 104(b)
    Income Statement for Roystone                                         Confidential treatment requested pursuant to Rule 104(b)


B.      EXHIBITS:

        1. Copies of contracts required to be provided by Item 3:  NOT APPLICABLE

        2. Certificate stating that a copy of the report for the previous quarter has been filed with
interested state commissions:  EXHIBIT A

SIGNATURES

        Pursuant to the requirements of the Public Utility Holding Company Act of 1935, National Fuel Gas Company
has duly caused this report to be signed and authorized on its behalf by the undersigned.

Dated:  August 24, 2001

                                          NATIONAL FUEL GAS COMPANY



                                          By  /s/ James R. Peterson
                                            -----------------------------------
                                            James R. Peterson
                                            Assistant Secretary

EX-99 3 ex-a.htm EX A TO U9C3 063001 ex-a to u9c3 063001

EXHIBIT A

NATIONAL FUEL GAS COMPANY
CERTIFICATE



        The undersigned certifies that he is the duly designated and acting Assistant Secretary of National Fuel Gas Company, a New Jersey Corporation, and that the report on Form U-9C-3 for the previous quarter was filed with National Fuel Gas Company's interested State Commissions whose names and addresses are listed below:

State of New York Public Service Commission
3 Empire State Plaza
Albany, New York 12223-1350


Pennsylvania Public Utility Commission
P.O. Box 3265
North Office Building
Harrisburg, Pennsylvania 17120

IN WITNESS WHEREOF, I have hereunto set my hand as of the 24th day of August, 2001.


                                            /s/ James R. Peterson
                                            -----------------------------------
                                            James R. Peterson
                                            Assistant Secretary

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