-----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, VhfFQqSaollGUBeDl2HUcWXccWxu821l+Q++H9Ai+HWmMbpox/DUl9PIYvzOWd1g NudUjyBmmbmR8FsyT8+48g== /in/edgar/work/20000829/0000071297-00-000086/0000071297-00-000086.txt : 20000922 0000071297-00-000086.hdr.sgml : 20000922 ACCESSION NUMBER: 0000071297-00-000086 CONFORMED SUBMISSION TYPE: U-9C-3 PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20000630 FILED AS OF DATE: 20000829 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NATIONAL GRID USA CENTRAL INDEX KEY: 0000071297 STANDARD INDUSTRIAL CLASSIFICATION: [4911 ] IRS NUMBER: 041663060 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: U-9C-3 SEC ACT: SEC FILE NUMBER: 074-00009 FILM NUMBER: 712854 BUSINESS ADDRESS: STREET 1: 25 RESEARCH DR CITY: WESTBOROUGH STATE: MA ZIP: 01582 BUSINESS PHONE: 5083892000 MAIL ADDRESS: STREET 1: 25 RESEARCH DR CITY: WESTBOROUGH STATE: MA ZIP: 01582 FORMER COMPANY: FORMER CONFORMED NAME: NEW ENGLAND ELECTRIC SYSTEM DATE OF NAME CHANGE: 19920703 U-9C-3 1 0001.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM U-9C-3 QUARTERLY REPORT PURSUANT TO RULE 58 FOR THE QUARTER ENDED June 30, 2000 NATIONAL GRID USA 25 Research Drive, Westborough, MA 01582
NATIONAL GRID USA For The Quarter Ended June 30, 2000 ITEM 1 - ORGANIZATION CHART Percentage Energy or State of Voting Name of Reporting Gas-Related Date of of Securities Company Company Organization Organization Held Nature of Business - ----------------- ----------- ------------ ------------ - ----------- -------------------------------------- New England Energy, Energy 11/20/72 MA 100 New England Energy, Inc. (NEEI) Inc./National Grid USA participated (principally through a partnership with a nonaffiliated oil company) in domestic oil and gas exploration, development, and production and the sale to New England Power Company of fuel purchased in the open market. Effective 1/1/98, NEEI sold its oil and gas properties and ceased its participation in domestic oil and gas exploration, development, and production. Granite State Energy, Energy 04/22/96 NH 100 Granite State Energy, Inc.'s purpose is Inc./National Grid USA to provide a range of energy and related services including, but not limited to, sales of energy, audits, power quality, fuel supply, repair, maintenance, construction, design, engineering, and consulting. Wayfinder Group, Inc./ Energy 01/13/92 MA 100 Wayfinder Group, Inc. is primarily a National Grid USA consulting business which provides products and services related to the operational requirements of competitive electricity markets. National GridEnergy05/01/00MA100National Grid Transmission Services Transmission ServicesCorporation's purpose is to provide Corporation/National technical, operational, management, Grid USAdevelopment, engineering, and other similar services relating to electric power transmission.
NATIONAL GRID USA For The Quarter Ended June 30, 2000 ITEM 1 - ORGANIZATION CHART Percentage Energy or State of Voting Name of Reporting Gas-Related Date of of Securities Company Company Organization Organization Held Nature of Business - ----------------- ----------- ------------ ------------ - ----------- -------------------------------------- AllEnergy Marketing Energy 04/23/98 DE 100 AllEnergy Marketing Co., L.L.C.'s Co., L.L.C./NEES principal purpose is to sell energy and Energy, Inc./National provide a range of energy-related Grid USA services including, but not limited to, marketing, brokering and sales of energy, audits, fuel supply, repair, maintenance, construction, operation, design, engineering, and consulting. This company is a Delaware limited liability company. NEWHC, Inc./ Energy 05/25/90 MA 100 On September 19, 1999, NEWHC, Inc. Wayfinder Group, sold substantially all of its assets Inc./National to Duperey Investments, Inc., an Grid USA unaffiliated company. AllEnergy Fuels Energy 03/27/98 DE 100 AllEnergy Fuels Corp.'s purpose is to Corp./ National acquire interests in and assets of Grid USA energy-related companies and to engage in energy-related activities in accordance with Rule 58. Separation Energy 03/28/89 DE 5.6 This company produces concrete using Technologies, Inc./ fly ash waste from coal-fired Wayfinder Group, Inc./ generating plants. National Grid USA SeparationEnergy03/28/89DE25.76This company produces concrete using Technologies, Inc./fly ash waste from coal-fired EUA Energy Investment/generating plants. The interest in National Grid USAthis company was acquired by National Grid USA on April 19, 2000.
NATIONAL GRID USA For The Quarter Ended June 30, 2000 ITEM 1 - ORGANIZATION CHART Percentage Energy or State of Voting Name of Reporting Gas-Related Date of of Securities Company Company Organization Organization Held Nature of Business - ----------------- ----------- ------------ ------------ - ----------- -------------------------------------- Texas Liquids, Energy 12/19/96 MA 100 Texas Liquids, LLC engages in LLC/AllEnergy purchasing, marketing, selling, Marketing Company, and distributing energy L.L.C./NEES commodities and related products Energy, Inc./ and services. On August 16, 2000, National Grid USATexas Liquids LLC was sold to an unaffiliated third party. NeXus Energy Energy 05/19/97 MA 9.9 NeXus Energy Software, Inc.'s purpose is Software, Inc./ to develop, implement, produce, market, Wayfinder Group, and sell software for application in the Inc./National energy conservation industry. Grid USA Weatherwise USA, Inc./ Energy 09/30/99 DE 4.2 Weatherwise USA, Inc.'s purpose is to be AllEnergy Marketing an energy-related company to provide Company, L.L.C./ energy management and technical and NEES Energy, Inc./ utility hedging services to reduce National Grid USA weather-related financial uncertainty of utilities, energy users, and others. This company was originally formed as an LLC on 10/10/96 and changed to a corporation on 09/30/99. AEDR Fuels, L.L.C./ Energy 01/12/98 ME 100 AEDR Fuels, L.L.C.'s purpose is to AllEnergy Marketing acquire interests in and assets of Company, L.L.C./ energy-related companies and to engage NEES Energy, Inc./ in energy-related activities in National Grid USA accordance with Rule 58. Texas-Ohio Gas, Inc./ Energy 08/12/87 TX 100 Texas-Ohio Gas, Inc.'s purpose is to AllEnergy Marketing sell energy and provide a range of Company, L.L.C./NEES energy-related services including, but Energy, Inc./National not limited to, marketing, brokering and Grid USA sales of energy, and fuel supply.
NATIONAL GRID USA For The Quarter Ended June 30, 2000 Item 2 - ISSUANCES AND RENEWALS OF SECURITIES AND CAPITAL CONTRIBUTIONS Type of Principal Issue Cost Person to Collateral Consideration Security Amount of or of Whom Security Given with Received for Company Issuing Security Issued Security Renewal Capital Was Issued Security Each Security - ------------------------ -------- --------- ------- - ------- -------------- ----------- ------------- National Grid TransmissionCommon1,000National Grid USA$1 per share Services CorporationStockshares
NATIONAL GRID USA For The Quarter Ended June 30, 2000 (cont'd.) Item 2 - ISSUANCES AND RENEWALS OF SECURITIES AND CAPITAL CONTRIBUTIONS (expressed in millions, rounded to hundred thousands of dollars) Company Company Amount of Contributing Receiving Capital Capital Capital Contribution ------------ --------- ------------ NEES Energy, Inc. AllEnergy Marketing Company, L.L.C. $(31.0) National Grid USA Wayfinder Group, Inc. $ 0.2
NATIONAL GRID USA For The Quarter Ended June 30, 2000 Item 3 - ASSOCIATE TRANSACTIONS (expressed in millions, rounded to hundred thousands of dollars) Part I - Transactions performed by reporting companies on behalf of associate companies Direct Indirect Total Reporting Company Associate Company Types of Services Costs Costs Cost of Amount Rendering Services Receiving Services Rendered Charged Charged Capital Billed ------------------ ------------------ - ----------------- ------- ------- ------- ------ N/A Part II - Transactions performed by associate companies on behalf of reporting companies Direct Indirect Total Associate Company Reporting Company Types of Services Costs Costs Cost of Amount Rendering Services Receiving Services Rendered Charged Charged Capital Billed ----------------- ------------------ - ----------------- ------- ------- ------- ------ Massachusetts Electric Wayfinder Group, Inc. Miscellaneous (2) (1) (1) (1) Company The NarragansettWayfinder Group, Inc.Customer Service(1)(1) (1) Electric Co. National Grid USA Wayfinder Group, Inc. Miscellaneous (6) (1) (1) (1) (1) Service Co., Inc. Information Services (1) (1) (1) Corp. Acctg. (1) (1) (1) (1) New Bus. Develop.(1)(1) (1)(1) National Grid USA New England Energy, Inc. Miscellaneous (5) (1) (1) (1) (1) Service Co., Inc. National Grid USA Granite State Energy, Miscellaneous (3) (1) (1) (1) (1) Service Co., Inc. Inc. National Grid USA AllEnergy Marketing Human Resources (1)(1) (1) (1) Service Co., Inc. Company, L.L.C. Miscellaneous (4)(1)(1) (1) (1) (1) Amounts are below $100,000. (2) Represents 3 types of services totaling less than $100,000 in aggregate. (3) Represents 2 types of services totaling less than $100,000 in aggregate. (4) Represents 9 types of services totaling less than $100,000 in aggregate. (5) Represents 4 types of services totaling less than $100,000 in aggregate. (6) Represents 10 types of services totaling less than $100,000 in aggregate.
NATIONAL GRID USA At June 30, 2000 ITEM 4 - SUMMARY OF AGGREGATE INVESTMENT (expressed in millions, rounded to hundred thousands of dollars) Investment in energy-related companies: Total consolidated capitalization as of June 30, 2000 $5,306.8 (1) line 1 Total capitalization multiplied by 15 percent 796.0 line 2 (line 1 multiplied by 0.15) Greater of $50 million or line 2 796.0 line 3 Total current aggregate investment: (categorized by major line of energy- related business) Power marketing and other $ 197.0 Energy software 2.2 ------- Total current aggregate investment $199.2 line 4 ------ Difference between the greater of $50 million or 15 percent of capitalization and the total aggregate investment of the registered holding company system (line 3 less line 4) $596.8 line 5 (1)Consolidated capitalization includes total common equity, cumulative preferred stock, long-term debt (including long-term debt due within one year), and short-term debt.
NATIONAL GRID USA For The Quarter Ended June 30, 2000 ITEM 5 - OTHER INVESTMENTS Reason for Major Line Other Other Difference or Energy-Related Investment in Investment in Other Business Last U-9C-3 Report in U-9C-3 Report Investment - ----------------- ------------------ ---------------- ---------- Power Marketing $24.8 $0 Investments and Other made prior to the effective date of Rule 58
NATIONAL GRID USA For The Quarter Ended June 30, 2000 ITEM 6 - FINANCIAL STATEMENTS AND EXHIBITS (A) Exhibits 10(g) Certificate stating that a copy of the report for the previous quarter has been filed with the appropriate state commissions. (B) Financial Statements* 1-ANational Grid USA Consolidated Income Statement for the quarter ended June 30, 2000 1-BNational Grid USA Consolidated Balance Sheet as of June 30, 2000 2-ANew England Energy, Inc. Balance Sheet as of June 30, 2000 3-AWayfinder Group, Inc. Income Statement for the quarter ended June 30, 2000 3-BWayfinder Group, Inc. Balance Sheet as of June 30, 2000 4-A Texas Liquids, LLC Income Statement for the quarter ended June 30, 2000 4-BTexas Liquids, LLC Balance Sheet as of June 30, 2000 5-A Texas-Ohio Gas, Inc. Income Statement for the quarter ended June 30, 2000 5-BTexas-Ohio Gas, Inc. Balance Sheet as of June 30, 2000 6-A AllEnergy Marketing Company, L.L.C. Consolidated Income Statement for the quarter ended June 30, 2000 6-B AllEnergy Marketing Company, L.L.C. Consolidated Balance Sheet as of June 30, 2000 (C) Notes (1)Financial statements for Weatherwise USA, Inc., Separation Technologies, Inc., and NEXUS Energy Software, Inc. were not available as of the filing date. (2)National Grid Transmission Services Corporation, New England Energy, Inc., Granite State Energy, Inc., and AEDR Fuels, L.L.C. Income Statement actuals, and National Grid Transmission Services Corporation, Granite State Energy, Inc., and AEDR Fuels, L.L.C. Balance Sheet actuals are less than $100,000 and are therefore not reported. * Financial Statements are being filed separately pursuant to a request for confidential treatment. SIGNATURE Pursuant to the requirements of the Public Utility Holding Company Act of 1935, the undersigned company has duly caused this report to be signed on its behalf by the undersigned officer thereunto duly authorized. NATIONAL GRID USA s/ John G. Cochrane _______________________________ John G. Cochrane, Treasurer Date: August 29, 2000 EX-99 2 0002.txt EXHIBIT INDEX Exhibit No. Description Page - ---------- -------------------------------------- -------------- 10(g) Certificate stating that a copy of the Filed Herewith report for the previous quarter has been filed with interested state commissions. Financial Statement No. Description Page - --------- ------------------------------------- -------------- 1-A National Grid USA Filed under separate cover Consolidated Income Statement for the quarter ended June 30, 2000 1-B National Grid USA Filed under separate cover Consolidated Balance Sheet as of June 30, 2000 2-A New England Energy, Inc. Balance SheetFiled under as of June 30, 2000 separate cover 3-A Wayfinder Group, Inc. Income Filed under Statement for the quarter ended separate cover June 30, 2000 3-B Wayfinder Group, Inc. Balance Sheet Filed under as of June 30, 2000 separate cover 4-ATexas Liquids, LLC Income Filed under Statement for the quarter ended separate cover June 30, 2000 4-BTexas Liquids, LLC Balance Filed under Sheet as of June 30, 2000 separate cover 5-ATexas-Ohio Gas, Inc. Income StatementFiled under for the quarter ended June 30, 2000 separate cover 5-BTexas-Ohio Gas, Inc. Balance Sheet as ofFiled under June 30, 2000 separate cover 6-AAllEnergy Marketing Company, L.L.C.Filed under Consolidated Income Statement for separate cover the quarter ended June 30, 2000 6-BAllEnergy Marketing Company, L.L.C.Filed under Consolidated Balance Sheet as of separate cover June 30, 2000 Note: Financial Statements are being filed separately pursuant to a request for confidential treatment. EX-99 3 0003.txt EXHIBIT 10(G) CERTIFICATE - ----------- A copy of the Form U-9C-3 report for the previous quarter (quarter ended March 31, 2000) has been filed with the interested state commissions in accordance with Rule 58 under the Public Utility Holding Company Act of 1935. The names and addresses of such state commissions are as follows: Mrs. Luly Massaro, Clerk Rhode Island Public Utilities Commission 100 Orange Street Providence, Rhode Island 02903 Mary L. Cottrell, Secretary Massachusetts Department of Telecommunications and Energy 1 South Station, 2nd Floor Boston, MA 02110 Mr. Thomas B. Getz Executive Director and Secretary New Hampshire Public Utilities Commission 8 Old Suncook Road Concord, New Hampshire 03301 SIGNATURE: NATIONAL GRID USA s/ John G. Cochrane By_______________________________ Name: John G. Cochrane Title: Treasurer Date: August 29, 2000 -----END PRIVACY-ENHANCED MESSAGE-----