-----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, R9n88WmyVI6JfPsOrS75NAWeYTdhU/q6TefqJ4xPn1NIx/cjWlHwQlsM3mB7CYsn 2R8KIl1HBfazHQO8UJwoFQ== 0000072741-97-000028.txt : 19970225 0000072741-97-000028.hdr.sgml : 19970225 ACCESSION NUMBER: 0000072741-97-000028 CONFORMED SUBMISSION TYPE: 35-CERT PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970224 SROS: NYSE FILER: COMPANY DATA: COMPANY CONFORMED NAME: NORTHEAST UTILITIES SYSTEM CENTRAL INDEX KEY: 0000072741 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 042147929 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 35-CERT SEC ACT: 1935 Act SEC FILE NUMBER: 070-07111 FILM NUMBER: 97542067 BUSINESS ADDRESS: STREET 1: 174 BRUSH HILL AVE CITY: WEST SPRINGFIELD STATE: MA ZIP: 01090-0010 BUSINESS PHONE: 2036655000 MAIL ADDRESS: STREET 1: 107 SELDON ST CITY: BERLIN STATE: CT ZIP: 06037-1616 35-CERT 1 CERTIFICATES OF PARTIAL CONSUMMATIONS UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION In the Matter of Northeast Utilities Quarterly The Connecticut Light and Power Company Certificate as Western Massachusetts Electric Company to Partial Holyoke Water Power Company Consummation Northeast Nuclear Energy Company of Northeast Utilities Service Company Transaction Rocky River Realty Company Berlin, Connecticut File No. 70-7111 (Public Utility Holding Company Act of 1935) Pursuant to the Public Utility Holding Company Act of 1935 and Rule 24(a) thereunder, Northeast Utilities and its system companies (the "Companies") hereby certify that the Companies issued and sold short-term debt, entered into system money pool transactions, and made capital contributions, all in accordance with the terms and conditions of, and for the purposes represented by, the Application/Declaration filed by the Company in this proceeding and the Securities and Exchange Commission Order dated December 27, 1990 with respect thereto. The following attachments contain the required information regarding the issuance and sale of short-term debt, system money pool transactions, and capital contributions for the fourth quarter of 1997: ATTACHMENT 1 NORTHEAST UTILITIES SUMMARY SHEET NORTHEAST UTILITIES BANK BORROWINGS 2 THE CONNECTICUT LIGHT AND POWER COMPANY SUMMARY SHEET THE CONNECTICUT LIGHT AND POWER COMPANY COMMERCIAL PAPER TRANSACTIONS LETTER FROM SHEARSON LEHMAN COMMERCIAL PAPER, INC. THE CONNECTICUT LIGHT AND POWER COMPANY BANK BORROWINGS 3 WESTERN MASSACHUSETTS ELECTRIC COMPANY SUMMARY SHEET WESTERN MASSACHUSETTS ELECTRIC COMPANY COMMERCIAL PAPER TRANSACTIONS LETTER FROM SHEARSON LEHMAN COMMERCIAL PAPER, INC. WESTERN MASSACHUSETTS ELECTRIC COMPANY BANK BORROWINGS 4 HOLYOKE WATER POWER COMPANY SUMMARY SHEET 5 NORTHEAST NUCLEAR ENERGY COMPANY SUMMARY SHEET 6 NORTHEAST UTILITIES SERVICE COMPANY SUMMARY SHEET NORTHEAST UTILITIES SERVICE COMPANY BANK BORROWINGS 7 ROCKY RIVER REALTY COMPANY SUMMARY SHEET 8 NORTH ATLANTIC ENERGY COMPANY SUMMARY SHEET 9 PUBLIC SERVICE COMPANY OF NEW HAMPSHIRE 10 NIANTIC BAY FUEL TRUST 11 NORTHEAST UTILITIES MONEY POOL 12 CAPITAL CONTRIBUTIONS Dated as of December 31, 1996 Northeast Utilities Service Company /s/ Robert C. Aronson Assistant Treasurer ATTACHMENT 1 COMPANY: Northeast Utilities PERIOD: October 1, 1996 through December 31, 1996 MAXIMUM COMMERCIAL PAPER OUTSTANDING AT ANY ONE TIME: $-0- MAXIMUM COMBINED AMOUNT OF SHORT-TERM NOTES TO BANKS AND COMMERCIAL PAPER OUTSTANDING AT ANY ONE TIME: $41,250,000 THERE WAS $0 OF COMMERCIAL PAPER AND $0 SHORT-TERM NOTES TO BANKS OUTSTANDING ON December 31, 1996. MONEY POOL BALANCE ON December 31, 1996: Invested ($5,475,000) AMOUNT NAME OF BANK $ DATE SOLD *INDUSTRIAL BANK OF JAPAN 15,000,000 10/04/96 HARTFORD NATIONAL BANK & TRUST 5,000,000 10/16/96 *HARTFORD NATIONAL BANK & TRUST 5,000,000 10/23/96 STATE STREET BANK AND TRUST 10,000,000 10/24/96 HARTFORD NATIONAL BANK & TRUST 15,000,000 10/25/96 INDUSTRIAL BANK OF JAPAN 15,000,000 10/31/96 *INDUSTRIAL BANK OF JAPAN 15,000,000 11/14/96 *STATE STREET BANK & TRUST 10,000,000 11/25/96 *INDUSTRIAL BANK OF JAPAN 15,000,000 11/27/96 INDUSTRIAL BANK OF JAPAN 15,000,000 12/02/96 *INDUSTRIAL BANK OF JAPAN 15,000,000 12/23/96 *INDUSTRIAL BANK OF JAPAN 15,000,000 12/27/96 CITIBANK 11,250,000 12/27/96 *INDUSTRIAL BANK OF JAPAN 15,000,000 12/30/96 CITIBANK 27,500,000 12/31/96 *REPRESENTING REFINANCING OF MATURING LOANS NORTHEAST UTILITIES BY/s/Robert C. Aronson ITS ASSISTANT TREASURER DATED December 31, 1996 ATTACHMENT 2 COMPANY: The Connecticut Light and Power Company PERIOD: October 1, 1996 through December 31, 1996 MAXIMUM COMMERCIAL PAPER OUTSTANDING AT ANY ONE TIME: $0 MAXIMUM COMBINED AMOUNT OF SHORT-TERM NOTES TO BANKS AND COMMERCIAL PAPER OUTSTANDING AT ANY ONE TIME: $0 THERE WAS $0 OF COMMERCIAL PAPER AND $0 SHORT-TERM NOTES TO BANKS OUTSTANDING ON December 31, 1996. MONEY POOL BALANCE ON December 31, 1996: Invested ($109,050,000) AMOUNT NAME OF BANK $ DATE SOLD NONE *REPRESENTING REFINANCING OF MATURING LOANS DATED December 31, 1996 THE CONNECTICUT LIGHT AND POWER COMPANY BY/s/Robert C. Aronson ITS ASSISTANT TREASURER January 24, 1997 Ms. Barbara Nieman Northeast Utilities P.O. Box 270 Hartford, Connecticut 06141 Re: The Connecticut Light and Power Company Dear Ms. Nieman: This letter is submitted to you in compliance with certain requirements concerned with the commercial paper program of Connecticut Light and Power company as specified by the Securities and Exchange Commission. In connection with the private distribution of commercial paper of Connecticut Light and Power Company, from September 30, 1996 to December 31, 1996, all sales and resales have been made only to those customers of Lehman Commercial Paper Inc. included on the Confidential List submitted in the original program and in accordance with the provisions of that program. Sincerely, /s/Gordon Lawrence Lehman Brothers ATTACHMENT 3 COMPANY: Western Massachusetts Electric Company PERIOD: October 1, 1996 through December 31, 1996 MAXIMUM COMMERCIAL PAPER OUTSTANDING AT ANY ONE TIME: $0 MAXIMUM COMBINED AMOUNT OF SHORT-TERM NOTES TO BANKS AND COMMERCIAL PAPER OUTSTANDING AT ANY ONE TIME: $0 THERE WAS $0 OF COMMERCIAL PAPER AND $0 SHORT-TERM NOTES TO BANKS OUTSTANDING ON December 31, 1996 MONEY POOL BALANCE ON December 31, 1996: Borrowed $47,400,000 AMOUNT NAME OF BANK $ DATE SOLD NONE *REPRESENTS REFINANCING OF MATURITY LOANS DATED December 31, 1996 WESTERN MASSACHUSETTS ELECTRIC COMPANY BY /s/Robert C. Aronson ITS ASSISTANT TREASURER January 24, 1997 Ms. Barbara Nieman Northeast Utilities P.O. Box 270 Hartford, Connecticut 06141 Re: Western Massachusetts Electric Company Dear Ms. Nieman: This letter is submitted to you in compliance with certain requirements concerned with the commercial paper program of Western Massachusetts Electric Company as specified by the Securities and Exchange Commission. In connection with the private distribution of commercial paper of Western Massachusetts Electric Company, from September 30, 1996 to December 31, 1996, all sales and resales have been made only to those customers of Lehman Commercial Paper Inc. included on the Confidential List submitted in the original program and in accordance with the provisions of that program. Sincerely, /s/Gordon Lawrence Lehman Brothers ATTACHMENT 4 COMPANY: Holyoke Water Power Company PERIOD: October 1, 1996 through December 31, 1996 MAXIMUM COMMERCIAL PAPER OUTSTANDING AT ANY ONE TIME: NONE MAXIMUM COMBINED AMOUNT OF SHORT-TERM NOTES TO BANKS AND COMMERCIAL PAPER OUTSTANDING AT ANY ONE TIME: $-0- THERE WAS NO COMMERCIAL PAPER AND $ 0 SHORT-TERM NOTES TO BANKS OUTSTANDING ON December 31, 1996. MONEY POOL BALANCE ON December 31, 1996: Invested ($8,500,000) ATTACHMENT 5 COMPANY: Northeast Nuclear Energy Company PERIOD: October 1, 1996 through December 31, 1996 MAXIMUM COMMERCIAL PAPER OUTSTANDING AT ANY ONE TIME: NONE MAXIMUM COMBINED AMOUNT OF SHORT-TERM NOTES TO BANKS AND COMMERCIAL PAPER OUTSTANDING AT ANY ONE TIME: $-0- THERE WAS NO COMMERCIAL PAPER AND $ 0 SHORT-TERM NOTES TO BANKS OUTSTANDING ON December 31, 1996. MONEY POOL BALANCE ON December 31, 1996: Invested ($75,000,000) ATTACHMENT 6 COMPANY: Northeast Utilities Service Company PERIOD: October 1, 1996 through December 31, 1996 MAXIMUM COMMERCIAL PAPER OUTSTANDING AT ANY ONE TIME: NONE MAXIMUM COMBINED AMOUNT OF SHORT-TERM NOTES TO BANKS AND COMMERCIAL PAPER OUTSTANDING AT ANY ONE TIME: $-0- THERE WAS NO COMMERCIAL PAPER AND $ 0 SHORT-TERM NOTES TO BANKS OUTSTANDING ON December 31, 1996. MONEY POOL BALANCE ON December 31, 1996: $0 ATTACHMENT 7 COMPANY: Rocky River Realty Company PERIOD: October 1, 1996 through December 31, 1996 MAXIMUM COMMERCIAL PAPER OUTSTANDING AT ANY ONE TIME: NONE MAXIMUM COMBINED AMOUNT OF SHORT-TERM NOTES TO BANKS AND COMMERCIAL PAPER OUTSTANDING AT ANY ONE TIME: $-0- THERE WAS NO COMMERCIAL PAPER AND $ 0 SHORT-TERM NOTES TO BANKS OUTSTANDING ON December 31, 1996. MONEY POOL BALANCE ON December 31, 1996: Borrowed $16,900,000 ATTACHMENT 8 COMPANY: North Atlantic Energy Company PERIOD: October 1, 1996 through December 31, 1996 MAXIMUM COMMERCIAL PAPER OUTSTANDING AT ANY ONE TIME: NONE MAXIMUM COMBINED AMOUNT OF SHORT-TERM NOTES TO BANKS AND COMMERCIAL PAPER OUTSTANDING AT ANY ONE TIME: $-0- THERE WAS NO COMMERCIAL PAPER AND $ 0 SHORT-TERM NOTES TO BANKS OUTSTANDING ON December 31, 1996. MONEY POOL BALANCE ON December 31, 1996: Invested: ($2,500,000) ATTACHMENT 9 COMPANY: Public Service Company of New Hampshire PERIOD: October 1, 1996 through December 31, 1996 MAXIMUM COMMERCIAL PAPER OUTSTANDING AT ANY ONE TIME: NONE MAXIMUM COMBINED AMOUNT OF SHORT-TERM NOTES TO BANKS AND COMMERCIAL PAPER OUTSTANDING AT ANY ONE TIME: $0 THERE WAS NO COMMERCIAL PAPER AND $ 0 SHORT-TERM NOTES TO BANKS OUTSTANDING ON December 31, 1996. MONEY POOL BALANCE ON December 31, 1996: Invested ($18,250,000) ATTACHMENT 10 COMPANY: NIANTIC BAY FUEL TRUST PERIOD: October 1, 1996 through December 31, 1996 MAXIMUM COMMERCIAL PAPER OUTSTANDING AT ANY ONE TIME: NONE MAXIMUM COMBINED AMOUNT OF SHORT-TERM NOTES TO BANKS AND COMMERCIAL PAPER OUTSTANDING AT ANY ONE TIME: $106,946,000 THERE WAS NO COMMERCIAL PAPER AND $88,000,000 SHORT-TERM NOTES TO BANKS OUTSTANDING ON December 31, 1996. NAME OF BANK AMOUNT DATE SOLD $ CONTINENTAL ILLINOIS NATIONAL BANK 54,000,000 10/18/96 CONTINENTAL ILLINOIS NATIONAL BANK 8,000,000 10/25/96 CONTINENTAL ILLINOIS NATIONAL BANK 5,000,000 10/31/96 CONTINENTAL ILLINOIS NATIONAL BANK 8,000,000 11/08/96 *CONTINENTAL ILLINOIS NATIONAL BANK 54,000,000 11/18/96 CONTINENTAL ILLINOIS NATIONAL BANK 9,000,000 11/22/96 CONTINENTAL ILLINOIS NATIONAL BANK 8,000,000 11/25/96 CONTINENTAL ILLINOIS NATIONAL BANK 9,000,000 12/03/96 *CONTINENTAL ILLINOIS NATIONAL BANK 8,000,000 12/09/96 *CONTINENTAL ILLINOIS NATIONAL BANK 54,000,000 12/18/96 *CONTINENTAL ILLINOIS NATIONAL BANK 9,000,000 12/23/96 FIRST NATIONAL BANK OF CHICAGO 8,000,000 12/27/96 *representing refinancing of maturing loans dated December 31, 1996 NIANTIC BAY FUEL TRUST BY /S/ Robert C. Aronson ITS ASSISTANT TREASURER ATTACHMENT 11 NORTHEAST UTILITIES SYSTEM MONEY POOL $000s MONTH: OCTOBER 1996 NUMBER OF DAYS: 31
CL&P WMECO HWP NNECO RRR QUINN PSNH NAEC HEC NU TCI AGENT CONS. BAL> 158050 0 7000 47000 -16900 -4900 29000 48750 -725 725 1 Begin Bal 137950 -8000 7000 57000 -17150 -4900 2850 28750 -725 725 -203500 0 Contributed 0 0 0 0 0 0 3000 6500 0 0 30000 39500 Borrowed 5000 0 0 2500 0 0 0 0 0 0 32000 39500 1 End Bal 132950 -8000 7000 54500 -17150 -4900 5850 35250 -725 725 -205500 Contributed 5000 1000 0 0 0 0 0 250 0 0 42000 48250 Borrowed 0 0 250 0 0 0 12000 0 0 0 36000 48250 2 End Bal 137950 -7000 6750 54500 -17150 -4900 -6150 35500 -725 725 -199500 Contributed 9000 1000 0 0 0 0 1000 0 0 0 93000 104000 Borrowed 0 0 0 2000 0 0 0 0 0 0 102000 104000 3 End Bal 146950 -6000 6750 52500 -17150 -4900 -5150 35500 -725 725 -208500 Contributed 5000 0 0 0 0 0 2000 0 0 0 15000 22000 Borrowed 0 0 0 2000 0 0 0 0 0 0 20000 22000 4 End Bal 151950 -6000 6750 50500 -17150 -4900 -3150 35500 -725 725 -213500 Contributed 0 0 0 0 0 0 0 0 0 0 0 0 Borrowed 0 0 0 0 0 0 0 0 0 0 0 0 5 End Bal 151950 -6000 6750 50500 -17150 -4900 -3150 35500 -725 725 -213500 Contributed 0 0 0 0 0 0 0 0 0 0 0 0 Borrowed 0 0 0 0 0 0 0 0 0 0 0 0 6 End Bal 151950 -6000 6750 50500 -17150 -4900 -3150 35500 -725 725 -213500 Contributed 3000 1000 0 0 0 0 3150 0 0 0 37000 44150 Borrowed 0 0 0 150 0 0 0 0 0 0 44000 44150 7 End Bal 154950 -5000 6750 50350 -17150 -4900 0 35500 -725 725 -220500 Contributed 12000 3000 0 0 0 0 3000 0 0 0 44000 62000 Borrowed 0 0 0 0 0 0 0 0 0 0 62000 62000 8 End Bal 166950 -2000 6750 50350 -17150 -4900 3000 35500 -725 725 -238500 Contributed 10000 1000 0 0 0 0 2000 0 0 0 25000 38000 Borrowed 0 0 0 0 0 0 0 0 0 0 38000 38000 9 End Bal 176950 -1000 6750 50350 -17150 -4900 5000 35500 -725 725 -251500 Contributed 6600 1000 0 0 0 0 5000 0 0 0 63000 75600 Borrowed 0 0 250 1350 0 0 0 0 0 0 74000 75600 10 End Bal 183550 0 6500 49000 -17150 -4900 10000 35500 -725 725 -262500 Contributed 0 0 0 0 0 0 0 0 0 0 81500 81500 Borrowed 10000 1000 0 4000 0 0 2000 0 0 0 64500 81500 11 End Bal 173550 -1000 6500 45000 -17150 -4900 8000 35500 -725 725 -245500 Contributed 0 0 0 0 0 0 0 0 0 0 0 0 Borrowed 0 0 0 0 0 0 0 0 0 0 0 0 12 End Bal 173550 -1000 6500 45000 -17150 -4900 8000 35500 -725 725 -245500 Contributed 0 0 0 0 0 0 0 0 0 0 0 0 Borrowed 0 0 0 0 0 0 0 0 0 0 0 0 13 End Bal 173550 -1000 6500 45000 -17150 -4900 8000 35500 -725 725 -245500 Contributed 0 0 0 0 0 0 0 0 0 0 0 0 Borrowed 0 0 0 0 0 0 0 0 0 0 0 0 14 End Bal 173550 -1000 6500 45000 -17150 -4900 8000 35500 -725 725 -245500 Contributed 5250 2500 0 0 250 0 3000 0 0 0 60000 71000 Borrowed 0 0 0 0 0 0 0 0 0 0 71000 71000 15 End Bal 178800 1500 6500 45000 -16900 -4900 11000 35500 -725 725 -256500 Contributed 15000 1500 0 0 0 0 3000 0 0 0 116000 135500 Borrowed 0 0 0 1000 0 0 0 0 0 0 134500 135500 16 End Bal 193800 3000 6500 44000 -16900 -4900 14000 35500 -725 725 -275000 Contributed 37500 6500 3000 33000 0 0 8000 0 0 0 55000 143000 Borrowed 0 0 0 0 0 0 0 0 0 0 143000 143000 17 End Bal 231300 9500 9500 77000 -16900 -4900 22000 35500 -725 725 -363000 Contributed 0 0 0 0 0 0 0 0 0 0 133000 133000 Borrowed 45000 10000 3000 15000 0 0 10000 0 0 0 50000 133000 18 End Bal 186300 -500 6500 62000 -16900 -4900 12000 35500 -725 725 -280000 Contributed 0 0 0 0 0 0 0 0 0 0 0 0 Borrowed 0 0 0 0 0 0 0 0 0 0 0 0 19 End Bal 186300 -500 6500 62000 -16900 -4900 12000 35500 -725 725 -280000 Contributed 0 0 0 0 0 0 0 0 0 0 0 0 Borrowed 0 0 0 0 0 0 0 0 0 0 0 0 20 End Bal 186300 -500 6500 62000 -16900 -4900 12000 35500 -725 725 -280000 Contributed 0 0 2500 0 0 0 19000 0 0 0 119000 140500 Borrowed 23000 4000 0 2500 0 0 0 0 0 0 111000 140500 21 End Bal 163300 -4500 9000 59500 -16900 -4900 31000 35500 -725 725 -272000 Contributed 13000 500 0 0 0 0 5000 0 0 0 86000 104500 Borrowed 0 0 0 4500 0 0 0 0 0 0 100000 104500 22 End Bal 176300 -4000 9000 55000 -16900 -4900 36000 35500 -725 725 -286000 Contributed 5000 2000 0 0 0 0 0 0 0 0 125000 132000 Borrowed 0 0 500 3500 0 0 0 0 0 0 128000 132000 23 End Bal 181300 -2000 8500 51500 -16900 -4900 36000 35500 -725 725 -289000 Contributed 8000 0 0 0 0 0 1000 0 0 0 55000 64000 Borrowed 0 0 0 2000 0 0 0 0 0 0 62000 64000 24 End Bal 189300 -2000 8500 49500 -16900 -4900 37000 35500 -725 725 -296000 Contributed 0 0 0 0 0 0 0 0 0 0 86500 86500 Borrowed 18500 2000 500 6000 0 0 3000 0 0 0 56500 86500 25 End Bal 170800 -4000 8000 43500 -16900 -4900 34000 35500 -725 725 -266000 Contributed 0 0 0 0 0 0 0 0 0 0 0 0 Borrowed 0 0 0 0 0 0 0 0 0 0 0 0 26 End Bal 170800 -4000 8000 43500 -16900 -4900 34000 35500 -725 725 -266000 Contributed 0 0 0 0 0 0 0 0 0 0 0 0 Borrowed 0 0 0 0 0 0 0 0 0 0 0 0 27 End Bal 170800 -4000 8000 43500 -16900 -4900 34000 35500 -725 725 -266000 Contributed 8750 2000 0 0 0 0 4000 0 0 0 50000 64750 Borrowed 0 0 0 2500 0 0 0 750 0 0 61500 64750 28 End Bal 179550 -2000 8000 41000 -16900 -4900 38000 34750 -725 725 -277500 Contributed 7500 1000 0 0 0 0 3000 0 0 0 85500 97000 Borrowed 0 0 0 3000 0 0 0 0 0 0 94000 97000 29 End Bal 187050 -1000 8000 38000 -16900 -4900 41000 34750 -725 725 -286000 Contributed 0 2000 0 0 0 0 0 14000 0 0 42000 58000 Borrowed 4000 0 0 0 0 0 0 0 0 0 54000 58000 30 End Bal 183050 1000 8000 38000 -16900 -4900 41000 48750 -725 725 -298000 Contributed 0 0 0 9000 0 0 0 0 0 0 60000 69000 Borrowed 25000 1000 1000 0 0 0 12000 0 0 0 30000 69000 31 End Bal 158050 0 7000 47000 -16900 -4900 29000 48750 -725 725 -268000 NU MONEY BALANCES 0 0 0 0 0 0 0 0 0 0 0 NORTHEAST UTILITIES SYSTEM MONEY POOL $000s MONTH: NOVEMBER 1996 NUMBER OF DAYS: 30 CL&P WMECO HWP NNECO RRR QUINN PSNH NAEC HEC NU TCI AGENT CONS. BAL> 134050 -4000 7000 52500 -16900 -4900 20250 31000 -725 725 1 Begin Bal 158050 0 7000 47000 -16900 -4900 29000 48750 -725 725 -268000 0 Contributed 0 0 0 0 0 0 0 0 0 0 111500 111500 Borrowed 19000 2500 0 7500 0 0 13000 6500 0 0 63000 111500 1 End Bal 139050 -2500 7000 39500 -16900 -4900 16000 42250 -725 725 -219500 Contributed 0 0 0 0 0 0 0 0 0 0 0 0 Borrowed 0 0 0 0 0 0 0 0 0 0 0 0 2 End Bal 139050 -2500 7000 39500 -16900 -4900 16000 42250 -725 725 -219500 Contributed 0 0 0 0 0 0 0 0 0 0 0 0 Borrowed 0 0 0 0 0 0 0 0 0 0 0 0 3 End Bal 139050 -2500 7000 39500 -16900 -4900 16000 42250 -725 725 -219500 Contributed 0 0 0 0 0 0 1500 0 0 0 84500 86000 Borrowed 1000 4500 0 2000 0 0 0 0 0 0 78500 86000 4 End Bal 138050 -7000 7000 37500 -16900 -4900 17500 42250 -725 725 -213500 Contributed 8000 2000 0 0 0 0 0 250 0 0 70000 80250 Borrowed 0 0 0 0 0 0 750 0 0 0 79500 80250 5 End Bal 146050 -5000 7000 37500 -16900 -4900 16750 42500 -725 725 -223000 Contributed 6000 1500 0 2000 0 0 2000 0 0 0 52500 64000 Borrowed 0 0 0 0 0 0 0 0 0 0 64000 64000 6 End Bal 152050 -3500 7000 39500 -16900 -4900 18750 42500 -725 725 -234500 Contributed 6000 1500 0 0 0 0 500 0 0 0 112500 120500 Borrowed 0 0 0 1500 0 0 0 0 0 0 119000 120500 7 End Bal 158050 -2000 7000 38000 -16900 -4900 19250 42500 -725 725 -241000 Contributed 0 0 0 0 0 0 3000 0 0 0 90000 93000 Borrowed 0 1000 500 7000 0 0 0 0 0 0 84500 93000 8 End Bal 158050 -3000 6500 31000 -16900 -4900 22250 42500 -725 725 -235500 Contributed 0 0 0 0 0 0 0 0 0 0 0 0 Borrowed 0 0 0 0 0 0 0 0 0 0 0 0 9 End Bal 158050 -3000 6500 31000 -16900 -4900 22250 42500 -725 725 -235500 Contributed 0 0 0 0 0 0 0 0 0 0 0 0 Borrowed 0 0 0 0 0 0 0 0 0 0 0 0 10 End Bal 158050 -3000 6500 31000 -16900 -4900 22250 42500 -725 725 -235500 Contributed 0 0 0 0 0 0 0 0 0 0 0 0 Borrowed 0 0 0 0 0 0 0 0 0 0 0 0 11 End Bal 158050 -3000 6500 31000 -16900 -4900 22250 42500 -725 725 -235500 Contributed 11000 2000 0 1500 0 0 1500 0 0 0 99500 115500 Borrowed 0 0 0 0 0 0 0 0 0 0 115500 115500 12 End Bal 169050 -1000 6500 32500 -16900 -4900 23750 42500 -725 725 -251500 Contributed 8500 3500 0 0 0 0 3000 0 0 0 104500 119500 Borrowed 0 0 0 2500 0 0 0 0 0 0 117000 119500 13 End Bal 177550 2500 6500 30000 -16900 -4900 26750 42500 -725 725 -264000 Contributed 5000 1000 0 0 0 0 3000 0 0 0 50000 59000 Borrowed 0 0 500 3000 500 0 0 0 0 0 55000 59000 14 End Bal 182550 3500 6000 27000 -17400 -4900 29750 42500 -725 725 -269000 Contributed 3500 1000 0 0 0 0 1000 0 0 0 84500 90000 Borrowed 0 0 0 2000 0 0 0 0 0 0 88000 90000 15 End Bal 186050 4500 6000 25000 -17400 -4900 30750 42500 -725 725 -272500 Contributed 0 0 0 0 0 0 0 0 0 0 0 0 Borrowed 0 0 0 0 0 0 0 0 0 0 0 0 16 End Bal 186050 4500 6000 25000 -17400 -4900 30750 42500 -725 725 -272500 Contributed 0 0 0 0 0 0 0 0 0 0 0 0 Borrowed 0 0 0 0 0 0 0 0 0 0 0 0 17 End Bal 186050 4500 6000 25000 -17400 -4900 30750 42500 -725 725 -272500 Contributed 7000 0 0 0 0 0 0 0 0 0 113000 120000 Borrowed 0 0 0 1000 0 0 6000 0 0 0 113000 120000 18 End Bal 193050 4500 6000 24000 -17400 -4900 24750 42500 -725 725 -272500 Contributed 10000 2500 0 0 0 0 4000 0 0 0 101000 117500 Borrowed 0 0 500 1000 0 0 0 0 0 0 116000 117500 19 End Bal 203050 7000 5500 23000 -17400 -4900 28750 42500 -725 725 -287500 Contributed 0 2000 4500 9500 0 0 16000 0 0 0 16500 48500 Borrowed 6000 0 0 0 0 0 0 0 0 0 42500 48500 20 End Bal 197050 9000 10000 32500 -17400 -4900 44750 42500 -725 725 -313500 Contributed 0 1000 0 28000 0 0 2000 0 0 0 79500 110500 Borrowed 28000 0 0 0 0 0 0 0 0 0 82500 110500 21 End Bal 169050 10000 10000 60500 -17400 -4900 46750 42500 -725 725 -316500 Contributed 3000 0 0 0 0 0 5000 0 0 0 112500 120500 Borrowed 13000 11000 2500 8000 0 0 0 0 0 0 86000 120500 22 End Bal 159050 -1000 7500 52500 -17400 -4900 51750 42500 -725 725 -290000 Contributed 0 0 0 0 0 0 0 0 0 0 0 0 Borrowed 0 0 0 0 0 0 0 0 0 0 0 0 23 End Bal 159050 -1000 7500 52500 -17400 -4900 51750 42500 -725 725 -290000 Contributed 0 0 0 0 0 0 0 0 0 0 0 0 Borrowed 0 0 0 0 0 0 0 0 0 0 0 0 24 End Bal 159050 -1000 7500 52500 -17400 -4900 51750 42500 -725 725 -290000 Contributed 0 0 0 0 0 0 0 0 0 0 85000 85000 Borrowed 25000 3000 0 5000 0 0 11000 0 0 0 41000 85000 25 End Bal 134050 -4000 7500 47500 -17400 -4900 40750 42500 -725 725 -246000 Contributed 0 0 0 0 0 0 0 14000 0 0 60000 74000 Borrowed 0 0 500 1000 0 0 0 0 0 0 72500 74000 26 End Bal 134050 -4000 7000 46500 -17400 -4900 40750 56500 -725 725 -258500 Contributed 0 0 0 0 500 0 0 0 0 0 72500 73000 Borrowed 0 0 0 0 0 0 14500 25500 0 0 33000 73000 27 End Bal 134050 -4000 7000 46500 -16900 -4900 26250 31000 -725 725 -219000 Contributed 0 0 0 0 0 0 0 0 0 0 0 0 Borrowed 0 0 0 0 0 0 0 0 0 0 0 0 28 End Bal 134050 -4000 7000 46500 -16900 -4900 26250 31000 -725 725 -219000 Contributed 0 0 0 6000 0 0 0 0 0 0 33000 39000 Borrowed 0 0 0 0 0 0 6000 0 0 0 33000 39000 29 End Bal 134050 -4000 7000 52500 -16900 -4900 20250 31000 -725 725 -219000 Contributed 0 0 0 0 0 0 0 0 0 0 0 0 Borrowed 0 0 0 0 0 0 0 0 0 0 0 0 30 End Bal 134050 -4000 7000 52500 -16900 -4900 20250 31000 -725 725 -219000 NU MONEY BALANCES 0 0 0 0 0 0 0 0 0 0 0 NORTHEAST UTILITIES SYSTEM MONEY POOL $000s MONTH: DECEMBER 1996 NUMBER OF DAYS: 31 CL&P WMECO HWP NNECO RRR QUINN PSNH NAEC HEC NU TCI AGENT CONS. BAL> 109050 -47400 8500 75000 -16900 -5000 18250 -2500 -475 5475 1 Begin Bal 134050 -4000 7000 52500 -16900 -4900 20250 31000 -725 725 -219000 0 Contributed 0 0 0 0 0 0 0 0 0 0 0 0 Borrowed 0 0 0 0 0 0 0 0 0 0 0 0 1 End Bal 134050 -4000 7000 52500 -16900 -4900 20250 31000 -725 725 -219000 Contributed 0 0 0 10500 0 0 0 0 0 0 58000 68500 Borrowed 20000 1500 0 0 0 0 2500 18500 0 0 26000 68500 2 End Bal 114050 -5500 7000 63000 -16900 -4900 17750 12500 -725 725 -187000 Contributed 10000 1000 0 500 0 0 3000 500 0 0 31000 46000 Borrowed 0 0 0 0 0 0 0 0 0 0 46000 46000 3 End Bal 124050 -4500 7000 63500 -16900 -4900 20750 13000 -725 725 -202000 Contributed 9000 0 0 0 0 0 0 0 0 0 60000 69000 Borrowed 0 0 0 2000 0 0 0 0 0 0 67000 69000 4 End Bal 133050 -4500 7000 61500 -16900 -4900 20750 13000 -725 725 -209000 Contributed 0 0 0 0 0 0 0 0 0 0 75000 75000 Borrowed 0 0 0 4500 0 0 0 0 0 0 70500 75000 5 End Bal 133050 -4500 7000 57000 -16900 -4900 20750 13000 -725 725 -204500 Contributed 0 0 0 0 500 0 1500 0 0 0 88000 90000 Borrowed 3500 2000 0 4000 0 0 0 4500 0 0 76000 90000 6 End Bal 129550 -6500 7000 53000 -16400 -4900 22250 8500 -725 725 -192500 Contributed 0 0 0 0 0 0 0 0 0 0 0 0 Borrowed 0 0 0 0 0 0 0 0 0 0 0 0 7 End Bal 129550 -6500 7000 53000 -16400 -4900 22250 8500 -725 725 -192500 Contributed 0 0 0 0 0 0 0 0 0 0 0 0 Borrowed 0 0 0 0 0 0 0 0 0 0 0 0 8 End Bal 129550 -6500 7000 53000 -16400 -4900 22250 8500 -725 725 -192500 Contributed 9000 0 0 0 0 0 0 0 0 0 60000 69000 Borrowed 0 1000 0 500 500 0 0 0 0 0 67000 69000 9 End Bal 138550 -7500 7000 52500 -16900 -4900 22250 8500 -725 725 -199500 Contributed 9000 2000 0 0 0 0 6000 0 0 0 72000 89000 Borrowed 0 0 0 1000 0 0 0 0 0 0 88000 89000 10 End Bal 147550 -5500 7000 51500 -16900 -4900 28250 8500 -725 725 -215500 Contributed 7500 0 0 0 0 0 1500 0 0 0 50000 59000 Borrowed 0 0 0 0 0 0 0 3500 0 0 55500 59000 11 End Bal 155050 -5500 7000 51500 -16900 -4900 29750 5000 -725 725 -221000 Contributed 8500 1500 0 0 0 0 2500 0 0 0 50000 62500 Borrowed 0 0 500 1000 0 0 2000 0 0 0 59000 62500 12 End Bal 163550 -4000 6500 50500 -16900 -4900 30250 5000 -725 725 -230000 Contributed 0 0 0 0 0 0 0 0 0 0 86000 86000 Borrowed 6000 0 0 0 0 0 2000 0 0 0 78000 86000 13 End Bal 157550 -4000 6500 50500 -16900 -4900 28250 5000 -725 725 -222000 Contributed 0 0 0 0 0 0 0 0 0 0 0 0 Borrowed 0 0 0 0 0 0 0 0 0 0 0 0 14 End Bal 157550 -4000 6500 50500 -16900 -4900 28250 5000 -725 725 -222000 Contributed 0 0 0 0 0 0 0 0 0 0 0 0 Borrowed 0 0 0 0 0 0 0 0 0 0 0 0 15 End Bal 157550 -4000 6500 50500 -16900 -4900 28250 5000 -725 725 -222000 Contributed 0 1500 0 0 0 0 0 0 0 0 53000 54500 Borrowed 0 0 0 2000 500 0 6000 0 0 0 46000 54500 16 End Bal 157550 -2500 6500 48500 -17400 -4900 22250 5000 -725 725 -215000 Contributed 15500 2000 0 0 0 0 3500 0 0 0 71000 92000 Borrowed 0 0 0 2000 0 0 0 0 0 0 90000 92000 17 End Bal 173050 -500 6500 46500 -17400 -4900 25750 5000 -725 725 -234000 Contributed 0 0 0 0 0 0 0 0 0 0 75000 75000 Borrowed 0 33000 0 4000 0 0 0 0 0 0 38000 75000 18 End Bal 173050 -33500 6500 42500 -17400 -4900 25750 5000 -725 725 -197000 Contributed 0 0 0 0 0 0 0 0 0 0 53000 53000 Borrowed 4000 2500 0 3000 0 0 0 0 0 0 40500 50000 19 End Bal 169050 -36000 6500 39500 -17400 -4900 25750 5000 -725 725 -184500 Contributed 0 0 2500 0 0 0 10500 0 0 0 51500 64500 Borrowed 27000 3000 0 0 0 0 0 0 0 0 37500 67500 20 End Bal 142050 -39000 9000 39500 -17400 -4900 36250 5000 -725 725 -170500 Contributed 0 0 0 0 0 0 0 0 0 0 0 0 Borrowed 0 0 0 0 0 0 0 0 0 0 0 0 21 End Bal 142050 -39000 9000 39500 -17400 -4900 36250 5000 -725 725 -170500 Contributed 0 0 0 0 0 0 0 0 0 0 0 0 Borrowed 0 0 0 0 0 0 0 0 0 0 0 0 22 End Bal 142050 -39000 9000 39500 -17400 -4900 36250 5000 -725 725 -170500 Contributed 0 1500 0 23000 500 0 0 0 0 0 37500 62500 Borrowed 31000 0 0 0 0 0 0 0 0 0 31500 62500 23 End Bal 111050 -37500 9000 62500 -16900 -4900 36250 5000 -725 725 -164500 Contributed 0 0 0 0 0 0 0 0 0 0 31500 31500 Borrowed 11500 10000 0 0 0 0 10000 0 0 0 0 31500 24 End Bal 99550 -47500 9000 62500 -16900 -4900 26250 5000 -725 725 -133000 Contributed 0 0 0 0 0 0 0 0 0 0 0 0 Borrowed 0 0 0 0 0 0 0 0 0 0 0 0 25 End Bal 99550 -47500 9000 62500 -16900 -4900 26250 5000 -725 725 -133000 Contributed 15000 2000 0 0 0 0 4000 0 0 0 25000 46000 Borrowed 0 0 0 1000 0 0 0 0 0 0 45000 46000 26 End Bal 114550 -45500 9000 61500 -16900 -4900 30250 5000 -725 725 -153000 Contributed 0 0 0 0 0 0 2000 13500 0 0 45000 60500 Borrowed 10000 1500 0 14000 0 0 0 0 0 0 35000 60500 27 End Bal 104550 -47000 9000 47500 -16900 -4900 32250 18500 -725 725 -143000 Contributed 0 0 0 0 0 0 0 0 0 0 0 0 Borrowed 0 0 0 0 0 0 0 0 0 0 0 0 28 End Bal 104550 -47000 9000 47500 -16900 -4900 32250 18500 -725 725 -143000 Contributed 0 0 0 0 0 0 0 0 0 0 0 0 Borrowed 0 0 0 0 0 0 0 0 0 0 0 0 29 End Bal 104550 -47000 9000 47500 -16900 -4900 32250 18500 -725 725 -143000 Contributed 4500 2000 0 0 0 0 0 0 0 0 35000 41500 Borrowed 0 0 500 0 0 0 15000 0 0 0 26000 41500 30 End Bal 109050 -45000 8500 47500 -16900 -4900 17250 18500 -725 725 -134000 Contributed 0 0 0 35000 0 0 2500 0 250 5000 39000 81750 Borrowed 0 2400 0 7500 0 100 1500 21000 0 250 49000 81750 31 End Bal 109050 -47400 8500 75000 -16900 -5000 18250 -2500 -475 5475 -144000 NU MONEY BALANCES 0 0 0 0 0 0 0 0 0 0 0
ATTACHMENT 12 CAPITAL CONTRIBUTIONS DURING THE FOURTH QUARTER OF 1996, NORTHEAST UTILITIES MADE THE FOLLOWING CAPITAL CONTRIBUTIONS TO CHARTER OAK ENERGY: (000's) 11/26/96 $ 500,000 UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION In the Matter of Quarterly Certificate as CONNECTICUT YANKEE ATOMIC POWER COMPANY to Partial Consummation of Berlin, Connecticut Transaction File No. 70-7255 File No. 70-7704 (Public Utility Holding Company Act of 1935) Pursuant to the Public Utility Holding Company Act of 1935 and Rule 24(a) thereunder, Connecticut Yankee Atomic Power Company (The "Company") hereby certify that the Company entered into a $90 million Remarketable Eurodollar Credit and Letter of Credit Facility dated August 14, 1990 with the Toronto Dominion Bank and Trust Company as Agent Bank and The Tokai Bank, Limited, as issuing Bank (the "Credit Agreement"), in accordance with the Application/Declaration, as amended, filed by the Company; in this proceeding, and the Securities and Exchange Commission Order dated August 1, 1990 with respect thereto. During the period October 1, 1996 through December 31, 1996, the maximum commercial paper outstanding at any one time was $40,500,000. Commercial paper outstanding on December 31, 1996 was $0. Maximum borrowings under the revolving credit portion of the agreement at any one time was $60,000,000 and $60,000,000 at December 31, 1996. Dated December 31, 1996 Connecticut Yankee Atomic Power Company /s/Robert C. Aronson Assistant Treasurer NAME OF BANK AMOUNT DATE SOLD $ TORONTO DOMINION BANK 56,000,000 12/09/96 TORONTO DOMINION BANK 4,000,000 12/31/96 *REPRESENTING REFINANCING OF MATURING LOANS DATED December 31, 1996 CONNECTICUT YANKEE ATOMIC POWER CO. BY/S/Robert C. Aronson ITS ASSISTANT TREASURER January 24, 1997 Ms. Barbara Nieman Northeast Utilities P.O. Box 270 Hartford, Connecticut 06141-0270 Dear Ms. Nieman: This letter is submitted to you in compliance with certain requirements concerned with the commercial paper program of Connecticut Yankee Atomic Power Company ("CY"), as specified by the Securities and Exchange Commission. Please be advised that in connection with the private distribution of CY commercial paper from October 1, 1996 through December 31, 1996, all sales and resales have been made to customers included on the confidential list of investors held here at Citicorp. Regards, /s/ Pushkar Butani Citicorp UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION In the Matter of Northeast Utilities Quarterly Certificate as The Connecticut Light and Power Company to Partial Western Massachusetts Electric Company Consummation of Transaction $313.75 Million Revolving Credit Agreement Berlin, Connecticut File No. 70-8052 (Public Utility Holding Company Act of 1935) Pursuant to the Public Utility Holding Act of 1935 and Rule 24(a) thereunder, Northeast Utilities and its system companies (the "Companies") hereby certify that the Companies maintain a $313.75 million Revolving Credit Agreement dated November 21, 1996 with Citicorp Securities, Inc. as arranger, Toronto Dominion Securities, Inc. as Syndication Agent, Fleet National Bank as Documentation Agent and Citibank, N.A. as Administrative Agent, in accordance with the terms and conditions filed with the Securities and Exchange Commission and ordered by them on November 20, 1996 with respect thereto. During the period October 1, 1996 through December 31, 1996, Northeast Utilities had $27,500,000 outstanding for the quarter ending December 31, 1996. Dated December 31, 1996 Northeast Utilities /s/Robert C. Aronson Assistant Treasurer -----END PRIVACY-ENHANCED MESSAGE-----