-----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, QbTa4boQP1tjzIQ+wQCfN4+5xvfqBZNfcfo9/XbGwBGe9gE0D0hdnCQxrbAWqyWt NqrXGOXxcSaiAjL3bNq2tw== 0000071297-98-000040.txt : 19980615 0000071297-98-000040.hdr.sgml : 19980615 ACCESSION NUMBER: 0000071297-98-000040 CONFORMED SUBMISSION TYPE: U-12-IB PUBLIC DOCUMENT COUNT: 4 FILED AS OF DATE: 19980611 SROS: BSE SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NEW ENGLAND POWER SERVICE CO CENTRAL INDEX KEY: 0000071339 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC, GAS & SANITARY SERVICES [4900] IRS NUMBER: 041663150 STATE OF INCORPORATION: MA FILING VALUES: FORM TYPE: U-12-IB SEC ACT: SEC FILE NUMBER: 012-00022 FILM NUMBER: 98647107 BUSINESS ADDRESS: STREET 1: 25 RESEARCH DRIVE CITY: WESTBOROUGH STATE: MA ZIP: 01581 BUSINESS PHONE: 5083892287 MAIL ADDRESS: STREET 1: 25 RESEARCH DR CITY: WESTBOROUGH STATE: MA ZIP: 0158 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NEW ENGLAND ELECTRIC SYSTEM CENTRAL INDEX KEY: 0000071297 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 041663060 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: U-12-IB BUSINESS ADDRESS: STREET 1: 25 RESEARCH DR CITY: WESTBOROUGH STATE: MA ZIP: 01582 BUSINESS PHONE: 5083669011 MAIL ADDRESS: STREET 1: 25 RESEARCH DR CITY: WESTBOROUGH STATE: MA ZIP: 01582 U-12-IB 1 FORM U-12(I)-B (THREE-YEAR STATEMENT) SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. Three-Year Period Ending 2000 FORM U-12(I)-B (THREE-YEAR STATEMENT) Statement Pursuant to Section 12(i) of Public Utility Holding Company Act of 1935 by a Person Regularly Employed or Retained by a Registered Holding Company or a Subsidiary Thereof and Whose Employment Contemplates Only Routine Expenses as Specified in Rule 71(b) (To be filed in DUPLICATE. If acknowledgment is desired, file in triplicate) 1. Name and business address of person filing statement. See attached Exhibit A 2. Names and business addresses of any persons through whom the undersigned proposes to act in matters included within the exemption provided by paragraph(b) of Rule U-71. None. 3. Registered holding companies and subsidiary companies by which the undersigned is regularly employed or retained. New England Power Service Company and associated companies, including New England Electric System. 4. Position or relationship in which the undersigned is employed or retained by each of the companies named in item 3, and brief description of nature of services to be rendered in each such position or relationship. See attached Exhibit A 5. (a) Compensation received during the current year and estimated to be received over the next two calendar years by the undersigned or others, directly or indirectly, for services rendered by the undersigned, from each of the companies designated in item 3. (Use column (a) as supplementary statement only.) See attached Exhibit B (b) Basis for compensation if other than salary. 6. (To be answered in supplementary statement only. See instructions.) Expenses incurred by the undersigned or any person named in item 2, above, during the calendar year in connection with the activities described in item 4, above, and the source or sources of reimbursement for same. (a) Total amount of routine expenses charged to client: See attached Exhibit B (b) Itemized list of other expenses: None New England Power Service Company s/ Patricia C. Behlke By: ____________________________________________ Patricia C. Behlke s/ Edward Capomacchio By: ____________________________________________ Edward Capomacchio s/ John G. Cochrane By: ____________________________________________ John G. Cochrane s/ Dan C. Delurey By: ____________________________________________ Dan C. Delurey s/ Peter G. Flynn By: ____________________________________________ Peter G. Flynn s/ Paige Graening By: ____________________________________________ Paige Graening s/ Gregory A. Hale By: ____________________________________________ Gregory A. Hale s/ Alfred D. Houston By: ____________________________________________ Alfred D. Houston s/ Michael E. Jesanis By: ____________________________________________ Michael E. Jesanis s/Cleveland Kapala By: ____________________________________________ Cleveland Kapala s/ Jennifer L. Kenney By: ____________________________________________ Jennifer L. Kenney s/ Cheryl A. LaFleur By: ____________________________________________ Cheryl A. LaFleur s/ Howard W. McDowell By: ____________________________________________ Howard W. McDowell s/ Kirk L. Ramsauer By: ____________________________________________ Kirk L. Ramsauer s/Thomas G. Robinson By: _____________________________________________ Thomas G. Robinson s/ Jose A. Rotger By: ______________________________________________ Jose A. Rotger s/ Eric K. Runge By: _____________________________________________ Eric K. Runge s/ Michael F. Ryan By: _____________________________________________ Michael F. Ryan s/ Terry L. Schwennesen By: _____________________________________________ Terry L. Schwennesen s/ Richard P. Sergel By: _____________________________________________ Richard P. Sergel s/ Robert King Wulff By: _____________________________________________ Robert King Wulff Date: January 29, 1998 EX-99 2 EXHIBIT INDEX Exhibit No. Description Page - ----------- ----------- ---- A Names, positions, corporate affiliations Filed and business addresses of individuals who herewith may act during 1998, 1999, and 2000 in matters included within the exemption provided by paragraph (b) of Rule 71 B Compensation received during the current Filed year and estimated to be received over the herewith next two calendar years and total amount of routine expenses charged to client in 1997 EX-99 3 EXHIBIT A EXHIBIT A Names, positions, corporate affiliations and business addresses of individuals who may act during 1998, 1999, and 2000 in matters included within the exemption provided by paragraph (b) of Rule 71: New England Power Service Company Patricia C. Behlke Director, Internal Audit (6/98) Edward Capomacchio Assistant Controller (6/98) John G. Cochrane Vice President and Director of Corporate Finance Treasurer of New England Electric System (3/98) Dan C. Delurey Vice President-External Relations Responsible for Government Affairs and Corporate Communications Peter G. Flynn Vice President and Director of Rates Paige Graening Associate Counsel Gregory A. Hale Senior Counsel Alfred D. Houston Executive Vice President and Chief Financial Officer Chairman (4/98) New England Electric System Officer and director of other subsidiaries Michael E. Jesanis Vice President and Treasurer Senior Vice President and Chief Financial Officer (3/98) New England Electric System Officer of other subsidiaries Cleveland Kapala Project Director, Hydro Relicensing New England Power Company 4 Park Street Concord, NH 03301 Jennifer L. Kenney Manager of Finance Cheryl A. LaFleur Vice President, General Counsel, and Secretary Senior Vice President (4/98) New England Electric System Officer and director of other subsidiaries Howard W. McDowell Controller Officer of other subsidiaries Kirk L. Ramsauer Associate General Counsel Thomas G. Robinson Deputy General Counsel Jose A. Rotger Principal Rate Analyst Eric K. Runge Senior Attorney Michael F. Ryan Vice President and Director of Public Affairs The Narragansett Electric Company 280 Melrose Street Providence, RI 02901 Terry L. Schwennesen Manager of Rates Richard P. Sergel Senior Vice President President and Chief Executive Officer (2/98) New England Electric System Officer and director of other subsidiaries Robert King Wulff Corporation Counsel Unless otherwise noted, the business address of the above listed persons is: 25 Research Drive Westborough, MA 01582 The duties of each of the above-listed individuals may require, among other things, such appearances as may be necessary before the Federal Energy Regulatory Commission, the Securities and Exchange Commission, and, possibly on rare occasions, Congress, or the staff of the Commissions or Congress, to present or discuss matters affecting the New England Electric System companies. The time devoted to such activities represents only a small fraction of the time devoted to the duties of their above- listed positions. EX-99 4 EXHIBIT B EXHIBIT B
Total Compensation Name of Recipient Received in 1997(A) Estimated Compensation (B) - ----------------- ------------------- ------------------------------ 1998 1999 2000 ---- ---- ---- P. A. Behlke $84,328 $84,330 $84,330 $84,330 E. Capomacchio $146,658 $102,680 $102,680 $102,680 J. G. Cochrane $203,418 $121,610 $121,610 $121,610 D. C. Delurey $253,015 $133,750 $133,750 $133,750 P. G. Flynn $225,713 $138,870 $138,870 $138,870 P. Graening $79,868 $79,870 $79,870 $79,870 G. A. Hale $169,118 $115,790 $115,790 $115,790 A. D. Houston $584,208 $450,000 $450,000 $450,000 M. E. Jesanis $271,458 $167,865 $167,865 $167,865 C. Kapala $108,291 $89,810 $89,810 $89,810 J. L. Kenney $90,358 $90,360 $90,360 $90,360 C. A. LaFleur $296,799 $180,085 $180,085 $180,085 H. W. McDowell $234,936 $145,980 $145,980 $145,980 K. L. Ramsauer $210,540 $128,560 $128,560 $128,560 T. G. Robinson $277,138 $169,890 $169,890 $169,890 J. A. Rotger $73,689 $73,690 $73,690 $73,690 E. K. Runge $78,564 $78,570 $78,570 $78,570 M. F. Ryan $130,228 $107,750 $107,750 $107,750 T. L. Schwennesen $116,865 $95,240 $95,240 $95,240 R. P. Sergel $402,017 $450,000 $450,000 $450,000 R. K. Wulff $168,653 $109,462 * * *Retirement expected. (A) Does not include incentive compensation for 1997, which amount is paid in 1998. Includes bonuses paid to recipient in calendar year 1997 and contributions made to 401(K) plan and excludes health insurance amounts and dependent care spending and health care spending allowances paid by employee and amounts reported to the IRS as taxable compensation re: life insurance and other fringe benefits. (B) Does not include an estimate of incentive compensation.
Total Amount of Routine Expenses Name Charged to Client in 1997 ---- -------------------------------- P. A. Behlke $5,816 E. Capomacchio $3,154 J. G. Cochrane $16,722 D. C. Delurey $21,391 P. G. Flynn $12,516 P. Graening $4,496 G. A. Hale $15,893 A. D. Houston $12,832 M. E. Jesanis $21,994 C. Kapala $7,853 J. L. Kenney $8,186 C. A. LaFleur $6,569 H. W. McDowell $7,277 K. L. Ramsauer $5,899 T. G. Robinson $14,960 J. A. Rotger $877 E. K. Runge $366 M. F. Ryan $13,420 T. L. Schwennesen $0 R. P. Sergel $9,685 R. K. Wulff $592 -----END PRIVACY-ENHANCED MESSAGE-----