-----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, SV3qDcDfCO569lJSRHE0Jnl6LmM6hHTxMYpt67p4eR/ZfjAsANvwMylyVVm5yt7x mh1UFChHUjxl+p7pDdA4ug== 0000070145-99-000079.txt : 19990823 0000070145-99-000079.hdr.sgml : 19990823 ACCESSION NUMBER: 0000070145-99-000079 CONFORMED SUBMISSION TYPE: U-9C-3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 19990630 FILED AS OF DATE: 19990820 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: SEC FILE NUMBER: 074-00027 FILM NUMBER: 99696464 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 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, 1999 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: Mark D. Buri Attorney National Fuel Gas Company Suite 1500 10 Lafayette Square Buffalo, New York 14203 (716) 857-7086 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 National natural gas operation engaged in Fuel Resources, Inc. owning and holding securities and the reporting issued by its subsidiaries. companies except as indicated below. Seneca Independence Gas 1996 Delaware 100% Holds a 33 1/3% general Pipeline Company partnership 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. Seneca Resources Corporation Holding 1913 Pennsylvania 100% Listed here because it owns a 100% interest in HarCor Energy, Inc. which was acquired pursuant to Rule 58. HarCor Energy, Inc. Gas 1976 Delaware 100% An oil and gas company which produces natural gas and higher higher gravity oil.
NARRATIVE DESCRIPTION: National Fuel Gas Company is not "reporting company" but is included in this Item 1 because it holds, directly or indirectly, voting securities issued by reporting companies as indicated above. Similarly, Seneca Resources Corporation is not a "reporting company" but is included in this Item 1 because it holds, directly or indirectly, voting securities issued by a reporting company as indicated above. During the quarter ended June 30, 1999, 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 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. engaged in gas marketing transactions this quarter. HarCor engaged in natural gas and higher gravity oil exploration and production activities this 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 $100,000 Issue* Fuel Gas $100,000 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 Energy $600,000 Issue** Fuel Gas $100,000 Issue** Company $500,000 Issue** HarCor no transactions this quarter Energy, Inc.
* Represents an increase in the daily principal balance of borrowings from the NFG Money Pool as compared with balance from preceding day. For the quarter, the balance increased by $200,000. ** Represents an increase in the daily principal balance of borrowings from the NFG Money Pool as compared with the balance from the preceding day. For the quarter, the balance increased by $1,000,000. 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 NONE
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, $ 23,686.53 -0- -0- $ 23,686.53 Resources Energy Inc. financial and Corporation other similar services. Seneca HarCor Managerial, $134,804.00 -0- -0- $134,804.00 Resources Energy, Inc. financial, legal Corporation and other similar services.
- ----------------------------------- Upstate Energy Inc. also 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/Gas Related Companies: NOTE: All the Reporting Companies are gas-related companies; none are energy-related companies. Investments in Gas-Related Companies: Total Current Aggregate Investment: Pipeline activities $ 9,501,000 Marketing activities 2,402,000 Exploration and Production Activities 32,537,538 ----------- Total Current Aggregate Investment: $44,440,538*** *** Reflects principal loan balances at 06/30/99 plus money paid for common stock in previous quarters. 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 HarCor Energy, Inc. ("HarCor") Confidential treatment requested pursuant to Rule 104(b) Income Statement for HarCor Confidential treatment requested pursuant to Rule 104(b)
B. EXHIBITS: EXHIBIT A - CERTIFICATE OF NATIONAL FUEL GAS COMPANY 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 19, 1999 NATIONAL FUEL GAS COMPANY By /s/ James R. Peterson ------------------------------------------- James R. Peterson Assistant Secretary EX-99 2 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 19th day of August, 1999. /s/ James R. Peterson ------------------------------------------ James R. Peterson Assistant Secretary -----END PRIVACY-ENHANCED MESSAGE-----