-----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, AuimwSeWPDHUbyhInpkQfB065htgBgBPLZ9sL7xCL8InT6K+6P2+MaK/zaxkaxu3 wux8i9HutHur/o+mNR4YQw== 0000950144-00-002227.txt : 20000215 0000950144-00-002227.hdr.sgml : 20000215 ACCESSION NUMBER: 0000950144-00-002227 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000214 GROUP MEMBERS: WACHOVIA BANK, N.A. GROUP MEMBERS: WACHOVIA CORP/ NC GROUP MEMBERS: WACHOVIA SECURITIES, INC. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CAROLINA POWER & LIGHT CO CENTRAL INDEX KEY: 0000017797 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 560165465 STATE OF INCORPORATION: NC FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-30136 FILM NUMBER: 542845 BUSINESS ADDRESS: STREET 1: 411 FAYETTEVILLE ST CITY: RALEIGH STATE: NC ZIP: 27601 BUSINESS PHONE: 9195466111 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WACHOVIA CORP/ NC CENTRAL INDEX KEY: 0000774203 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 561473727 STATE OF INCORPORATION: NC FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 100 N MAIN ST STREET 2: P O BOX 3099 CITY: WINSTON SALEM STATE: NC ZIP: 27150 BUSINESS PHONE: 3367705000 MAIL ADDRESS: STREET 1: 100 NORTH MAIN ST STREET 2: P O BOX 3099 CITY: WINSTON SALEM STATE: NC ZIP: 27150 FORMER COMPANY: FORMER CONFORMED NAME: FIRST WACHOVIA CORP DATE OF NAME CHANGE: 19910603 SC 13G/A 1 CAROLINA POWER & LIGHT COMPANY/WACHOVIA CORP. 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 10 ) Carolina Power and Light Company -------------------------------- (Name of Issuer) Common ------ (Title of Class of Securities) 144141108 --------- (CUSIP Number) December 31, 1999 ----------------- (Date of Event which Requires Filing of this Statement) 2 CUSIP No. 144141108 Page 2 of 7 (1) Names of Reporting Persons SS or IRS Identification Nos. of Above Persons a. Wachovia Corporation 56-1473727 b. Wachovia Bank, National Association 56-0927594 c. Wachovia Securities, Inc. 56-0276990 (2) Check the Appropriate Box if a Member of a Group (see Instructions) a. ( ) b. ( ) c. ( ) (3) SEC USE ONLY (4) Citizenship or Place of Organization a. Wachovia Corporation North Carolina b. Wachovia Bank, National Association United States c. Wachovia Securities, Inc. North Carolina Number of shares (5) Sole Voting Power 507,073 Beneficially Owned by Each (6) Shared Voting Power 58,216 Reporting Person With (7) Sole Dispositive Power 348,135 (8) Shared Dispositive Power 151,581 (9) Aggregate amount Beneficially Owned by Each Reporting Person 577,076 (10) Check if Aggregate Amount in Row 9 Excludes Certain Shares (see Instructions) ( ) (11) Percent of Class Represented by Amount in Row 9 0.36% (12) Type of Reporting Persons (see Instructions) a. Wachovia Corporation HC b. Wachovia Bank, National Association BK c. Wachovia Securities, Inc. BD 3 CUSIP No. 144141108 Page 3 of 7 ITEM 1 (a) NAME OF ISSUER: Carolina Power and Light Company ITEM 1 (b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 411 Fayetteville Street Mall Raleigh, NC 27602 ITEM 2 (a) NAME OF PERSONS FILING: Wachovia Corporation, Wachovia Bank, National Association and Wachovia Securities, Inc. ITEM 2 (b) ADDRESS OF PRINCIPAL BUSINESS OFFICE: Wachovia Corporation 100 North Main Street Winston-Salem, North Carolina 27104 Wachovia Bank, National Association 100 North Main Street Winston-Salem, North Carolina 27104 Wachovia Securities, Inc. 201 North Tryon Street Charlotte, North Carolina, 28201 ITEM 2 (c) CITIZENSHIP: Wachovia Corporation North Carolina Wachovia Bank, National Association United States Wachovia Securities, Inc. North Carolina ITEM 2 (d) TITLE OF CLASS OF SECURITIES: Common ITEM 2 (e) CUSIP NUMBER: 144141108 4 CUSIP No. 144141108 Page 4 of 7 ITEM 3 IF THIS STATEMENT IS FILED PURSUANT TO RULES 13D-1 (B), OR 13D-3 (B) CHECK WHETHER THE PERSON FILING IS A: (a) (X) Broker or Dealer registered under Section 15 of the Act, (Wachovia Securities, Inc.) (b) (X) Bank as defined in Section 3(a)(6) of the Act, (Wachovia Bank, National Association) (c) ( ) Insurance Company as defined in Section 3(a)(19) of the Act, (d) ( ) Investment Company registered under Section 8 of the Investment Company Act, (e) ( ) Investment Advisor registered under Section 203 of the Investment Advisor Act of 1940, (f) ( ) Employee Benefit Plan Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund. (g) (X) Parent holding Company, in accordance with 240.13d-1 (b)(ii)(G), (Wachovia Corporation) (h) ( ) Group, in accordance with Rule 13d-1 (b) (1) (ii) (H) ITEM 4 OWNERSHIP: The following information is as of December 31, 1998: (a) Amount Beneficially Owned: 577,073 (b) Percent of Class: 0.36% (c) Number of Shares as to which such person has: (i) Sole power to vote or to direct the vote 507,073 (ii) Shared power to vote or to direct the vote 58,216 (iii) Sole power to dispose or to direct the disposition of 348,135 (iv) Shared power to dispose or to direct the disposition of 151,581
ITEM 5 OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS: YES ITEM 6 OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON: N/A 5 CUSIP No. 144141108 Page 5 of 7 ITEM 7 IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY: Included are the following subsidiaries of Wachovia Corporation - HC: Wachovia Bank, National Association - BK (wholly owned subsidiary of Wachovia Corporation) Wachovia Securities, Inc., BD - (wholly owned subsidiary of Wachovia Corporation) ITEM 8 IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. N/A ITEM 9 NOTICE OF DISSOLUTION OF GROUP. N/A 6 CUSIP No. 144141108 Page 6 of 7 ITEM 10 CERTIFICATION: By signing below, I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: February 10, 2000 For: WACHOVIA CORPORATION By: /s/ William M. Watson, Jr. ---------------------------------------------- William M. Watson, Jr. Senior Vice President, Counsel and Secretary For: WACHOVIA BANK, NATIONAL ASSOCIATION By: /s/ William M. Watson, Jr. ---------------------------------------------- William M. Watson, Jr. Senior Vice President, Counsel and Secretary For: WACHOVIA SECURITIES, INC. By: /s/ Michael D. Hearn ---------------------------------------------- Michael D. Hearn Senior Managing Director SEE AGREEMENT ATTACHED AS EXHIBIT A 7 CUSIP No. 144141108 Page 7 of 7 EXHIBIT A AGREEMENT February 10, 2000 The understanding hereby agree to file a joint statement on Schedule 13G under the securities Exchange Act of 1934, as amended (the "Act") in connection with their beneficial ownership of common stock issued by Wachovia Corporation. Each of the undersigned states that it is entitled to individually use Schedule 13G pursuant to Rule 13d-1 (c) of the Act. Each of the undersigned is responsible for the timely filling of the statement and any amendments thereto, and for the completeness of the statement and any amendments thereto, and for the completeness and accuracy of the information concerning each of them contained therein but none is responsible for the completeness of accuracy of the information concerning the others. This agreement applies to any amendments to Schedule 13G. Wachovia Corporation /s/ William M. Watson, Jr. -------------------------------------------- William M. Watson, Jr. Senior Vice President, Counsel and Secretary Wachovia Bank, National Association /s/ William M. Watson, Jr. -------------------------------------------- William M. Watson, Jr. Senior Vice President, Counsel and Secretary Wachovia Securities, Inc. /s/ Michael D. Hearn -------------------------------------------- Michael D. Hearn Senior Managing Director -----END PRIVACY-ENHANCED MESSAGE-----