SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.
FORM U5B
REGISTRATION STATEMENT
FILED PURSUANT TO SECTION 5 OF THE
PUBLIC UTILITY HOLDING COMPANY ACT OF 1935
NAME, TITLE AND ADDRESS OF OFFICER TO WHOM NOTICES AND CORRESPONDENCE
CONCERNING THIS STATEMENT SHOULD BE ADDRESSED
Gary R. Johnson
Vice President and General Counsel
800 Nicollet Mall, Suite 3000
Minneapolis, Minnesota 55402-2023
REGISTRATION STATEMENT
THE UNDERSIGNED HOLDING COMPANY HEREBY SUBMITS ITS REGISTRATION STATEMENT TO THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO SECTION 5 OF THE PUBLIC UTILITY HOLDING COMPANY ACT OF 1935.
1. EXACT NAME OF REGISTRANT:
XCEL ENERGY INC.
2. ADDRESS OF PRINCIPAL EXECUTIVE OFFICES:
800 NICOLLET MALL, SUITE 3000
MINNEAPOLIS, MINNESOTA 55402-2023
3. NAME AND ADDRESS OF CHIEF ACCOUNTING OFFICER:
DAVID E. RIPKA, CONTROLLER
XCEL ENERGY INC.
414 NICOLLET MALL, 5TH FLOOR
MINNEAPOLIS, MINNESOTA 55401
4. FURNISH THE FOLLOWING INFORMATION AS TO THE REGISTRANT AND EACH SUBSIDIARY COMPANY THEREOF:
-----------------------------------------------------------------------------------------------------------------------
COL. A COL. B COL. C COL. D
-----------------------------------------------------------------------------------------------------------------------
NAME OF COMPANY ORGANIZATION STATE OF OWNERSHIP TYPE OF BUSINESS
ORGANIZATION
-----------------------------------------------------------------------------------------------------------------------
XCEL ENERGY INC. ("XCEL ENERGY") CORPORATION PUBLICLY HELD HOLDING COMPANY
MINNESOTA
-----------------------------------------------------------------------------------------------------------------------
1480 WELTON, INC. CORPORATION COLORADO 100% PSCO HOLDS PSC REAL ESTATE
-----------------------------------------------------------------------------------------------------------------------
BCH ENERGY, LTD. PARTNERSHIP LTD. DELAWARE 42.2% QUIXX INACTIVE
PARTNERSHIP
-----------------------------------------------------------------------------------------------------------------------
BEAR ENERGY CORP. CORPORATION BRITISH 50% DRAGON ENERGY HOLDS 1% GP IN CPC LTD.
VIRGIN PARTNERSHIP WHICH HOLDS 50% IN
ISLANDS CAMBODIA POWER, WHICH IS
DEVELOPING 60 MW NAPHTHA FIRED
POWER PLANT IN CAMBODIA
-----------------------------------------------------------------------------------------------------------------------
BLACK MOUNTAIN GAS COMPANY CORPORATION MINNESOTA 100% XCEL ENERGY DISTRIBUTES NATURAL GAS
-----------------------------------------------------------------------------------------------------------------------
BORGER ENERGY ASSOCIATES, L.P. LTD. DELAWARE .45% QUIXX BORGER OWNS BLACKHAWK STATION
PARTNERSHIP 44.55% QUIXX
RESOURCES
-----------------------------------------------------------------------------------------------------------------------
BORGER FUNDING CORPORATION CORPORATION DELAWARE 100% BORGER ENERGY CO-ISSUER W/BORGER ENERGY OF
BONDS FOR CONSTRUCTION OF
BLACKHAWK STATION
-----------------------------------------------------------------------------------------------------------------------
CADENCE NETWORK, INC. CORPORATION DELAWARE NEW CENTURY - ENERGY EFFICIENCY PRACTICES
CADENCE 22.22%
-----------------------------------------------------------------------------------------------------------------------
CAMBODIA POWER COMPANY CORPORATION CAMBODIA 50% CPC DEVELOPING 60 MW NAPHTHA FIRED
POWER PLANT IN CAMBODIA
-----------------------------------------------------------------------------------------------------------------------
CAROLINA ENERGY, LTD. PARTNERSHIP LTD. DELAWARE 1% QUIXX CAROLINA INACTIVE
PARTNERSHIP
-----------------------------------------------------------------------------------------------------------------------
CHEYENNE LIGHT, FUEL AND POWER CORPORATION WYOMING 100% XCEL ENERGY PURCHASE, TRANSMISSION,
COMPANY DISTRIBUTION AND SALE OF
ELECTRICITY AND NATURAL GAS
-----------------------------------------------------------------------------------------------------------------------
CHIPPEWA AND FLAMBEAU IMPROVEMENT CORPORATION WISCONSIN 76% NSP-W OPERATES HYDRO RESERVOIRS
COMPANY 24% VARIOUS
-----------------------------------------------------------------------------------------------------------------------
1
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-----------------------------------------------------------------------------------------------------------------------
CLEARWATER INVESTMENTS, INC. CORPORATION WISCONSIN 100% NSP-W OWNS INTERESTS IN AFFORDABLE
HOUSING PROJECTS
-----------------------------------------------------------------------------------------------------------------------
COGENERATION CAPITAL ASSOCIATES, CORPORATION CALIFORNIA 100% PLANERGY LIMIT LIABILITIES ASSOCIATED
INC. SERVICES WITH BORROWING AGREEMENTS
-----------------------------------------------------------------------------------------------------------------------
CPC LTD. PARTNERSHIP LTD. CAYMEN 1% BEAR ENERGY HOLDS 50% INTEREST IN CAMBODIA
PARTNERSHIP ISLANDS 49.5% DRAGON POWER CO WHICH IS DEVELOPING
60 MW NAPHTHA FIRED POWER
PLANT IN CAMBODIA
-----------------------------------------------------------------------------------------------------------------------
DENVER CITY ENERGY ASSOCIATES LP LTD. DELAWARE 0.5% QUIXX MUSTANG OWNS 50% INTEREST IN MUSTANG
PARTNERSHIP 49.5% QUIXX STATION, ELECTRIC GENERATING
RESOURCES FACILITY
-----------------------------------------------------------------------------------------------------------------------
DITCH AND WATER COMPANIES PSC HOLDS A GREATER THAN 50%
INTEREST IN SEVERAL RELATIVELY
SMALL DITCH AND WATER
COMPANIES FOR PURPOSE OF
COOLING WATER FOR GENERATION
FACILITIES
-----------------------------------------------------------------------------------------------------------------------
DRAGON ENERGY CORP. CORPORATION BRITISH 100% QUIXX CORP HOLDS 50% INTEREST IN BEAR
VIRGIN ENERGY CORP AND 49.5% LTD.
ISLANDS PARTNERSHIP INTEREST IN CPC
LTD. PARTNERSHIP
-----------------------------------------------------------------------------------------------------------------------
E PRIME (BELIZE) LTD. LTD. BELIZE 100% E PRIME INACTIVE
PARTNERSHIP
-----------------------------------------------------------------------------------------------------------------------
E PRIME FLORIDA, INC. CORPORATION COLORADO 100% E PRIME HOLDS CONTRACTS IN FLORIDA
WHICH WERE NOT SOLD IN TEXAS
OHIO GAS CO SALE
-----------------------------------------------------------------------------------------------------------------------
E PRIME GEORGIA, INC. CORPORATION GEORGIA 100% E PRIME HOLDS CONTRACTS IN GEORGIA
WHICH WERE NOT SOLD IN TEXAS
OHIO GAS CO. SALE
-----------------------------------------------------------------------------------------------------------------------
E PRIME, INC. CORPORATION COLORADO 100% XCEL ENERGY UNREGULATED COMMODITY
MARKETS MARKETING AFFILIATE
-----------------------------------------------------------------------------------------------------------------------
E PRIME ENERGY MARKETING, INC. CORPORATION COLORADO 100% E PRIME BUY AND SELL GAS
-----------------------------------------------------------------------------------------------------------------------
ELOIGNE COMPANY ("ELOIGNE") CORPORATION MINNESOTA 100% XCEL VENTURES OWNS INTERESTS IN AFFORDABLE
HOUSING PROJECTS
-----------------------------------------------------------------------------------------------------------------------
ENERGY MASTERS INTERNATIONAL, INC. CORPORATION MINNESOTA 100% XCEL RETAIL PROVIDES ENERGY MARKETING AND
PERFORMANCE CONTRACTING
SERVICES
-----------------------------------------------------------------------------------------------------------------------
EP3, LP LTD. DELAWARE 50% E PRIME INACTIVE
PARTNERSHIP
-----------------------------------------------------------------------------------------------------------------------
FIRST MIDWEST AUTO PARK, INC. CORPORATION MINNESOTA 100% NSP OWNS AND OPERATES PARKING RAMP
-----------------------------------------------------------------------------------------------------------------------
FRONT RANGE ENERGY ASSOCIATES, LLC LTD. DELAWARE 50% QUIXX MOUNTAIN DEVELOPING 164 MW GAS-FIRED
LIABILITY HOLDINGS ELECTRIC GENERATING FACILITY
COMPANY IN CO
-----------------------------------------------------------------------------------------------------------------------
FUEL RESOURCES DEVELOPMENT CO. CORPORATION COLORADO 100% PSCO INACTIVE (UNDER IN DISSOLUTION
UNDER COLO LAW)
-----------------------------------------------------------------------------------------------------------------------
GREEN AND CLEAR LAKES COMPANY CORPORATION NEW YORK 100% PSCO STORES WATER FOR USE AT CABIN
CREEK
-----------------------------------------------------------------------------------------------------------------------
GUARDIAN PIPELINE, L.L.C. LTD. DELAWARE 33.33% VIKING WILL OPERATE INTERSTATE GAS
LIABILITY TRANSMISSION PIPELINE
COMPANY
-----------------------------------------------------------------------------------------------------------------------
INDEPENDENT POWER AMERICAS INC. CORPORATION NEW YORK 100% IPC EXEMPT WHOLESALE GENERATOR
(EWG)
-----------------------------------------------------------------------------------------------------------------------
INDEPENDENT POWER CORP PLC. (IPC) PUBLIC LTD. U.K. 49.9% XCEL EXPECTED FOREIGN UTILITY
COMPANY INTERNATIONAL COMPANY (FUCO)
-----------------------------------------------------------------------------------------------------------------------
INDEPENDENT POWER INTERNATIONAL LTD. CORPORATION BRITISH 49.9% XCEL EWG
VIRGIN INTERNATIONAL
ISLANDS
-----------------------------------------------------------------------------------------------------------------------
JOHNSTOWN COGENERATION, LLC LTD. COLORADO 50% E PRIME OPERATES 3 MW NATURAL GAS
LIABILITY FIRED TURBINE GENERATOR
COMPANY
-----------------------------------------------------------------------------------------------------------------------
KES JAMAICA, LP LTD. DELAWARE 99% QUIXX JAMAICA INACTIVE
PARTNERSHIP 1% KES MONTEGO
-----------------------------------------------------------------------------------------------------------------------
KES MONTEGO, INC. CORPORATION DELAWARE 100% QUIXX INACTIVE
-----------------------------------------------------------------------------------------------------------------------
NATROGAS, INCORPORATED ("NATROGAS") CORPORATION MINNESOTA 100% XCEL RETAIL RETAIL PROPANE SUPPLIER
-----------------------------------------------------------------------------------------------------------------------
NATURAL STATION EQUIPMENT, LLC LTD. DELAWARE 83.63% PSCO FORMERLY SOLD & SERVICED
LIABILITY EQUIPMENT FOR THE NATURAL GAS
COMPANY INDUSTRY
-----------------------------------------------------------------------------------------------------------------------
NCE COMMUNICATIONS, INC. CORPORATION DELAWARE 100% XCEL METRO AREA BROADBAND SERVICES
COMMUNICATIONS AND FIBER OPTIC NETWORK
PROVIDER
-----------------------------------------------------------------------------------------------------------------------
NEW CENTURY-CADENCE, INC. CORPORATION COLORADO 100% XCEL RETAIL HOLDS 22.22% IN CADENCE NETWORK
-----------------------------------------------------------------------------------------------------------------------
NORTH AMERICA ENERGY, INC. CORPORATION MINNESOTA 100% NATROGAS WHOLESALE PROPANE SUPPLIER
-----------------------------------------------------------------------------------------------------------------------
NORTHERN POWER WISCONSIN CORP. CORPORATION WISCONSIN 100% XCEL ENERGY INACTIVE
-----------------------------------------------------------------------------------------------------------------------
NORTHERN STATES POWER COMPANY CORPORATION MINNESOTA 100% XCEL ENERGY ELECTRIC & GAS UTILITY
("NSP")
-----------------------------------------------------------------------------------------------------------------------
NORTHERN STATES POWER COMPANY CORPORATION WISCONSIN 100% XCEL ENERGY ELECTRIC & GAS UTILITY
("NSP-W")
-----------------------------------------------------------------------------------------------------------------------
2
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-----------------------------------------------------------------------------------------------------------------------
NRG ENERGY, INC. CORPORATION DELAWARE 100% XCEL WHOLESALE NON-REGULATED ENERGY PRODUCTS
& SERVICES - DEVELOPS, OWNS
AND OPERATES POWER GENERATION
FACILITIES IN THE U.S.,
AUSTRALIA, EUROPE AND LATIN
AMERICA
-----------------------------------------------------------------------------------------------------------------------
NSP ENERGY MARKETING, INC. CORPORATION MINNESOTA 100% XCEL ENERGY INACTIVE
-----------------------------------------------------------------------------------------------------------------------
NSP FINANCING I STATUTORY DELAWARE 100% NSP SPECIAL PURPOSE BUSINESS TRUST
TRUST
-----------------------------------------------------------------------------------------------------------------------
NSP LANDS, INC. CORPORATION WISCONSIN 100% NSP-W HOLDS NON-UTILITY REAL ESTATE
-----------------------------------------------------------------------------------------------------------------------
NSP NUCLEAR CORPORATION ("NSP CORPORATION MINNESOTA 100% NSP HOLDS NSP'S INTEREST IN
NUCLEAR") NUCLEAR MANAGEMENT COMPANY, LLC
-----------------------------------------------------------------------------------------------------------------------
NUCLEAR MANAGEMENT COMPANY, LLC LTD. WISCONSIN 100% NSP NUCLEAR PROVIDES SERVICES TO OWNERS
LIABILITY AND OPERATORS OF NUCLEAR
COMPANY GENERATING PLANTS
-----------------------------------------------------------------------------------------------------------------------
P.S.R. INVESTMENTS, INC. CORPORATION COLORADO 100% PSCO HOLDS LIFE INSURANCE POLICIES
-----------------------------------------------------------------------------------------------------------------------
PLANERGY (DELAWARE), INC. CORPORATION DELAWARE 100% PLANERGY GROUP INDUSTRIAL ENERGY AUDITS
-----------------------------------------------------------------------------------------------------------------------
PLANERGY ENERGY SERVICES CORP. CORPORATION DELAWARE 100% PLANERGY LIMIT LIABILITIES ASSOCIATED
PGE#1 SERVICES WITH BORROWING AGREEMENTS
-----------------------------------------------------------------------------------------------------------------------
PLANERGY LTD. CORPORATION CANADA 100% PLANERGY, INC. ENERGY SERVICE COMPANY
-----------------------------------------------------------------------------------------------------------------------
PLANERGY NEW YORK, INC. CORPORATION NEW YORK 100% PLANERGY GROUP INACTIVE
-----------------------------------------------------------------------------------------------------------------------
PLANERGY POWER II, INC. CORPORATION DELAWARE 100% PLANERGY GROUP INACTIVE
-----------------------------------------------------------------------------------------------------------------------
PLANERGY SERVICES OF CALIFORNIA, CORPORATION CALIFORNIA 100% PLANERGY LIMIT LIABILITIES ASSOCIATED
INC. PGE#2 SERVICES WITH BORROWING AGREEMENTS
-----------------------------------------------------------------------------------------------------------------------
PLANERGY SERVICES OF HOUSTON, INC. CORPORATION DELAWARE 100% PLANERGY LIMIT LIABILITIES ASSOCIATED
SERVICES WITH BORROWING AGREEMENTS
-----------------------------------------------------------------------------------------------------------------------
PLANERGY SERVICES OF TEXAS, INC. CORPORATION DELAWARE 100% PLANERGY LIMIT LIABILITIES ASSOCIATED
SERVICES WITH BORROWING AGREEMENTS
-----------------------------------------------------------------------------------------------------------------------
PLANERGY SERVICES USA, INC. CORPORATION DELAWARE 100% PLANERGY LIMIT LIABILITIES ASSOCIATED
SERVICES WITH BORROWING AGREEMENTS
-----------------------------------------------------------------------------------------------------------------------
PLANERGY SERVICES, INC. CORPORATION DELAWARE 100% PLANERGY INDUSTRIAL ENERGY AUDITS
DELAWARE
-----------------------------------------------------------------------------------------------------------------------
PLANERGY, INC. CORPORATION TEXAS 100% PLANERGY GROUP ENERGY SERVICE COMPANY
-----------------------------------------------------------------------------------------------------------------------
PLOVER LIMITED LIABILITY CO. LTD. WISCONSIN CLEARWATER AFFORDABLE HOUSING
LIABILITY INVESTMENTS INC.
COMPANY
-----------------------------------------------------------------------------------------------------------------------
PRECISION RESOURCE COMPANY CORPORATION TEXAS 100% UEC CONTRACT PROFESSIONAL AND
TECHNICAL RESOURCES
-----------------------------------------------------------------------------------------------------------------------
PRIVATE FUEL STORAGE L.L.C. LTD. DELAWARE 12.5% XCEL ENERGY WILL DEVELOP PRIVATE TEMPORARY
LIABILITY SPENT NUCLEAR FUEL STORAGE
COMPANY FACILITY
-----------------------------------------------------------------------------------------------------------------------
PROTO-POWER CORP. CORPORATION DELAWARE 100% UEC NUCLEAR ENGINEERING SERVICES
-----------------------------------------------------------------------------------------------------------------------
PS COLORADO CREDIT CORPORATION CORPORATION COLORADO 100% PSCO FINANCING/FACTORING FUEL
(PSCCC) INVENTORIES AND CUSTOMER ACCTS
RECEIVABLE
-----------------------------------------------------------------------------------------------------------------------
PUBLIC SERVICE COMPANY OF COLORADO CORPORATION COLORADO 100% XCEL ENERGY ELECTRIC AND GAS UTILITY
-----------------------------------------------------------------------------------------------------------------------
QUIXX BORGER COGEN, INC. CORPORATION DELAWARE 100% QUIXX CORP OWNS .45% GENERAL PARTNERSHIP
INTEREST IN BORGER ENERGY
ASSOCIATES LP
-----------------------------------------------------------------------------------------------------------------------
QUIXX CAROLINA, INC. CORPORATION TEXAS 100% QUIXX CORP INACTIVE
-----------------------------------------------------------------------------------------------------------------------
QUIXX CORPORATION CORPORATION TEXAS 100% UEC INVESTING IN AND DEVELOPING
COGENERATION AND ENERGY
RELATED PROJECTS
-----------------------------------------------------------------------------------------------------------------------
QUIXX JAMAICA, INC. CORPORATION DELAWARE 100% QUIXX CORP INACTIVE
-----------------------------------------------------------------------------------------------------------------------
QUIXX LINDEN, L.P. LTD. DELAWARE 0.5% QUIXXLIN OWN 23 MW NATURAL GAS-FIRED
PARTNERSHIP 49.5% QUIXX COGENERATION FACILITY FOR
GENERAL MOTORS CORPORATION
-----------------------------------------------------------------------------------------------------------------------
QUIXX LOUISVILLE, LLC LTD. DELAWARE 100% QUIXX OWNS FACILITY CONSISTING OF
LIABILITY TWO GAS-FIRED BOILERS
COMPANY PROVIDING STEAM TO DUPONT IN
KENTUCKY
-----------------------------------------------------------------------------------------------------------------------
QUIXX MOUNTAIN HOLDINGS, LLC LTD. DELAWARE 100% QUIXX CORP HOLDS 50% OWNERSHIP IN FRONT
LIABILITY RANGE ENERGY ASSOCIATES LLC
COMPANY
-----------------------------------------------------------------------------------------------------------------------
QUIXX MUSTANG STATION, INC. CORPORATION DELAWARE 100% QUIXX CORP OWNS .5% GENERAL PARTNERSHIP
INTEREST IN DENVER CITY ENERGY
ASSOC.
-----------------------------------------------------------------------------------------------------------------------
QUIXX POWER SERVICES, INC. CORPORATION TEXAS 100% QUIXX CORP OPERATES AND MANAGES
GENERATING FACILITIES
-----------------------------------------------------------------------------------------------------------------------
QUIXX RESOURCES, INC. CORPORATION NEVADA 100% QUIXX CORP HOLDS 44.55% LTD. PARTNERSHIP
INTEREST IN BORGER ENERGY
ASSOCIATESD, LP
-----------------------------------------------------------------------------------------------------------------------
QUIXX WPP94, INC. CORPORATION TEXAS 100% QUIXX THROUGH WHICH QUIXX HOLDS .33%
IN WINDPOWER PARTNERS, WHICH
OWNS WIND POWER GENERATING
PLANT
-----------------------------------------------------------------------------------------------------------------------
QUIXX WRR, LP LTD. TEXAS 1% QUIXX OWNS WATER RIGHTS IN TEXAS
PARTNERSHIP 99% QUIXX RESOURCES
-----------------------------------------------------------------------------------------------------------------------
3
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-----------------------------------------------------------------------------------------------------------------------
QUIXXLIN CORPORATION CORPORATION DELAWARE 100% QUIXX CORP OWNS .5% GENERAL PARTNERSHIP
INTEREST IN QUIXX LINDEN, LP
-----------------------------------------------------------------------------------------------------------------------
REDDY KILOWATT CORPORATION CORPORATION MONTANA 100% XCEL RETAIL WILL PROVIDE ENERGY AND
NATURAL RESOURCE EFFICIENT
PRODUCTS AND SERVICES FOR
UTILITY CUSTOMERS
-----------------------------------------------------------------------------------------------------------------------
SAFE HAVEN HOMES, LLC LTD. DELAWARE 100% ELOIGNE OWNS INTERESTS IN AFFORDABLE
LIABILITY HOUSING PROJECTS
COMPANY
-----------------------------------------------------------------------------------------------------------------------
SEREN INNOVATIONS, INC. CORPORATION MINNESOTA 100% XCEL TELECOMMUNICATIONS - PROVIDES
COMMUNICATIONS CABLE, TELEPHONE AND HIGH
SPEED INTERNET ACCESS SYSTEM
-----------------------------------------------------------------------------------------------------------------------
SHOE FACTORY HOLDINGS LLC LTD. WISCONSIN CLEARWATER AFFORDABLE HOUSING
LIABILITY INVESTMENTS INC.
COMPANY
-----------------------------------------------------------------------------------------------------------------------
SOUTHWESTERN PUBLIC SERVICE COMPANY CORPORATION NEW MEXICO 100% XCEL ENERGY ELECTRIC UTILITY
-----------------------------------------------------------------------------------------------------------------------
TEXAS-OHIO PIPELINE, INC. CORPORATION TEXAS 100% E PRIME OWNS 900 FOOT PIPELINE
-----------------------------------------------------------------------------------------------------------------------
TOUCH AMERICA COLORADO LLC LTD. COLORADO 50% NCE METRO AREA BROADBAND SERVICES
LIABILITY COMMUNICATIONS,
COMPANY 50% TOUCH AMERICA
-----------------------------------------------------------------------------------------------------------------------
THE PLANERGY GROUP, INC. CORPORATION TEXAS 100% XCEL RETAIL ENERGY SERVICE TO COMMERCIAL
AND INDUSTRIAL CUSTOMERS
-----------------------------------------------------------------------------------------------------------------------
ULTRA POWER TECHNOLOGIES, INC. CORPORATION MINNESOTA 100% XCEL VENTURES INACTIVE
-----------------------------------------------------------------------------------------------------------------------
UNITED POWER AND LAND CO. (UP&L) CORPORATION MINNESOTA 100% NSP HOLDS NON-UTILITY REAL ESTATE
-----------------------------------------------------------------------------------------------------------------------
UNIVERSAL UTILITY SERVICES, LLC LTD. TEXAS 100% UTILITY COOLING TOWER AND ELECTRIC
LIABILITY ENGINEERING SUBSTATION MAINTENANCE
COMPANY
-----------------------------------------------------------------------------------------------------------------------
USA-PLANERGY LLC LTD. TEXAS 49% PLANERGY, INC. INACTIVE
LIABILITY
COMPANY
-----------------------------------------------------------------------------------------------------------------------
UTILITY ENGINEERING CORPORATION CORPORATION TEXAS 100% XCEL WHOLESALE ENGINEERING, CONSTRUCTION
("UEC") MANAGEMENT, ETC., TO UTILITIES
-----------------------------------------------------------------------------------------------------------------------
VIKING GAS TRANSMISSION COMPANY CORPORATION DELAWARE 100% XCEL ENERGY NATURAL GAS TRANSMISSION
("VIKING")
-----------------------------------------------------------------------------------------------------------------------
WESTGAS INTERSTATE, INC. CORPORATION COLORADO 100% XCEL ENERGY NATURAL GAS TRANSMISSION
COMPANY
-----------------------------------------------------------------------------------------------------------------------
WINDPOWER PARTNERS 1994, LP LTD. TEXAS 24.67% QUIXX CORP OWNS 35 MW WIND POWERED
PARTNERSHIP 0.33% QUIXX WPP94 GENERATING PLANT
-----------------------------------------------------------------------------------------------------------------------
WOODSEDGE EAU CLAIRE LP LTD WISCONSIN CLEARWATER AFFORDABLE HOUSING
PARTNERSHIP INVESTMENTS INC.
-----------------------------------------------------------------------------------------------------------------------
WYCO DEVELOPMENT LLC LTD. COLORADO 50% XCEL ENERGY DEVELOP AND OWN NATURAL GAS
LIABILITY WYCO TRANSPORTATION AND STORAGE
COMPANY FACILITIES
-----------------------------------------------------------------------------------------------------------------------
XCEL ENERGY COMMUNICATIONS GROUP CORPORATION MINNESOTA 100% XCEL ENERGY HOLDING COMPANY FOR
INC. ("XCEL COMMUNICATIONS") SUBSIDIARIES PROVIDING
BROADBAND TELECOMMUNICATIONS
AND RELATED SERVICES
-----------------------------------------------------------------------------------------------------------------------
XCEL ENERGY INTERNATIONAL INC. CORPORATION DELAWARE 100% XCEL ENERGY OWNS 50% YORKSHIRE
-----------------------------------------------------------------------------------------------------------------------
XCEL ENERGY MARKETS GROUP INC. CORPORATION MINNESOTA 100% XCEL ENERGY HOLDING COMPANY FOR
("XCEL ENERGY MARKETS") SUBSIDIARIES PROVIDING ENERGY
MARKETING SERVICES
-----------------------------------------------------------------------------------------------------------------------
XCEL ENERGY RETAIL SERVICE GROUP CORPORATION MINNESOTA 100% XCEL ENERGY HOLDING COMPANY FOR
INC. ("XCEL RETAIL") SUBSIDIARIES PROVIDING
SERVICES TO RETAIL CUSTOMERS,
INCLUDING ENERGY EFFICIENCY
SERVICES
-----------------------------------------------------------------------------------------------------------------------
XCEL ENERGY SERVICES INC. CORPORATION DELAWARE 100% XCEL ENERGY SERVICE COMPANY
-----------------------------------------------------------------------------------------------------------------------
XCEL ENERGY VENTURES INC. ("XCEL CORPORATION MINNESOTA 100% XCEL ENERGY HOLDING COMPANY FOR
VENTURES") SUBSIDIARIES TO DEVELOP AND
MANAGE NEW BUSINESS VENTURES,
INCLUDING ELOIGNE
-----------------------------------------------------------------------------------------------------------------------
XCEL ENERGY WHOLESALE GROUP INC. CORPORATION MINNESOTA 100% XCEL ENERGY HOLDING COMPANY FOR
("XCEL WHOLESALE") SUBSIDIARIES PROVIDING
WHOLESALE ENERGY, PRINCIPALLY
NRG
-----------------------------------------------------------------------------------------------------------------------
XCEL ENERGY WYCO INC. CORPORATION COLORADO 100% XCEL ENERGY FINANCE/HOLD 50% WYCO DEV.
-----------------------------------------------------------------------------------------------------------------------
XCEL ENERGY-CENTRUS INC. CORPORATION COLORADO 100% XCEL RETAIL HOLDS ASSETS OF SPS AT THIS
TIME
-----------------------------------------------------------------------------------------------------------------------
XCEL ENERGY O&M SERVICES INC. CORPORATION COLORADO 100% XCEL ENERGY NON-UTILITY BUSINESS
-----------------------------------------------------------------------------------------------------------------------
YORKSHIRE ELECTRICITY GROUP PLC PUBLIC U.K. YORKSHIRE HOLDINGS SECTION 3(b) SUB - EXPECTED
LIMITED PLC FUCO
COMPANY
-----------------------------------------------------------------------------------------------------------------------
YORKSHIRE HOLDINGS PLC PUBLIC U.K. YORKSHIRE POWER FUCO HOLDING COMPANY
LIMITED GROUP LTD.
COMPANY
-----------------------------------------------------------------------------------------------------------------------
YORKSHIRE POWER FINANCE 2 LTD. PRIVATE U.K. 90% YORKSHIRE EXPECTED FUCO
LIMITED POWER GROUP LTD,
COMPANY 10% YORKSHIRE
HOLDINGS PLC
-----------------------------------------------------------------------------------------------------------------------
YORKSHIRE POWER FINANCE LTD. CORPORATION CAYMEN 99% YORKSHIRE EXPECTED FUCO
ISLANDS POWER GROUP LTD,
1% YORKSHIRE
HOLDINGS PLC
-----------------------------------------------------------------------------------------------------------------------
YORKSHIRE POWER GROUP LTD PRIVATE U.K. XCEL ENERGY INT'L FUCO HOLDING COMPANY
LIMITED INC., AEP
COMPANY RESOURCES, INC.
-----------------------------------------------------------------------------------------------------------------------
4
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-----------------------------------------------------------------------------------------------------------------------
YOUNG GAS STORAGE COMPANY CORPORATION DELAWARE 100% E PRIME OPERATES UNDERGROUND GAS
STORAGE THRU YOUNG GAS STORAGE
COMPANY, LTD
-----------------------------------------------------------------------------------------------------------------------
YOUNG GAS STORAGE COMPANY, LTD. CORPORATION COLORADO 47.5% YOUNG GAS OPERATES UNDERGROUND GAS
STORAGE FACILITY IN
NORTHEASTERN COLORADO
-----------------------------------------------------------------------------------------------------------------------
THE SUBSIDIARIES OF NRG ENERGY, INC. FOLLOW.
|
----------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
----------------------------------------------------------------------------------------------------------------------------------
NRG Energy, Inc. Corporation DE Develops, organizes,
owns and operates
non-regulated
energy-related
businesses
----------------------------------------------------------------------------------------------------------------------------------
NRG Thermal Corporation Corporation DE The sole member of all
the llcs under the new
thermal restructuring
----------------------------------------------------------------------------------------------------------------------------------
NRG Energy Center Minneapolis LLC Limited liability company DE Owns and operates the
district heating and
cooling system serving
customers in the
downtown Minneapolis
area
----------------------------------------------------------------------------------------------------------------------------------
NRG Energy Center San Diego LLC Limited liability company DE Eventually will own and
operate San Diego power
and cooling, a chilled
plant serving downtown
San Diego area
----------------------------------------------------------------------------------------------------------------------------------
NRG Energy Center Rock Tenn LLC Limited liability company DE Owns assets in
connection with the
sale of steam of
Rock-Tenn Corporation
in St. Paul
----------------------------------------------------------------------------------------------------------------------------------
NRG Energy Center Grand Forks LLC Limited liability company DE Owns assets in
connection with a
contract to provide
steam at the Grand
Forks Air Force Base
----------------------------------------------------------------------------------------------------------------------------------
NRG Energy Center Harrisburg, Inc. Corporation DE Own cogeneration assets
and sells steam to NRG
Energy Center
Harrisburg, Inc.
----------------------------------------------------------------------------------------------------------------------------------
NRG Energy Center Paxton Inc. Corporation DE Provides steam to
Harrisburg,
Pennsylvania central
business district
----------------------------------------------------------------------------------------------------------------------------------
NRG Energy Center Washco LLC Limited liability company DE Owns assets in
connection with the
sale of steam to
Anderson Corporation
and the State of
Minnesota Correctional
Facility
----------------------------------------------------------------------------------------------------------------------------------
6
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----------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
----------------------------------------------------------------------------------------------------------------------------------
NRG Thermal Operating Services LLC Limited liability company DE At this time has no
assets or operations
----------------------------------------------------------------------------------------------------------------------------------
NRG Energy Center Dover LLC Limited liability company DE Owns and operates 18 MW
cogeneration facility
in Delaware
----------------------------------------------------------------------------------------------------------------------------------
NRG Thermal Services, Inc. Corporation DE Holds chiller plant
assets for NRG Energy
Center Harrisburg, Inc
----------------------------------------------------------------------------------------------------------------------------------
NRG Energy Center Pittsburgh LLC Limited liability company DE Eventually will own and
operate the Pittsburgh
Thermal district
heating and cooling
plant which currently
serves approx 25
customers in the
Pittsburgh area
----------------------------------------------------------------------------------------------------------------------------------
NRG Energy Center San Francisco LLC Limited liability company DE Eventually will own and
operate the San
Francisco Thermal
district heating and
cooling plant which
currently serves
customers in the San
Francisco area
----------------------------------------------------------------------------------------------------------------------------------
North American Thermal Systems Limited Liability Limited liability company OH Develops district
Company heating and cooling
projects in the U.S.;
general partner in
Pittsburgh Thermal,
Limited Partnership and
San Francisco Thermal,
Limited Partnership
----------------------------------------------------------------------------------------------------------------------------------
NRG Pittsburgh Thermal Inc. Corporation DE Limited Partner in
Pittsburgh Thermal,
Limited Partnership
----------------------------------------------------------------------------------------------------------------------------------
Pittsburgh Thermal, Limited Partnership Limited partnership DE Provides district
heating and cooling
services in Pittsburgh
----------------------------------------------------------------------------------------------------------------------------------
NRG San Francisco Thermal Inc. Corporation DE Special purpose entity
to hold NRG's limited
partnership ownership
in SFTLP
----------------------------------------------------------------------------------------------------------------------------------
7
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----------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
----------------------------------------------------------------------------------------------------------------------------------
San Francisco Thermal, Limited Partnership Limited partnership DE Provides district
heating and cooling
services in San
Francisco, California
----------------------------------------------------------------------------------------------------------------------------------
NRG PacGen Inc. Corporation DE Domestic holding
company which acquired
100% of the stock of
Pacific Generation
Company
----------------------------------------------------------------------------------------------------------------------------------
Pacific Generation Company Corporation OR Domestic holding
company acquired by NRG
(formerly a wholly
owned subsidiary of
PacifiCorp Holdings,
Inc. which developed,
built, owned, operated
and managed energy
production facilities);
also a limited partner
in Camas Power Boiler
Limited Partnership
----------------------------------------------------------------------------------------------------------------------------------
Camas Power Boiler Limited Partnership Limited partnership OR Owns waste-wood-fired
steam boiler in Camas
paper mill in Washington
----------------------------------------------------------------------------------------------------------------------------------
Camas Power Boiler, Inc. Corporation OR General partner in
Camas Boiler Limited
Partners
----------------------------------------------------------------------------------------------------------------------------------
Energy National, Inc. Corporation UT Domestic holding
company which holds
limited partner
interests in Crockett,
Curtis/Palmer, Maine
Energy Recovery
Company, Penobscot
Energy Recovery
Company, PowerSmith,
Windpower 87, Windpower
88 projects; general
partner in Penobscot
Energy Recovery Co.
----------------------------------------------------------------------------------------------------------------------------------
8
|
----------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
----------------------------------------------------------------------------------------------------------------------------------
Energy Investors Fund, L.P. Limited partnership DE Domestic investment
company which holds
limited partner
interests in Crockett,
Curtis/Palmer,
Windpower 87 and
Windpower 88 projects;
also a funding vehicle
for numerous other
unrelated projects in
the U.S.
----------------------------------------------------------------------------------------------------------------------------------
Maine Energy Recovery Company Corporation ME Owns Waste-to-Energy
facility in Biddeford,
Maine
----------------------------------------------------------------------------------------------------------------------------------
Penobscot Energy Recovery Company Corporation ME Owns waste-to-energy
facility in Orrington,
Maine
----------------------------------------------------------------------------------------------------------------------------------
The PowerSmith Cogeneration Project, Limited Limited partnership DE Owns PowerSmith
Partnership cogeneration facility
in Oklahoma
----------------------------------------------------------------------------------------------------------------------------------
Enigen, Inc. Corporation UT General Partner in The
PowerSmith Cogeneration
Project, Limited
Partnership
----------------------------------------------------------------------------------------------------------------------------------
Pacific Orrington Energy, Inc. Corporation OR Holds general and
limited partner
interests in Orrington
Waste, Ltd., Limited
Partnership
----------------------------------------------------------------------------------------------------------------------------------
Orrington Waste, Ltd. Limited Partnership Limited partnership OR Provides waste disposal
services to
municipalities to be
delivered to waste
disposal operators in
Maine, including
Penobscot Energy
Recovery Company
----------------------------------------------------------------------------------------------------------------------------------
ESOCO, Inc. Corporation UT Domestic holding
company for individual
Esoco O&M companies
----------------------------------------------------------------------------------------------------------------------------------
ESOCO Orrington, Inc. Corporation UT Operates Penobscot
Energy Recovery Company
in Maine
----------------------------------------------------------------------------------------------------------------------------------
9
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----------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
----------------------------------------------------------------------------------------------------------------------------------
Pacific Crockett Holdings, Inc. Corporation OR Domestic holding
company for Pacific
Crockett Energy, Inc.
----------------------------------------------------------------------------------------------------------------------------------
Pacific Crockett Energy, Inc. Corporation UT General Partner in
Crockett Cogeneration,
A California Limited
Partnership
----------------------------------------------------------------------------------------------------------------------------------
Crockett Cogeneration, a California Limited partnership CA Owns Crockett
Limited Partnership cogeneration facility
in California
----------------------------------------------------------------------------------------------------------------------------------
Pacific Generation Resources Company Corporation OR Domestic holding
company which holds
limited partner
interest in Long Island
Cogeneration, L.P.;
holds limited partner
interest in
Curtis/Palmer; general
partner in ENI Chester,
Limited Partnership
----------------------------------------------------------------------------------------------------------------------------------
ENI Curtis Falls, Limited Partnership Limited partnership OR Limited partner in
Curtis/Palmer
Hydroelectric Company
----------------------------------------------------------------------------------------------------------------------------------
Curtis/Palmer Hydroelectric Corporation NY Owns Curtis/Palmer
Company hydroelectric power
plant in New York
----------------------------------------------------------------------------------------------------------------------------------
ONSITE Energy, Inc. Corporation OR Domestic holding
company for ONSITE
Soledad, Inc. and
ONSITE Marianas
Corporation; also
indirectly holds
general partner
interest in Mt. Poso
project and limited
partner interest in
Turners Falls project
----------------------------------------------------------------------------------------------------------------------------------
Pacific-Mt. Poso Corporation Corporation OR General Partner in Mt.
Poso Cogeneration
Company, A California
Limited Partnership
----------------------------------------------------------------------------------------------------------------------------------
Mt. Poso Cogeneration Company, a Limited partnership CA Owns Mt. Poso
California Limited Partnership cogeneration facility
in California
----------------------------------------------------------------------------------------------------------------------------------
|
------------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
------------------------------------------------------------------------------------------------------------------------------------
Turners Falls Limited Partnership Limited partnership MA Owns Turners Falls
cogeneration facility
in Massachusetts
------------------------------------------------------------------------------------------------------------------------------------
ONSITE Limited Partnership No. 1 Limited partnership OR Owned cogeneration
facilities for bakery
in Los Angeles and
dairy in Michigan
------------------------------------------------------------------------------------------------------------------------------------
ONSITE/US Power Limited Partnership No. 1 Limited partnership OR Owned Crossroads
cogeneration facility
in New Jersey
------------------------------------------------------------------------------------------------------------------------------------
Pacific Generation Holdings Company Corporation OR Domestic holdings
company for Pacific
Generation Funding and
Pacific Recycling
Energy; holds limited
partner interests in
Carolina Energy,
Limited Partnership and
Project Finance Fund
III; and indirectly
holds general partner
interest in Kingston
Cogeneration Limited
Partnership
------------------------------------------------------------------------------------------------------------------------------------
Pacific Kingston Energy, Inc. Corporation Canada General Partner in
(Ontario) Kingston Cogeneration
Limited Partnership
------------------------------------------------------------------------------------------------------------------------------------
Kingston Cogeneration Limited Partnership Limited partnership Canada Owns Kingston
(Ontario) cogeneration facility
in Ontario, Canada
------------------------------------------------------------------------------------------------------------------------------------
Carolina Energy, Limited Partnership Limited partnership DE Holds remaining
non-generating assets
of the Carolina Energy
transfer station and
waste-to-energy
facility in North
Carolina
------------------------------------------------------------------------------------------------------------------------------------
Project Finance Fund III, L.P. Limited partnership DE Funding vehicle for
various (primarily)
international operating
projects
------------------------------------------------------------------------------------------------------------------------------------
11
|
------------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
------------------------------------------------------------------------------------------------------------------------------------
Northeast Generation Holding LLC Limited liability company DE Holds a 50% interest in
NRG Northeast
Generating LLC
------------------------------------------------------------------------------------------------------------------------------------
NRG Northeast Generating LLC Limited liability company DE Special purpose holding
company entity to
facilitate east coast
pool financing
------------------------------------------------------------------------------------------------------------------------------------
Dunkirk Power LLC Limited liability company DE Entity holding title to
Dunkirk Power Station
in New York
------------------------------------------------------------------------------------------------------------------------------------
Huntley Power LLC Limited liability company DE Entity holding title to
the Huntley Power
station in New York
------------------------------------------------------------------------------------------------------------------------------------
Astoria Gas Turbine Power LLC Limited liability company DE Entity holding title to
Astoria turbines in
Staten Island, New York
------------------------------------------------------------------------------------------------------------------------------------
Arthur Kill Power LLC Limited liability company DE Entity holding title to
Arthur Kill generating
station in Staten
Island, New York
------------------------------------------------------------------------------------------------------------------------------------
Somerset Power LLC Limited liability company DE Entity holding title to
the electric generating
plant in Somerset,
Massachusetts
------------------------------------------------------------------------------------------------------------------------------------
Oswego Harbor Power LLC Limited liability company DE Formed for the purpose
of acquiring, operating
and owning the electric
generating plant in
Oswego, New York
------------------------------------------------------------------------------------------------------------------------------------
Connecticut Jet Power LLC Limited liability company DE Own combustion turbines
acquired from
Connecticut Light and
Power ("CL&P assets")
------------------------------------------------------------------------------------------------------------------------------------
Devon Power LLC Limited liability company DE Entity holding title to
the Devon Power station
in Connecticut
------------------------------------------------------------------------------------------------------------------------------------
Middletown Power LLC Limited liability company DE Own and/or operate
portion of CL&P assets
------------------------------------------------------------------------------------------------------------------------------------
12
|
------------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
------------------------------------------------------------------------------------------------------------------------------------
Montville Power LLC Limited liability company DE Own and/or operate a
portion of the CL&P
assets
------------------------------------------------------------------------------------------------------------------------------------
Norwalk Power LLC Limited liability company DE Entity holding title to
the Norwalk generating
station in Connecticut
------------------------------------------------------------------------------------------------------------------------------------
NRG Eastern LLC Limited liability company DE To hold 50% interest in
NRG Northeast
Generating LLC
------------------------------------------------------------------------------------------------------------------------------------
South Central Generation Holding LLC Limited liability company DE Entity holding a 50%
interest in NRG South
Central Generating LLC
(issuer in the Cajun
deal)
------------------------------------------------------------------------------------------------------------------------------------
NRG Central U.S. LLC Limited liability company DE To hold 50% interest in
NRG South Central
Generating LLC
------------------------------------------------------------------------------------------------------------------------------------
NRG South Central Generating LLC Limited liability company DE Special purpose holding
company entity to
facility central pool
financing
------------------------------------------------------------------------------------------------------------------------------------
Louisiana Generating LLC Limited liability company DE Formed for the purpose
of owning Cajun
non-nuclear generating
assets in Louisiana
(including gas and
coal-fired generation)
------------------------------------------------------------------------------------------------------------------------------------
NRG New Roads Holdings LLC Limited liability company DE Entity formed to hold
title to certain Cajun
assets that, due to
federal regulatory
reasons could not be
held by Louisiana
Generating LLC
------------------------------------------------------------------------------------------------------------------------------------
Big Cajun I Peaking Power LLC Limited liability company DE Develop, own and
operate the Cajun
expansion project
------------------------------------------------------------------------------------------------------------------------------------
NRG West Coast Inc. Corporation DE To act as holding
company for West coast
limited liability
companies
------------------------------------------------------------------------------------------------------------------------------------
13
|
------------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
------------------------------------------------------------------------------------------------------------------------------------
WCP (Generation) Holdings LLC Limited liability company DE Jointly owned entity
between the owners and
West Coast Power LLC
------------------------------------------------------------------------------------------------------------------------------------
West Coast Power LLC Limited liability company DE West coast holding
company entity designed
to facilitate west
coast asset pool
financing
------------------------------------------------------------------------------------------------------------------------------------
Long Beach Generation LLC Limited liability company DE Owns gas-fired electric
generation power plant
in Long Beach,
California
------------------------------------------------------------------------------------------------------------------------------------
El Segundo Power, LLC Limited liability company DE Entity holding title to
the El Segundo power
plant in El Segundo,
California
------------------------------------------------------------------------------------------------------------------------------------
Cabrillo Power I LLC Limited liability company DE Entity holding title to
the Encina electric
generation station in
Carlsbad, California
------------------------------------------------------------------------------------------------------------------------------------
Cabrillo Power II LLC Limited liability company DE Entity holding title to
17 SDG&E combustion
turbines in San Diego,
California
------------------------------------------------------------------------------------------------------------------------------------
Cogeneration Corporation of America Corporation DE Develops, owns and
operates cogeneration
facilities in U.S.
------------------------------------------------------------------------------------------------------------------------------------
NRG Rocky Road LLC Limited liability company DE Special purpose LLC
formed to hold the 50%
membership interest in
Rocky Road LLC
------------------------------------------------------------------------------------------------------------------------------------
Rocky Road Power LLC Limited liability company DE Formed to hold
ownership to generating
facility in Dundee,
Illinois
------------------------------------------------------------------------------------------------------------------------------------
NRG Cadillac Inc. Corporation DE Entity holding NRG's
50% interest in
Cadillac Renewable
Energy LLC
------------------------------------------------------------------------------------------------------------------------------------
14
|
------------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
------------------------------------------------------------------------------------------------------------------------------------
Cadillac Renewable Energy LLC Limited liability company DE Owns wood-fired
electric generation
plant in Cadillac,
Michigan
------------------------------------------------------------------------------------------------------------------------------------
O'Brien Cogeneration, Inc. II Corporation DE General Partner in
O'Brien California
Cogen Limited
------------------------------------------------------------------------------------------------------------------------------------
O'Brien California Cogen Limited Corporation CA Owns Artesia
cogeneration facility
in California
------------------------------------------------------------------------------------------------------------------------------------
NRG International, Inc. Corporation DE Domestic holding company
------------------------------------------------------------------------------------------------------------------------------------
NRG Asia-Pacific, Ltd. Corporation DE Provides international
business development
services in Australia
and the Pacific Rim
region
------------------------------------------------------------------------------------------------------------------------------------
NRG Latin America Inc. Corporation DE Domestic holding
company for Cobee
Energy Development LLC
------------------------------------------------------------------------------------------------------------------------------------
Cobee Energy Development LLC Limited liability company DE Provides project
development services in
Latin America for NRG
Energy, Inc. and
Vattenfall AB
------------------------------------------------------------------------------------------------------------------------------------
NRG International Services Company Corporation DE Holds service
agreements with
expatriates and
international
consultants related to
energy services
------------------------------------------------------------------------------------------------------------------------------------
Sterling Luxembourg (No. 4) S.a.r.l. Societe a responsabilite Luxembourg This entity was formed
limitee as a part of the
Sterling holding
structure in the UK
------------------------------------------------------------------------------------------------------------------------------------
Sterling Luxembourg (No. 3) S.a.r.l. Societe a responsabilite Luxembourg This entity was formed
limitee as a part of the
Sterling holding
structure in the UK
------------------------------------------------------------------------------------------------------------------------------------
NR Generating International B.V. Besloten Vennootschap met Netherlands International holding
beperkte aansprakelijkheid company
------------------------------------------------------------------------------------------------------------------------------------
|
-----------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
-----------------------------------------------------------------------------------------------------------------------------------
NRG Energy Development GmbH Gesellschaft mit Germany Provides international
beschrankter Haftung business development
services in Germany and
Europe
-----------------------------------------------------------------------------------------------------------------------------------
NRG Energy CZ, s.r.o. Spolecnost s rucenim omezenym Czech Republic Provides international
business development
services in the Czech
Republic and Europe
-----------------------------------------------------------------------------------------------------------------------------------
NRG Energy PL Sp. z o.o. Spolka z ograniczona Warsaw, Poland Provides international
odpowiedzialnoscia Skrot business development
services in Poland
-----------------------------------------------------------------------------------------------------------------------------------
NRG Energy Ltd. Company limited by shares England and Wales Provides international
business development
services in the U.K.
and Europe
-----------------------------------------------------------------------------------------------------------------------------------
NRGenerating Holdings (No. 15) B.V. Besloten Vennootschap met Netherlands International holding
beperkte aansprakelijkheid company
-----------------------------------------------------------------------------------------------------------------------------------
Sterling Luxembourg (No. 1) S.a.r.l. Societe a responsabilite Luxembourg This entity was formed
limitee to hold Luxco2 as a
part of the
NRGenerating, Ltd.
holding structure in
the UK
-----------------------------------------------------------------------------------------------------------------------------------
NRGenerating, Ltd. Company limited by shares UK Holding company for
Killingholme structure
in the UK
-----------------------------------------------------------------------------------------------------------------------------------
NRGenerating Energy Trading Ltd. Company limited by shares United Kingdom International power
marketing entity
-----------------------------------------------------------------------------------------------------------------------------------
Killingholme Holdings Limited Company limited by shares UK Holds interest in
Killingholme power
station
-----------------------------------------------------------------------------------------------------------------------------------
Killingholme Generation Company limited by shares UK Project company for
Limited Killingholme Power
Station
-----------------------------------------------------------------------------------------------------------------------------------
Killingholme Company limited by shares UK Project company for
Power Limited Killingholme power
station
-----------------------------------------------------------------------------------------------------------------------------------
16
|
-----------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
-----------------------------------------------------------------------------------------------------------------------------------
Sterling Luxembourg (No. 2) S.a.r.l. Societe a responsabilite Luxembourg This entity was formed
limitee to hold the Swiss
branch as a part of the
NRGenerating, Ltd.
holding structure in
the UK
-----------------------------------------------------------------------------------------------------------------------------------
Sterling (Gibraltar) Unlimited liability company Gibraltar This entity was formed
to assist with the
NRGenerating, Ltd./UK
holding structure
through Luxembourg
-----------------------------------------------------------------------------------------------------------------------------------
NRGenerating Luxembourg (No. 1) S.a.r.l Societe a responsabilite Luxembourg Formed as holding
limitee company for Australian
project
-----------------------------------------------------------------------------------------------------------------------------------
NRGenerating Holdings (No. 2) Gmbh Gesellschaft mit Switzerland Formed as holding
beschrankter Haftung company for Australian
project.
-----------------------------------------------------------------------------------------------------------------------------------
Flinders Labuan (No. 1) Ltd. Company limited by shares Labuan Holding company for
potential acquisition
in Australia
-----------------------------------------------------------------------------------------------------------------------------------
Flinders Labuan (No. 2) Ltd. Company limited by shares Labuan Holding company for
potential acquisition
in Australia
-----------------------------------------------------------------------------------------------------------------------------------
NRGenerating Luxembourg (No. 2) S.a.r.l Societe a responsabilite Luxembourg Formed as holding
limitee company for Australian
project
-----------------------------------------------------------------------------------------------------------------------------------
Flinders (Gibraltar) Unlimited liability company Gibraltar Formed as holding
company for Australian
project
-----------------------------------------------------------------------------------------------------------------------------------
Brimsdown Power Limited Company limited by shares England and Wales Project company for
peaking unit associated
with Enfield Energy
Centre Limited in
England
-----------------------------------------------------------------------------------------------------------------------------------
NRGenerating Holdings (No. 11) B.V. Besloten Vennootschap met Netherlands International holding
beperkte aansprakelijkheid company for Langage
Park Project in England
-----------------------------------------------------------------------------------------------------------------------------------
17
|
-----------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
-----------------------------------------------------------------------------------------------------------------------------------
Wainstones Power Limited Company limited by shares England and Wales Formed to develop,
build, own and operate
800MW combined cycle
gas turbine power plant
on greenfield site at
Langage England (f/k/a
Plymouth Energy Centre)
-----------------------------------------------------------------------------------------------------------------------------------
NRGenerating Holdings (No. 13) B.V. Besloten Vennootschap met Netherlands International holding
beperkte aansprakelijkheid company
-----------------------------------------------------------------------------------------------------------------------------------
Langage Energy Park Limited Company limited by shares UK Formed to develop
Langage project
-----------------------------------------------------------------------------------------------------------------------------------
NRGenerating Holdings (No. 9) B.V. Besloten Vennootschap met Netherlands International holding
beperkte aansprakelijkheid company in Kanel Kangal
Elektrik Limited Sirketi
-----------------------------------------------------------------------------------------------------------------------------------
Kanel Kangal Elektrik Limited Sirketi Limited Sirketi Turkey Will own Kangal lignite
fired power plant in
Turkey
-----------------------------------------------------------------------------------------------------------------------------------
NRGenerating Holdings (No. 17) B.V. Besloten Vennootschap met Netherlands International holding
beperkte aansprakelijkheid company
-----------------------------------------------------------------------------------------------------------------------------------
KUSEL Kutahya Seyitomer Elektrik Limited Limited Sirketi Turkey Formed to acquire 600
Sirketi MW coal-fired power
station in Turkey. No
assets or employees at
this time. NRG
ownership is 31.75%
-----------------------------------------------------------------------------------------------------------------------------------
Sachsen Holding B.V. Besloten Vennootschap met Netherlands International holding
beperkte aansprakelijkheid company for P.T.
Dayalistrik Pratama
-----------------------------------------------------------------------------------------------------------------------------------
P.T. Dayalistrik Pratama Perseroan Terbatas Indonesia Formed to own and
construct West Java
coal-fired power plant
in Indonesia
-----------------------------------------------------------------------------------------------------------------------------------
18
|
-----------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
-----------------------------------------------------------------------------------------------------------------------------------
NRGenerating Holdings (No. 7) B.V. Besloten Vennootschap met Netherlands International holding
beperkte aansprakelijkheid company for West Java
O&M company in
formation in Indonesia
-----------------------------------------------------------------------------------------------------------------------------------
P.T. NRG West Java Perseroan Terbatas Indonesia Formed to operate
Cilegon project in
Indonesia
-----------------------------------------------------------------------------------------------------------------------------------
NRGenerating Holdings (No. 8) B.V. Besloten Vennootschap met Netherlands International holding
beperkte aansprakelijkheid company for West Java
O&M company in
formation in Indonesia
-----------------------------------------------------------------------------------------------------------------------------------
Enfield Holdings B.V. Besloten Vennootschap met Netherlands International holding
beperkte aansprakelijkheid company for Enfield
Energy Centre Limited
projects in England
-----------------------------------------------------------------------------------------------------------------------------------
Enfield Energy Centre Limited Company limited by shares England Owns Enfield gas fired
And Wales power plant in England
-----------------------------------------------------------------------------------------------------------------------------------
Enfield Operations, L.L.C. Limited liability company England Operates Enfield Energy
gas-fired power plant
in England
-----------------------------------------------------------------------------------------------------------------------------------
Enfield Operations (UK) Limited Company limited by shares England Holds employees for
And Wales Enfield Operations,
L.L.C.
-----------------------------------------------------------------------------------------------------------------------------------
NR (Gibraltar) Unlimited liability company Gibraltar Company utilized during
the Enfield
transactions in England
-----------------------------------------------------------------------------------------------------------------------------------
NRGenerating Holdings (No. 4) B.V. Besloten Vennootschap met Netherlands International holding
beperkte aansprakelijkheid company in Loy Yang
Power Partners, Loy
Yang Power Management
Pty Ltd. and Loy Yang
Power Projects Pty Ltd.
-----------------------------------------------------------------------------------------------------------------------------------
Loy Yang Power Management Pty Ltd. Company limited by shares Australia Operates Loy Yang
(Victoria) coal-fired power plant
in Australia
-----------------------------------------------------------------------------------------------------------------------------------
Loy Yang Power Partners Partnership Australia Owns Loy Yang
coal-fired plant in
Australia
-----------------------------------------------------------------------------------------------------------------------------------
19
|
-----------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
-----------------------------------------------------------------------------------------------------------------------------------
Loy Yang Power Projects Pty Ltd Company limited by shares Australia Provides technical
(Victoria) services to Loy Yang
coal fired power plant
in Australia
-----------------------------------------------------------------------------------------------------------------------------------
Gunwale B.V. Besloten Vennootschap met Netherlands International holding
beperkte aansprakelijkheid company
-----------------------------------------------------------------------------------------------------------------------------------
Sunshine State Power (No. 2) B.V. Besloten Vennootschap met Netherlands International holding
beperkte aansprakelijkheid company which holds a
17.5% undivided
interest in Gladstone
Power Station Joint
Venture
-----------------------------------------------------------------------------------------------------------------------------------
Sunshine State Power B.V. Besloten Vennootschap met Netherlands International holding
beperkte aansprakelijkheid company which holds a
20% undivided interest
in Gladstone Power
Station Joint Venture
-----------------------------------------------------------------------------------------------------------------------------------
NRGenerating Holdings (No. 1) B.V. Besloten Vennootschap met Netherlands International holding
beperkte aansprakelijkheid company in Collinsville
Power Joint Venture
-----------------------------------------------------------------------------------------------------------------------------------
NRG Victoria I Pty Ltd. Company limited by shares Australia International holding
company in NRG Victoria
II Pty Ltd. and NRG
Victoria III Pty Ltd.
In Australia
-----------------------------------------------------------------------------------------------------------------------------------
NRG Victoria II Pty Ltd. Company limited by shares Australia International holding
company in NRG Victoria
III Pty Ltd. In
Australia
-----------------------------------------------------------------------------------------------------------------------------------
NRG Victoria III Pty Ltd. Company limited by shares Australia International holding
company for Energy
Developments Limited
-----------------------------------------------------------------------------------------------------------------------------------
Energy Developments Limited Company limited by shares Australia Develops, owns and
(Queensland) operates power
generation and
waste-to-energy
projects in Australia,
New Zealand, Asia and
England
-----------------------------------------------------------------------------------------------------------------------------------
|
-----------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
-----------------------------------------------------------------------------------------------------------------------------------
Saale Energie GmbH Gesellschaft mit Germany International holding
beschrankter Haftung company for Kraftwerk
Schkopau
Betriebsgesellschaft
mbH, Kraftwerk Schkopau
GbR and Saale Energie
Services GmbH (Germany)
-----------------------------------------------------------------------------------------------------------------------------------
Saale Energie Services GmbH Gesellschaft mit Germany Provides consulting
beschrankter Haftung services to MIBRAG
-----------------------------------------------------------------------------------------------------------------------------------
Kraftwerk Schkopau GbR Gesellschaft burgerlichen Germany Owns 960MW coal-fired
Rechts power plant in
Schkopau, Germany
-----------------------------------------------------------------------------------------------------------------------------------
Kraftwerk Schkopau Betriebsgesellschaft mbH Mit beschrankter Haftung Germany Operates in Germany
Schkopau facility
-----------------------------------------------------------------------------------------------------------------------------------
Lambique Beheer B.V. Besloten Vennootschap met Netherlands International holding
beperkte aansprakelijkheid company for MIBRAG B.V.
and Mitteldeutsche
Braunkohlengesellschaft
mbH in Germany
-----------------------------------------------------------------------------------------------------------------------------------
MIBRAG B.V. Besloten Vennootschap met Netherlands Owns 99% of MIBRAG GmbH
beperkte aansprakelijkheid coal mines and
coal-fired power plants
in Germany
-----------------------------------------------------------------------------------------------------------------------------------
MIBRAG Industriekraftwerke Betriebs Gmbh Gesellschaft mit Germany Operates and maintains
beschrankter Haftung three coal-fired power
plants in Germany
-----------------------------------------------------------------------------------------------------------------------------------
MIBRAG Industriekraftwerke Gesellschaft mit Germany Intermediate holding
Vermoegensverwaltungs und beschrankter Haftung company for EWG
Beteiligungs Gmbh
-----------------------------------------------------------------------------------------------------------------------------------
MIBRAG Industriekraftwerke Kommanditgesellschaft Germany Owns three coal-fired
Gmbh & Co. KG power plants in Germany
-----------------------------------------------------------------------------------------------------------------------------------
Mitteldeutsche Braunkohlengesellschaft mbH Mit beschrankter Haftung Germany Operates coal mining,
power generation and
associated operations
near Leipzig, Germany
-----------------------------------------------------------------------------------------------------------------------------------
21
|
-----------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
-----------------------------------------------------------------------------------------------------------------------------------
Kladno Power (No. 2) B.V. Besloten Vennootschap met Netherlands International holding
beperkte aansprakelijkheid company for Matra
Powerplant Holding
B.V., in Czech Republic
-----------------------------------------------------------------------------------------------------------------------------------
Matra Powerplant Holding B.V. Besloten Vennootschap met Netherlands International holding
beperkte aansprakelijkheid company for ECK
Generating, s.r.o. in
Czech Republic
-----------------------------------------------------------------------------------------------------------------------------------
ECK Generating, s.r.o. Spolecnost s rucenim omezenym Czech Republic Expansion project for
approximately 300 MW
coal-fired power plant
under construction in
Kladno facility
-----------------------------------------------------------------------------------------------------------------------------------
Kladno Power (No. 1) B.V. Besloten Vennootschap met Netherlands International holding
beperkte aansprakelijkheid company for Energeticke
Centrum Kladno, s.r.o.
-----------------------------------------------------------------------------------------------------------------------------------
Energeticke Centrum Kladno, s.r.o. Spolecnost s rucenim omezenym Czech Republic Owns and operates a
coal-fired power plant
in Kladno, Czech
Republic
-----------------------------------------------------------------------------------------------------------------------------------
NRGenerating Holdings (No. 5) B.V. Besloten Vennootschap met Netherlands International holding
beperkte aansprakelijkheid company in NRG
Energeticke Provoz,
s.r.o.
-----------------------------------------------------------------------------------------------------------------------------------
NRG Energeticke Provoz, s.r.o. Spolecnost s rucenim omezenym Czech Republic Operates coal-fired
power plants in Kladno,
Czech Republic
-----------------------------------------------------------------------------------------------------------------------------------
NRGenerating Holdings (No. 3) B.V. Besloten Vennootschap met Netherlands International holding
beperkte aansprakelijkheid company registered to
do business in Australia
-----------------------------------------------------------------------------------------------------------------------------------
NRGenerating Holdings (No. 6) B.V. Besloten Vennootschap met Netherlands International holding
beperkte aansprakelijkheid company registered to
do business in Australia
-----------------------------------------------------------------------------------------------------------------------------------
22
|
-----------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
-----------------------------------------------------------------------------------------------------------------------------------
NRGenerating Holdings (No. 14) B.V. Besloten Vennootschap met Netherlands International holding
beperkte aansprakelijkheid company
-----------------------------------------------------------------------------------------------------------------------------------
OU Nrg Energy Est Osauhing Estonia Formed as NRG's
development office in
Estonia
-----------------------------------------------------------------------------------------------------------------------------------
NRGenerating Holdings (No. 16) B.V. Besloten Vennootschap met Netherlands International holding
beperkte aansprakelijkheid company
-----------------------------------------------------------------------------------------------------------------------------------
NRGenerating Holdings (No. 18) B.V. Besloten Vennootschap met Netherlands International holding
beperkte aansprakelijkheid company
-----------------------------------------------------------------------------------------------------------------------------------
NRGenerating Holdings (No. 19) B.V. Besloten Vennootschap met Netherlands International holding
beperkte aansprakelijkheid company
-----------------------------------------------------------------------------------------------------------------------------------
NRGenerating Holdings (No. 20) B.V. Besloten Vennootschap met Netherlands International holding
beperkte aansprakelijkheid company
-----------------------------------------------------------------------------------------------------------------------------------
NRGenerating Holdings (No. 21) B.V. Besloten Vennootschap met Netherlands International holding
beperkte aansprakelijkheid company
-----------------------------------------------------------------------------------------------------------------------------------
NRGenerating Holdings (No. 22) B.V. Besloten Vennootschap met Netherlands International holding
beperkte aansprakelijkheid company
-----------------------------------------------------------------------------------------------------------------------------------
NRGenerating Holdings (No. 23) B.V. Besloten Vennootschap met Netherlands International holding
beperkte aansprakelijkheid company
-----------------------------------------------------------------------------------------------------------------------------------
23
|
-----------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
-----------------------------------------------------------------------------------------------------------------------------------
Interenergy Limited Company limited by shares Ireland Inactive - proposed
provider of electric
marketing services in
eastern and central
Europe
-----------------------------------------------------------------------------------------------------------------------------------
NRGenerating Rupali B.V. Besloten Vennootschap met Netherlands International holding
beperkte aansprakelijkheid company for Rupali oil
fired power plant bid
in Pakistan
-----------------------------------------------------------------------------------------------------------------------------------
Kiksis B.V. Besloten Vennootschap met Netherlands Inactive -
beperkte aansprakelijkheid international holding
company - hold for
Estonia project
-----------------------------------------------------------------------------------------------------------------------------------
Cobee Holdings Inc. Corporation DE Domestic holding
company for Tosli
Investments N.V.
-----------------------------------------------------------------------------------------------------------------------------------
Tosli Investments N.V. Naamloze Vennootschap Netherlands International holding
company for Compania
Boliviana de Energia
Electrica S.A. in Latin
America
-----------------------------------------------------------------------------------------------------------------------------------
Tosli Luxembourg (No. 1) s.a.r.l. Societe a responsabilite Luxembourg Serves as a funding
limitee vehicle for NRG's Latin
America projects
-----------------------------------------------------------------------------------------------------------------------------------
Tosli Luxembourg (No. 2) s.a.r.l. Societe a responsabilite Luxembourg International holding
limitee company for Bulo Bulo
project in Bolivia
-----------------------------------------------------------------------------------------------------------------------------------
Inversiones Bulo Bulo S.A. Sociedad anonima Bolivia Bolivian holding
company for Bulo Bulo
gas-fired power plant
in Bolivia
-----------------------------------------------------------------------------------------------------------------------------------
Coniti Holding B.V. Besloten Vennootschap met Netherlands International holding
beperkte aansprakelijkheid company for Bulo Bulo
gas fired power plant
in Bolivia
-----------------------------------------------------------------------------------------------------------------------------------
Tosli (Gibraltar) B.V. Besloten Vennootschap met Netherlands Company that serves as
beperkte aansprakelijkheid a funding vehicle for
certain of NRG's Latin
American projects
-----------------------------------------------------------------------------------------------------------------------------------
24
|
-----------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
-----------------------------------------------------------------------------------------------------------------------------------
Compania Boliviana de Energia Electrica S.A. Sociedad anonima Canada (Nova Owns and/or operates 15
Scotia) operating power plants
primarily
hydroelectric, in
Bolivia
-----------------------------------------------------------------------------------------------------------------------------------
Compania Electrica Central Bulo Bulo S.A. Sociedad anonima Bolivia Owner of generation
assets for project in
Bolivia
-----------------------------------------------------------------------------------------------------------------------------------
Servicios Energeticos S.A. Sociedad anonima Bolivia Operator of 87 MW
gas-fired power plant
in Bolivia
-----------------------------------------------------------------------------------------------------------------------------------
Tosli Acquisition B.V. Besloten Vennootschap met Netherlands Company formed to
beperkte aansprakelijkheid assist with Cobee
tender offer
-----------------------------------------------------------------------------------------------------------------------------------
NRGenerating Holdings GmbH Gesellschaft mit Switzerland Swiss holding company
beschrankter Haftung
-----------------------------------------------------------------------------------------------------------------------------------
NRG Caymans-C Company limited by shares Cayman Islands Holding company for
interests in Scudder
Latin American
Power I-C and II-C and
II-Corp A and II-Corp B
-----------------------------------------------------------------------------------------------------------------------------------
NRG Caymans-P Company limited by shares Cayman Islands Holding company for
interests in Scudder
Latin American
Power I-P and II-P
-----------------------------------------------------------------------------------------------------------------------------------
Scudder Latin American Power I-C L.D.C. Exempted limited duration Cayman Islands, Investment company
company limited by shares British West which owns (primarily
Indies passive) investments in
Latin American power
projects
-----------------------------------------------------------------------------------------------------------------------------------
Scudder Latin American Power I-P L.D.C. Exempted limited duration Cayman Islands, Investment company
company limited by shares British West which owns (primarily
Indies passive) investments in
Latin American power
projects
-----------------------------------------------------------------------------------------------------------------------------------
Scudder Latin American Power II-C L.D.C. Exempted limited duration Cayman Islands, Investment company
company limited by shares British West which owns (primarily
Indies passive) investments in
Latin American power
projects
-----------------------------------------------------------------------------------------------------------------------------------
|
------------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
------------------------------------------------------------------------------------------------------------------------------------
Scudder Latin American Power Exempted limited duration Cayman Islands, Investment company
II-Corporation A company limited by shares British West which is part of the
Indies holding company
structure for
investments in Latin
American power projects
held by Scudder Latin
American Power II-C
and/or II-P
------------------------------------------------------------------------------------------------------------------------------------
Scudder Latin American Power Exempted limited duration Cayman Islands, Investment company
II-Corporation B company limited by shares British West which is part of the
Indies holding company
structure for
investments in Latin
American power projects
held by Scudder Latin
American Power II-C
and/or II-P
------------------------------------------------------------------------------------------------------------------------------------
Scudder Latin American Power II-P L.D.C. Exempted limited duration Cayman Islands, Investment company
company limited by shares British West which owns (primarily
Indies passive) investments in
Latin American power
projects
------------------------------------------------------------------------------------------------------------------------------------
NRG Caymans Company Company limited by shares Cayman Islands Holding company for
Central and Eastern
European Power Fund
------------------------------------------------------------------------------------------------------------------------------------
Croatia Power Group Company limited by shares Cayman Islands Holding company for
potential project in
Croatia
------------------------------------------------------------------------------------------------------------------------------------
NRG Operating Services, Inc. Corporation DE Currently provides O&M
services for Cadillac,
Collinsville, and
Gladstone projects
------------------------------------------------------------------------------------------------------------------------------------
NRG Gladstone Operating Services Pty Ltd. Company limited by shares Australia Operates coal-fired
Gladstone power plant
in Australia
------------------------------------------------------------------------------------------------------------------------------------
NRG Gladstone Superannuation Pty Ltd. Company limited by shares Australia Holds pension assets
for employees of
Gladstone coal-fired
power plant in Australia
------------------------------------------------------------------------------------------------------------------------------------
26
|
------------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
------------------------------------------------------------------------------------------------------------------------------------
NRG Collinsville Operating Services Pty Ltd. Company limited by shares Australia International holding
company in Collinsville
Operations Pty Ltd.
------------------------------------------------------------------------------------------------------------------------------------
Collinsville Operations Pty Ltd. Company limited by shares Australia Operates Collinsville
coal-fired power plant
in Australia
------------------------------------------------------------------------------------------------------------------------------------
NRG Artesia Operations Inc. Corporation DE Proposed operator for
Artesia cogeneration
facility in California
------------------------------------------------------------------------------------------------------------------------------------
NRG Astoria Gas Turbine Operations Inc. Corporation DE Special purpose
operating company to
provide contract O&M
services to Astoria Gas
Turbine Power LLC
------------------------------------------------------------------------------------------------------------------------------------
NRG Cabrillo Power Operations Inc. Corporation DE Special purpose
operating company to
provide contract O&M
services. Currently
inactive
------------------------------------------------------------------------------------------------------------------------------------
NRG Cadillac Operations Inc. Corporation DE Operating company for
Cadillac wood fired
power plant in Michigan
------------------------------------------------------------------------------------------------------------------------------------
NRG Norwalk Harbor Operations Inc. Corporation DE Special purpose
operating company to
provide contract O&M
services to Norwalk
Harbor LLC
------------------------------------------------------------------------------------------------------------------------------------
NRG Oklahoma Operations Inc. Corporation DE Proposed operator for
Mid-Continent Power
Company cogeneration
facility in Oklahoma
------------------------------------------------------------------------------------------------------------------------------------
NRG Oswego Harbor Power Operations Inc. Corporation DE Special purpose
operating company to
provide contract O&M
services to Oswego
Power LLC
------------------------------------------------------------------------------------------------------------------------------------
NRG Dunkirk Operations Inc. Corporation DE Special purpose
operating company to
provide contract O&M
services to Dunkirk
Power LLC
------------------------------------------------------------------------------------------------------------------------------------
27
|
------------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
------------------------------------------------------------------------------------------------------------------------------------
NRG El Segundo Operations Inc. Corporation DE Proposed operator for
El Segundo gas-fired
power plant in
California
------------------------------------------------------------------------------------------------------------------------------------
Somerset Operations Inc. Corporation DE Operator for Somerset
coal fired power plant
in Massachusetts
------------------------------------------------------------------------------------------------------------------------------------
NRG Middletown Operations Inc. Corporation DE Special purpose
operating company to
provide O&M services
contract to Middletown
Power LLC
------------------------------------------------------------------------------------------------------------------------------------
NRG Montville Operations Inc. Corporation DE Special purpose
operating company to
provide contract O&M
services to Montville
Power LLC
------------------------------------------------------------------------------------------------------------------------------------
NRG Morris Operations Inc. Corporation DE Former operator for
Millennium cogeneration
facility in Illinois
------------------------------------------------------------------------------------------------------------------------------------
NRG Arthur Kill Operations Inc. Corporation DE Special purpose
operating company to
provide contract O&M
services to Arthur Kill
Power LLC
------------------------------------------------------------------------------------------------------------------------------------
NRG Huntley Operations Inc. Corporation DE Special purpose
operating company to
provide contract O&M
services to Huntley
Power LLC
------------------------------------------------------------------------------------------------------------------------------------
NRG Devon Operations Inc. Corporation DE Special purpose
operating company to
provide contract O&M
services to Devon Power
LLC
------------------------------------------------------------------------------------------------------------------------------------
Indian River Operations Inc. Corporation DE Provides operations and
maintenance services
for Indian River Power
LLC
------------------------------------------------------------------------------------------------------------------------------------
Vienna Operations Inc. Corporation DE Provides operations and
maintenance services to
Vienna Power LLC
------------------------------------------------------------------------------------------------------------------------------------
28
|
------------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
------------------------------------------------------------------------------------------------------------------------------------
Power Operations, Inc. Corporation DE Provides O&M services
for Cadillac, Newark
and Parlin projects
------------------------------------------------------------------------------------------------------------------------------------
ESOCO Crockett, Inc. Corporation OR Operates Crockett
cogeneration facility
in California
------------------------------------------------------------------------------------------------------------------------------------
NRG Mextrans Inc. Corporation DE This entity will
develop a transmission
line from Palo Verde
power station through
Arizona, into Mexico
and back up into
California, per a
Presidential Permit
------------------------------------------------------------------------------------------------------------------------------------
NEO Corporation Corporation MN Develops, owns and
operates landfill gas,
hydroelectric and small
cogeneration projects
in the U.S.
------------------------------------------------------------------------------------------------------------------------------------
Minnesota Methane LLC Limited liability company WY Owns and operates 18
landfill gas projects
in the U.S. financed by
Lyon Credit
------------------------------------------------------------------------------------------------------------------------------------
MM Albany Energy LLC Limited liability company DE Landfill gas fueled
power generation for
project in New York
------------------------------------------------------------------------------------------------------------------------------------
MM Cuyahoga Energy LLC Limited liability company DE Landfill gas fueled
power generation for
project in Cleveland,
Ohio
------------------------------------------------------------------------------------------------------------------------------------
MM Hartford Energy LLC Limited liability company DE Landfill gas fueled
power generation for
project in Connecticut
------------------------------------------------------------------------------------------------------------------------------------
MM Lopez Energy LLC Limited liability company DE Landfill gas fueled
power generation for
Lopez Canyon project in
Los Angeles, California
------------------------------------------------------------------------------------------------------------------------------------
29
|
------------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
------------------------------------------------------------------------------------------------------------------------------------
MM Lowell Energy LLC Limited liability company DE Landfill gas fueled
power generation for
project in Massachusetts
------------------------------------------------------------------------------------------------------------------------------------
MM Prince William Energy LLC Limited liability company DE Landfill gas fueled
power generation for
project in Virginia
------------------------------------------------------------------------------------------------------------------------------------
MM San Diego LLC Limited liability company DE Landfill gas fueled
power generation for
Miramar project in
California
------------------------------------------------------------------------------------------------------------------------------------
MM Spokane Energy LLC Limited liability company DE Landfill gas fueled
power generation for
project in Washington
------------------------------------------------------------------------------------------------------------------------------------
MM Tacoma LLC Limited liability company DE Landfill gas fueled
power generation for
project in Washington
------------------------------------------------------------------------------------------------------------------------------------
MM Taunton Energy LLC Limited liability company DE Landfill gas fueled
power generation for
project in Massachusetts
------------------------------------------------------------------------------------------------------------------------------------
MM Tomoka Farms Energy LLC Limited liability company DE Landfill gas fueled
power generation for
Volusia project in
Florida
------------------------------------------------------------------------------------------------------------------------------------
MM Tulare Energy LLC Limited liability company DE Landfill gas fueled
power generation for
Visalia project in
California
------------------------------------------------------------------------------------------------------------------------------------
MM West Covina LLC Limited liability company DE Landfill gas fueled
power generation for
BKK project in
California
------------------------------------------------------------------------------------------------------------------------------------
MM Yolo Power LLC Limited liability company DE Landfill gas fueled
power generation for
project in California
------------------------------------------------------------------------------------------------------------------------------------
O'Brien Biogas IV LLC Limited liability company DE Landfill gas fueled
power generation for
Edgeboro project in New
Jersey
------------------------------------------------------------------------------------------------------------------------------------
|
----------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
----------------------------------------------------------------------------------------------------------------------------------
MM Biogas Power LLC Limited liability company DE Domestic holding
company - owns 100%
interest in landfill
gas fueled power
generation projects not
yet financed
----------------------------------------------------------------------------------------------------------------------------------
MM Corona Energy LLC Limited liability company DE Landfill gas fueled
power generation for
O'Brien projects in
California
----------------------------------------------------------------------------------------------------------------------------------
MM Hackensack Energy LLC Limited liability company DE Landfill gas fueled
power generation for
HMDC/Balefill/Kingsland
O'Brien project in
Lyndhurst, New Jersey
----------------------------------------------------------------------------------------------------------------------------------
NEO Chester-Gen LLC Limited liability company DE Formed to acquire
landfill gas project
----------------------------------------------------------------------------------------------------------------------------------
NEO Freehold-Gen LLC Limited liability company DE Formed to acquire
landfill gas project
----------------------------------------------------------------------------------------------------------------------------------
NEO Landfill Gas Holdings Inc. Corporation DE Domestic holding
company - provides O&M
services for landfill
gas projects
----------------------------------------------------------------------------------------------------------------------------------
NEO Toledo-Gen LLC Limited liability company DE Formed to acquire
landfill gas project
----------------------------------------------------------------------------------------------------------------------------------
MM Nashville Energy LLC Limited liability company DE Landfill gas fueled
power generation for
project in Tennessee
----------------------------------------------------------------------------------------------------------------------------------
MM Prima Deshecha Energy LLC Limited liability company DE Landfill gas fueled
power generation for
project in Orange
County, California
----------------------------------------------------------------------------------------------------------------------------------
MM SKB Energy LLC Limited liability company DE Landfill gas fueled
power generation for
project in Pennsylvania
----------------------------------------------------------------------------------------------------------------------------------
MM Tajiguas Energy LLC Limited liability company DE Landfill gas fueled
power generation for
project in Santa
Barbara, California
----------------------------------------------------------------------------------------------------------------------------------
31
|
----------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
----------------------------------------------------------------------------------------------------------------------------------
MM Woodville Energy LLC Limited liability company DE Landfill gas fueled
power generation for
project in California
----------------------------------------------------------------------------------------------------------------------------------
O'Brien Biogas (Mazzaro), Inc. Corporation DE Landfill gas collection
system for project in
Pennsylvania
----------------------------------------------------------------------------------------------------------------------------------
MM El Sobrante Energy LLC Limited liability company DE Landfill gas fueled
power generation for
project in California
----------------------------------------------------------------------------------------------------------------------------------
MM Erie Power LLC Limited liability company DE Landfill gas fueled
power generation for
project in Denver,
Colorado
----------------------------------------------------------------------------------------------------------------------------------
MM Martinez Energy LLC Limited liability company DE Landfill gas fueled
power generation for
project in California
----------------------------------------------------------------------------------------------------------------------------------
MM Northern Tier Energy LLC Limited liability company DE Landfill gas fueled
power generation for
project in Pennsylvania
----------------------------------------------------------------------------------------------------------------------------------
MM Phoenix Energy LLC Limited liability company DE Landfill gas fueled
power generation for
project in Arizona
----------------------------------------------------------------------------------------------------------------------------------
MM Riverside LLC Limited liability company DE Landfill gas fueled
power generation for
project in California
----------------------------------------------------------------------------------------------------------------------------------
MM Tri-Cities Energy LLC Limited liability company DE Sale of landfill gas to
industrial customer
----------------------------------------------------------------------------------------------------------------------------------
MMSB Transco Holdings LLC Limited liability company DE Transport landfill gas
for resale
----------------------------------------------------------------------------------------------------------------------------------
O'Brien Standby Power Energy, Inc. Corporation DE Landfill gas fueled
power generation for
SKB project in
Pennsylvania
----------------------------------------------------------------------------------------------------------------------------------
Minnesota Methane Holdings LLC Limited liability company DE Domestic holding company
----------------------------------------------------------------------------------------------------------------------------------
32
|
----------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
----------------------------------------------------------------------------------------------------------------------------------
Four Hills, LLC Limited liability company DE Landfill gas collection
system for Nashua
project in New Hampshire
----------------------------------------------------------------------------------------------------------------------------------
LFG Partners, LLC Limited liability company DE Landfill gas collection
system for Yaworski
project in Connecticut
----------------------------------------------------------------------------------------------------------------------------------
NEO Landfill Gas Inc. Corporation DE Domestic holding
company - holds 100%
interest in landfill
gas collection system
projects financed by
Lyon Credit
----------------------------------------------------------------------------------------------------------------------------------
NEO Albany, L.L.C. Limited liability company DE Landfill gas collection
system for project in
New York
----------------------------------------------------------------------------------------------------------------------------------
NEO Cuyahoga, LLC Limited liability company DE Landfill gas collection
system for project in
Cleveland, Ohio
----------------------------------------------------------------------------------------------------------------------------------
NEO Edgeboro, LLC Limited liability company DE Landfill gas collection
system for O'Brien
project in New Jersey
----------------------------------------------------------------------------------------------------------------------------------
NEO Fitchburg LLC Limited liability company DE Landfill gas collection
system for project in
Massachusetts
----------------------------------------------------------------------------------------------------------------------------------
NEO Hartford, LLC Limited liability company DE Landfill gas collection
system for project in
Connecticut
----------------------------------------------------------------------------------------------------------------------------------
NEO Lopez Canyon LLC Limited liability company DE Landfill gas collection
system for project in
Los Angeles, California
----------------------------------------------------------------------------------------------------------------------------------
NEO Lowell LLC Limited liability company DE Landfill gas collection
system for project in
Massachusetts
----------------------------------------------------------------------------------------------------------------------------------
NEO Prince William, LLC Limited liability company DE Landfill gas collection
system for project in
Virginia
----------------------------------------------------------------------------------------------------------------------------------
NEO San Diego LLC Limited liability company DE Landfill gas collection
system for Miramar
project in California
----------------------------------------------------------------------------------------------------------------------------------
33
|
----------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
----------------------------------------------------------------------------------------------------------------------------------
NEO Spokane LLC Limited liability company DE Landfill gas collection
system for project in
Washington
----------------------------------------------------------------------------------------------------------------------------------
NEO Tacoma, L.L.C. Limited liability company DE Landfill gas collection
system for project in
Washington
----------------------------------------------------------------------------------------------------------------------------------
NEO Taunton LLC Limited liability company DE Landfill gas collection
system for project in
Massachusetts
----------------------------------------------------------------------------------------------------------------------------------
NEO Tomoka Farms LLC Limited liability company DE Landfill gas collection
system for Volusia
project in Florida
----------------------------------------------------------------------------------------------------------------------------------
NEO Tulare LLC Limited liability company DE Landfill gas collection
system for Visalia
project in California
----------------------------------------------------------------------------------------------------------------------------------
NEO West Covina LLC Limited liability company DE Landfill gas collection
system for BKK project
in California
----------------------------------------------------------------------------------------------------------------------------------
NEO Yolo LLC Limited liability company DE Landfill gas collection
system for project in
California
----------------------------------------------------------------------------------------------------------------------------------
NEO Burnsville, LLC Limited liability company DE Landfill gas collection
system for Edward
Kraemer landfill in
Minnesota
----------------------------------------------------------------------------------------------------------------------------------
NEO Corona LLC Limited liability company DE Landfill gas collection
system for O'Brien
project in California
----------------------------------------------------------------------------------------------------------------------------------
NEO Erie LLC Limited liability company DE Landfill gas collection
system for project in
Denver, Colorado
----------------------------------------------------------------------------------------------------------------------------------
NEO Ft. Smith LLC Limited liability company DE Landfill gas collection
system for project in
Arkansas
----------------------------------------------------------------------------------------------------------------------------------
34
|
----------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
----------------------------------------------------------------------------------------------------------------------------------
NEO Hackensack, LLC Limited liability company DE Landfill gas collection
system for
HMDC/Balefill/Kingsland
O'Brien projects in
Lyndhurst, New Jersey
----------------------------------------------------------------------------------------------------------------------------------
NEO Martinez LLC Limited liability company DE Landfill gas collection
system for project in
California
----------------------------------------------------------------------------------------------------------------------------------
NEO Nashville LLC Limited liability company DE Landfill gas collection
system for project in
Tennessee
----------------------------------------------------------------------------------------------------------------------------------
NEO Northern Tier LLC Limited liability company DE Landfill gas collection
system for project in
Pennsylvania
----------------------------------------------------------------------------------------------------------------------------------
NEO Phoenix LLC Limited liability company DE Landfill gas collection
system for project in
Arizona
----------------------------------------------------------------------------------------------------------------------------------
NEO Prima Deshecha LLC Limited liability company DE Landfill gas collection
system for project in
Orange County,
California
----------------------------------------------------------------------------------------------------------------------------------
NEO Riverside LLC Limited liability company DE Landfill gas collection
system for project in
California
----------------------------------------------------------------------------------------------------------------------------------
NEO SKB LLC Limited liability company DE Landfill gas collection
system for project in
Pennsylvania
----------------------------------------------------------------------------------------------------------------------------------
NEO Tajiguas LLC Limited liability company DE Landfill gas collection
system for project in
Santa Barbara,
California
----------------------------------------------------------------------------------------------------------------------------------
NEO Woodville LLC Limited liability company DE Landfill gas collection
for project in
California
----------------------------------------------------------------------------------------------------------------------------------
NEO El Sobrante LLC Limited liability company DE Landfill gas collection
system for project in
California
----------------------------------------------------------------------------------------------------------------------------------
|
----------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
----------------------------------------------------------------------------------------------------------------------------------
NEO Tri-Cities LLC Limited liability company DE Landfill gas collection
system for project in
California
----------------------------------------------------------------------------------------------------------------------------------
MM Ft. Smith Energy LLC Limited liability company DE Formed to sell landfill
gas to other companies
in Arkansas - not a
GENCO
----------------------------------------------------------------------------------------------------------------------------------
NEO San Bernardino LLC Limited liability company DE Landfill gas collection
system for project in
California
----------------------------------------------------------------------------------------------------------------------------------
San Bernardino Landfill Gas Limited Limited partnership DE Partnership holding
Partnership, a California limited partnership interest in QF landfill
gas project
----------------------------------------------------------------------------------------------------------------------------------
NEO MESI LLC Limited liability company DE Produce and sell
synthetic fuel (coal
briquettes) in Kentucky
----------------------------------------------------------------------------------------------------------------------------------
MESI Fuel Station #1 L.L.C. Limited liability company DE Owns a synthetic coal
processing facility in
Catlettsburg, Kentucky
----------------------------------------------------------------------------------------------------------------------------------
NEO ECO 11 LLC Limited liability company DE Formed to acquire
landfill gas project
----------------------------------------------------------------------------------------------------------------------------------
Minnesota Methane II LLC Limited liability company DE Owns and operates
original 3 NEO/Ziegler
landfill gas projects
(Edward Kraemer in
Burnsville, MN; Flying
Cloud in Eden Prairie,
MN and Nashua in New
Hampshire)
----------------------------------------------------------------------------------------------------------------------------------
MM Burnsville Energy LLC Limited liability company DE Landfill gas fueled
power generation for
Edward Kraemer landfill
in Minnesota
----------------------------------------------------------------------------------------------------------------------------------
Suncook Energy LLC Limited liability company DE Landfill gas fueled
power generation for
Nashua project in New
Hampshire
----------------------------------------------------------------------------------------------------------------------------------
36
|
----------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
----------------------------------------------------------------------------------------------------------------------------------
Landfill Power LLC Limited liability company WY Owns and operates
Flying Cloud landfill
gas fueled power
generation facility in
Eden Prairie, Minnesota
----------------------------------------------------------------------------------------------------------------------------------
Northbrook Energy, L.L.C. Limited liability company DE Develops hydroelectric
power projects in the
U.S.
----------------------------------------------------------------------------------------------------------------------------------
Northbrook Carolina Hydro, L.L.C. Limited liability company DE Owns and operates
hydroelectric power
plants in North
Carolina and South
Carolina
----------------------------------------------------------------------------------------------------------------------------------
Northbrook New York, L.L.C. Limited liability company DE Holds interest in
Northbrook Acquisition
Corp.
----------------------------------------------------------------------------------------------------------------------------------
Northbrook Acquisition Corp. Corporation DE Domestic holding
company in STS
Hydropower Ltd.
----------------------------------------------------------------------------------------------------------------------------------
STS Hydropower Ltd. Corporation MI Owns and operates
hydroelectric projects
in California,
Colorado, Michigan,
Virginia and Washington
----------------------------------------------------------------------------------------------------------------------------------
STS Turbine & Development, L.L.C. Limited liability company DE Provides turbine design
and project development
services
----------------------------------------------------------------------------------------------------------------------------------
NRG MidAtlantic Generating LLC Limited liability company DE Formed to acquire
Connectiv assets
----------------------------------------------------------------------------------------------------------------------------------
B.L. England Power LLC Limited liability company DE Formed to acquire
Connectiv assets
----------------------------------------------------------------------------------------------------------------------------------
Conemaugh Power LLC Limited liability company DE Formed to acquire
Connectiv assets
----------------------------------------------------------------------------------------------------------------------------------
Deepwater Power LLC Limited liability company DE Formed to acquire
Connectiv assets
----------------------------------------------------------------------------------------------------------------------------------
Indian River Power LLC Limited liability company DE Formed to acquire
Connectiv assets
----------------------------------------------------------------------------------------------------------------------------------
Keystone Power LLC Limited liability company DE Formed to acquire
Connectiv assets
----------------------------------------------------------------------------------------------------------------------------------
37
|
----------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
----------------------------------------------------------------------------------------------------------------------------------
Vienna Power LLC Limited liability company DE Formed to acquire
Connectiv assets
----------------------------------------------------------------------------------------------------------------------------------
Graystone Corporation Corporation MN General Partner in
Louisiana Energy
Services, L.P.
----------------------------------------------------------------------------------------------------------------------------------
Le Paz Incorporated Corporation MN Limited partner in
Louisiana Energy
Services, L.P.
----------------------------------------------------------------------------------------------------------------------------------
Louisiana Energy Services, L.P. Limited partnership DE Owns uranium enrichment
facility under
development in Louisiana
----------------------------------------------------------------------------------------------------------------------------------
NRG Development Company Inc. Corporation DE Entity created to limit
development exposure on
generation projects
where NRG Energy, Inc.
is pursuing the
transaction with
certain types of
partners
----------------------------------------------------------------------------------------------------------------------------------
NRG International Development Inc. Corporation DE Entity created to limit
development exposure on
generation projects
where NRG Energy, Inc.
is pursuing the
transaction with
certain types of
partners on
international
transactions
----------------------------------------------------------------------------------------------------------------------------------
NRG Services Corporation Corporation DE Provides payroll and
benefits services
through service
agreements with
individual O&M companies
----------------------------------------------------------------------------------------------------------------------------------
NRG Affiliate Services Inc. Corporation DE Sponsor and hold the
contracts and 401k
plans for CL&P,
Somerset and other
entities
----------------------------------------------------------------------------------------------------------------------------------
38
|
----------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
----------------------------------------------------------------------------------------------------------------------------------
NRG Northeast Affiliate Services Inc. Corporation DE Manage payroll and
benefits for Huntley
and Dunkirk
(approximately 330
employees)
----------------------------------------------------------------------------------------------------------------------------------
NRG Western Affiliate Services Inc. Corporation DE Handle payroll type
issues for the Western
Region operating
companies
----------------------------------------------------------------------------------------------------------------------------------
NRG Connecticut Affiliate Services Inc. Corporation DE House the payroll for
the four Connecticut
operations, sponsor the
Pension, 401(k),
Welfare plans, etc.
----------------------------------------------------------------------------------------------------------------------------------
NRG Lakefield Inc. Corporation DE Special purpose entity
to hold NRG's 50%
member interest in
Lakefield Junction LLC
----------------------------------------------------------------------------------------------------------------------------------
NRG Lakefield Junction LLC Limited liability company DE Inactive
----------------------------------------------------------------------------------------------------------------------------------
Lakefield Junction LLC Limited liability company DE Shell company, formerly
owned peaking plant to
be constructed in
Minnesota
----------------------------------------------------------------------------------------------------------------------------------
Mid-Continent Power Company, L.L.C. Limited liability company DE Owns Mid-Contingent
Power Company
cogeneration facility
in Oklahoma
----------------------------------------------------------------------------------------------------------------------------------
Scoria Incorporated Corporation MN Holds license for
synthetic coal
technology
----------------------------------------------------------------------------------------------------------------------------------
ENI Chester, Limited Partnership Limited partnership OR Was limited partner in
wood burning project in
Maine
----------------------------------------------------------------------------------------------------------------------------------
Pyro-Pacific Operating Company Corporation CA Operates Mt. Poso
cogeneration facility
in California
----------------------------------------------------------------------------------------------------------------------------------
39
|
----------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
----------------------------------------------------------------------------------------------------------------------------------
ESOCO Fayetteville, Inc. Corporation OR Proposed operator of
Fayetteville
waste-to-energy
facility in North
Carolina
----------------------------------------------------------------------------------------------------------------------------------
ESOCO Molokai, Inc. Corporation UT Proposed operator of
Molokai biomass fueled
power plant in Hawaii
----------------------------------------------------------------------------------------------------------------------------------
ESOCO Soledad, Inc. Corporation UT Proposed operator of
Soledad wood burning
power plant in
California
----------------------------------------------------------------------------------------------------------------------------------
ESOCO Wilson, Inc. Corporation OR Proposed operator of
Carolina Energy
waste-to-energy
facility and transfer
station in North
Carolina
----------------------------------------------------------------------------------------------------------------------------------
Enifund, Inc. Corporation UT Holds property (house
at Crockett
cogeneration facility)
and provides consulting
services to Maine
Energy Recovery Company
----------------------------------------------------------------------------------------------------------------------------------
Long Island Cogeneration, L.P. Limited partnership NY Holds contracts for
Long Island
cogeneration facility
in New York which was
never constructed
----------------------------------------------------------------------------------------------------------------------------------
NRG Connecticut Generating LLC Limited liability company DE Entity holding 100% of
the ownership of Devon
Power LLC, Norwalk
Power LLC, Middletown
Power LLC, Montville
Power LLC and
Connecticut Jet Power
LLC
----------------------------------------------------------------------------------------------------------------------------------
NRG Louisiana LLC Limited liability company DE Formed to acquire Koch
Sterlington LLC
----------------------------------------------------------------------------------------------------------------------------------
NRG New Roads Generating, LLC Limited liability company DE Alternative domestic
holding company for
Cajun non-nuclear
generating assets in
Louisiana (including
gas and coal-fired
generation)
----------------------------------------------------------------------------------------------------------------------------------
|
----------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
----------------------------------------------------------------------------------------------------------------------------------
Tacoma Energy Recovery Company Corporation DE Operate and manage
power plant for City of
Tacoma
----------------------------------------------------------------------------------------------------------------------------------
Elk River Resource Recovery, Inc. Corporation MN Proposed owner of Elk
River waste processing
facility in Minnesota
----------------------------------------------------------------------------------------------------------------------------------
Pacific Generation Development Company Corporation OR Provided domestic
business development
services
----------------------------------------------------------------------------------------------------------------------------------
Pacific Recycling Energy, Inc. Corporation OR Provided business
development services
for waste-to-energy
projects
----------------------------------------------------------------------------------------------------------------------------------
ONSITE Soledad, Inc. Corporation OR Owned and operated
Soledad wood burning
power plant in
California
----------------------------------------------------------------------------------------------------------------------------------
ONSITE Funding Corporation Corporation OR Provides funding to
various ONSITE projects
----------------------------------------------------------------------------------------------------------------------------------
ONSITE Marianas Corporation Corporation Commonwealth of Owned and operated
the Northern Marianas solar energy
Marianas plant in the
Islands Commonwealth of
Northern Mariana
Islands in Pacific Ocean
----------------------------------------------------------------------------------------------------------------------------------
NRG International II Inc. Corporation DE Domestic holding company
----------------------------------------------------------------------------------------------------------------------------------
NRGenerating Holdings (No. 12) B.V. Besloten Vennootschap met Netherlands International holding
beperkte aansprakelijkheid company
----------------------------------------------------------------------------------------------------------------------------------
NRG Power Marketing Inc. Corporation DE Holds power marketing
license
----------------------------------------------------------------------------------------------------------------------------------
Okeechobee Power I, Inc. Corporation DE Inactive
----------------------------------------------------------------------------------------------------------------------------------
Okeechobee Power II, Inc. Corporation DE Inactive
----------------------------------------------------------------------------------------------------------------------------------
Okeechobee Power III, Inc. Corporation DE Inactive
----------------------------------------------------------------------------------------------------------------------------------
Kissimee Power Partners, Limited Partnership Limited partnership DE Inactive
----------------------------------------------------------------------------------------------------------------------------------
41
|
----------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
----------------------------------------------------------------------------------------------------------------------------------
Minnesota Waste Processing Company, L.L.C. Limited liability company DE Owns municipal solid
waste processing
facility and transfer
station in Minnesota
----------------------------------------------------------------------------------------------------------------------------------
ENI Crockett Limited Partnership Limited partnership OR Limited partner in
Crockett Cogeneration,
A California Limited
Partnership
----------------------------------------------------------------------------------------------------------------------------------
NRG Sunnyside Operations GP Inc. Corporation DE General Partner in
Sunnyside Operations
Associated L.P.
----------------------------------------------------------------------------------------------------------------------------------
NRG Sunnyside Operations LP Inc. Corporation DE Limited Partner in
Sunnyside Operations
Associates L.P.
----------------------------------------------------------------------------------------------------------------------------------
Sunnyside Operations Associates, L.P. Limited partnership DE Operated a waste coal
power plant in Utah
----------------------------------------------------------------------------------------------------------------------------------
San Joaquin Valley Energy I, Inc. Corporation CA General Partner in San
Joaquin Valley Energy
Partners I, L.P.
----------------------------------------------------------------------------------------------------------------------------------
San Joaquin Valley Energy Partners IV, L.P. Limited partnership CA Holds remaining
non-operating assets of
biomass waste-fuel
power plant (Chowchilla
I) in California
----------------------------------------------------------------------------------------------------------------------------------
San Joaquin Valley Energy IV, Inc. Corporation CA General partner in San
Joaquin Valley Energy
Partners IV, L.P. and
Bioconversion Partners,
L.P.
----------------------------------------------------------------------------------------------------------------------------------
NRG Energy Jackson Valley I, Inc. Corporation CA General partner in
Jackson Valley Energy
Partners, L.P.
----------------------------------------------------------------------------------------------------------------------------------
42
|
----------------------------------------------------------------------------------------------------------------------------------
Name of Company Form of Organization (using Country or U.S. Type of Business
the terminology of State of
jurisdiction) Organization
----------------------------------------------------------------------------------------------------------------------------------
NRG Energy Jackson Valley II, Inc. Corporation CA Limited partner in
(i) Jackson Valley
Energy Partners, L.P.,
(ii) San Joaquin Valley
Energy Partners I,
L.P., (iii) San Joaquin
Valley Energy Partners
IV, L.P. and (iv)
Bioconversion
Partners, L.P.
----------------------------------------------------------------------------------------------------------------------------------
Bioconversion Partners, L.P. Limited partnership CA Supplies biomass fuel
in California
----------------------------------------------------------------------------------------------------------------------------------
Jackson Valley Energy Partners, L.P. Limited partnership CA Owns and operates waste
lignite/cogeneration
plant and lignite
mining and reclamation
operation in California
----------------------------------------------------------------------------------------------------------------------------------
San Joaquin Valley Energy Partners I, L.P. Limited partnership CA Owns and operates three
biomass waste-fuel
power plants
(Chowchilla II, El Nido
and Madera) in
California
----------------------------------------------------------------------------------------------------------------------------------
|
BUSINESS
5. DESCRIBE BRIEFLY:
(a) THE GENERAL CHARACTER OF THE BUSINESS DONE BY THE REGISTRANT AND ITS SUBSIDIARIES, SEPARATED AS BETWEEN THE HOLDING COMPANIES, PUBLIC UTILITY SUBSIDIARIES (AS DEFINED IN THE ACT) AND THE VARIOUS NON-UTILITY SUBSIDIARIES;
XCEL ENERGY, INC., A MINNESOTA CORPORATION ("XCEL ENERGY" OR THE "COMPANY") IS A PUBLIC UTILITY HOLDING COMPANY WITH SIX PUBLIC UTILITY SUBSIDIARIES:
- SOUTHWESTERN PUBLIC SERVICE COMPANY, A NEW MEXICO CORPORATION ("SPS");
- PUBLIC SERVICE COMPANY OF COLORADO, A COLORADO CORPORATION ("PSCO");
- CHEYENNE LIGHT, FUEL AND POWER COMPANY, A WYOMING CORPORATION ("CHEYENNE");
- NORTHERN STATES POWER COMPANY, A MINNESOTA CORPORATION ("NSP-MINNESOTA");
- NORTHERN STATES POWER COMPANY, A WISCONSIN CORPORATION ("NSP-W"); AND
- BLACK MOUNTAIN GAS COMPANY, AN ARIZONA CORPORATION ("BLACK MOUNTAIN").
SPS SERVES APPROXIMATELY 385,000 ELECTRIC CUSTOMERS IN PORTIONS OF THE STATES OF TEXAS, NEW MEXICO, OKLAHOMA AND KANSAS. PSCO SERVES APPROXIMATELY 1.2 MILLION ELECTRIC CUSTOMERS AND APPROXIMATELY 1.0 MILLION GAS CUSTOMERS IN THE STATE OF COLORADO. CHEYENNE SERVES APPROXIMATELY 35,000 ELECTRIC CUSTOMERS AND 28,000 GAS CUSTOMERS IN AND AROUND CHEYENNE, WYOMING. NSP-MINNESOTA SERVES APPROXIMATELY 1,240,000 ELECTRIC CUSTOMERS IN MINNESOTA, NORTH DAKOTA AND SOUTH DAKOTA AND 385,000 GAS CUSTOMERS IN MINNESOTA, NORTH DAKOTA AND SOUTH DAKOTA. NSP-W SERVES APPROXIMATELY 219,510 ELECTRIC CUSTOMERS AND 83,000 GAS CUSTOMERS IN NORTHERN WISCONSIN AND THE UPPER PENINSULA OF MICHIGAN. BLACK MOUNTAIN SERVES APPROXIMATELY 6,500 CUSTOMERS IN ARIZONA. THE COMPANY HAS MANY NON-UTILITY SUBSIDIARIES, INCLUDING NRG ENERGY, INC., WHICH ARE ENGAGED IN ENERGY-RELATED BUSINESSES.
(b) ANY SUBSTANTIAL CHANGES WHICH MAY HAVE OCCURRED IN THE GENERAL CHARACTER OF THE BUSINESS OF SUCH COMPANIES DURING THE PRECEDING FIVE YEARS.
[OMITTED BY PERMISSION OF THE STAFF.]
PROPERTY
6. DESCRIBE BRIEFLY THE GENERAL CHARACTER AND LOCATION OF THE PRINCIPAL PLANTS, PROPERTIES AND OTHER IMPORTANT PHYSICAL UNITS OF THE REGISTRANT AND ITS SUBSIDIARIES, SHOWING SEPARATELY (a) PUBLIC UTILITY AND (b) OTHER PROPERTIES. IF ANY PRINCIPAL PLANT OR IMPORTANT UNIT IS NOT HELD IN FEE, SO STATE AND DESCRIBE HOW HELD.
a) PUBLIC UTILITY PROPERTY
THE COMPANY'S UTILITY SERVICE TERRITORY IS PORTIONS OF ARIZONA, COLORADO, KANSAS, MICHIGAN, MINNESOTA, NEW MEXICO, NORTH DAKOTA, OKLAHOMA, SOUTH DAKOTA, TEXAS, WISCONSIN AND WYOMING.
ELECTRIC PLANT AS OF 12/31/99
GENERATION
----------------------------------------------------------------------------------------------------------------------------
GENERATING PLANT LOCATION GROSS MAJOR FUEL
CAPACITY IN
MW
----------------------------------------------------------------------------------------------------------------------------
SHERBURNE COUNTY BECKER MN d 1,947.00 COAL
----------------------------------------------------------------------------------------------------------------------------
HARRINGTON AMARILLO TX 1,137.00 COAL
----------------------------------------------------------------------------------------------------------------------------
TOLK MULESHOE TX 1,130.00 COAL
----------------------------------------------------------------------------------------------------------------------------
CHEROKEE DENVER CO 779.00 COAL
----------------------------------------------------------------------------------------------------------------------------
COMANCHE PUEBLO CO 725.00 COAL
----------------------------------------------------------------------------------------------------------------------------
KING STILLWATER MN 571.00 COAL
----------------------------------------------------------------------------------------------------------------------------
PAWNEE BRUSH CO 530.00 COAL
----------------------------------------------------------------------------------------------------------------------------
RIVERSIDE MINNEAPOLIS MN 380.00 COAL
----------------------------------------------------------------------------------------------------------------------------
HIGH BRIDGE ST. PAUL MN 267.00 COAL
----------------------------------------------------------------------------------------------------------------------------
ARAPAHOE DENVER CO 262.00 COAL
----------------------------------------------------------------------------------------------------------------------------
HAYDEN HAYDEN CO b 259.10 COAL
----------------------------------------------------------------------------------------------------------------------------
VALMONT BOULDER CO 196.00 COAL
----------------------------------------------------------------------------------------------------------------------------
CRAIG CRAIG CO a 86.90 COAL
----------------------------------------------------------------------------------------------------------------------------
CAMEO GRAND JUNCTION CO 77.00 COAL
----------------------------------------------------------------------------------------------------------------------------
MINNESOTA VALLEY GRANITE FALLS MN 47.00 COAL
----------------------------------------------------------------------------------------------------------------------------
BLACK DOG BURNSVILLE MN 461.80 COAL/GAS
----------------------------------------------------------------------------------------------------------------------------
DIESEL ENGINE TUCUMCARI NM 15.00 DIESEL
----------------------------------------------------------------------------------------------------------------------------
3 DIESEL GENERATORS MINNEAPOLIS MN 10.00 DIESEL
----------------------------------------------------------------------------------------------------------------------------
CHEROKEE DIESEL GENERATORS DENVER CO 6.00 DIESEL
----------------------------------------------------------------------------------------------------------------------------
FORT ST. VRAIN COMBUSTION TURBINES PLATTEVILLE CO 514.00 GAS
----------------------------------------------------------------------------------------------------------------------------
JONES LUBBOCK TX 512.00 GAS
----------------------------------------------------------------------------------------------------------------------------
NICHOLS AMARILLO TX 479.00 GAS
----------------------------------------------------------------------------------------------------------------------------
PLANT X EARTH TX 463.00 GAS
----------------------------------------------------------------------------------------------------------------------------
45
|
---------------------------------------------------------------------------------------------------------------------------- CUNNINGHAM (STEAM PLANT) HOBBS NM 281.00 GAS ---------------------------------------------------------------------------------------------------------------------------- CUNNINGHAM (GAS TURBINE) HOBBS NM 244.00 GAS ---------------------------------------------------------------------------------------------------------------------------- 6 COMBUSTION TURBINES IN PSCO TERRITORY VARIOUS 209.00 GAS ---------------------------------------------------------------------------------------------------------------------------- ANGUS ANSON SIOUX FALLS SD 202.40 GAS ---------------------------------------------------------------------------------------------------------------------------- MADDOX (STEAM PLANT) HOBBS NM 123.00 GAS ---------------------------------------------------------------------------------------------------------------------------- MADDOX (GAS TURBINE) HOBBS NM 76.00 GAS ---------------------------------------------------------------------------------------------------------------------------- KEY CITY MANKATO MN 65.00 GAS ---------------------------------------------------------------------------------------------------------------------------- PATHFINDER SIOUX FALLS SD 61.00 GAS ---------------------------------------------------------------------------------------------------------------------------- MOORE COUNTY SUNRAY TX 51.00 GAS ---------------------------------------------------------------------------------------------------------------------------- WEST FARIBAULT FARIBAULT MN 32.00 GAS ---------------------------------------------------------------------------------------------------------------------------- RIVERVIEW BORGER TX 25.00 GAS ---------------------------------------------------------------------------------------------------------------------------- CARLSBAD CARLSBAD NM 16.00 GAS ---------------------------------------------------------------------------------------------------------------------------- WHEATON EAU CLAIRE WI 346.20 GAS/OIL ---------------------------------------------------------------------------------------------------------------------------- INVER HILLS INVER GROVE HEIGHTS MN 331.90 GAS/OIL ---------------------------------------------------------------------------------------------------------------------------- ZUNI DENVER CO 115.00 GAS/OIL ---------------------------------------------------------------------------------------------------------------------------- GRANITE CITY ST. GERMAIN MN 61.00 GAS/OIL ---------------------------------------------------------------------------------------------------------------------------- FLAMBEAU PARK FALLS WI 12.00 GAS/OIL ---------------------------------------------------------------------------------------------------------------------------- CABIN CREEK PUMPED STORAGE FACILITY GEORGETOWN CO c 324.00 HYDRO ---------------------------------------------------------------------------------------------------------------------------- 19 HYDRO PLANTS IN NSP-W TERRITORY WISCONSIN 251.10 HYDRO ---------------------------------------------------------------------------------------------------------------------------- 14 HYDRO PLANTS IN PSCO TERRITORY VARIOUS 53.35 HYDRO ---------------------------------------------------------------------------------------------------------------------------- HENNEPIN ISLAND MINNEAPOLIS MN 12.00 HYDRO ---------------------------------------------------------------------------------------------------------------------------- CZ-1 PAMPA TX 13.00 NITROGEN ---------------------------------------------------------------------------------------------------------------------------- PRAIRIE ISLAND RED WING MN 1,052.00 NUCLEAR ---------------------------------------------------------------------------------------------------------------------------- MONTICELLO MONTICELLO MN 578.00 NUCLEAR ---------------------------------------------------------------------------------------------------------------------------- BLUE LAKE SHAKOPEE MN 190.00 OIL ---------------------------------------------------------------------------------------------------------------------------- FRENCH ISLAND (COMBUSTION TURBINES) LACROSSE WI 154.40 OIL ---------------------------------------------------------------------------------------------------------------------------- WILMARTH MANKATO MN e 22.00 RDF ---------------------------------------------------------------------------------------------------------------------------- RED WING RED WING MN e 19.50 RDF ---------------------------------------------------------------------------------------------------------------------------- CZ-2 PAMPA TX 26.00 STEAM ---------------------------------------------------------------------------------------------------------------------------- BAY FRONT ASHLAND WI 72.90 WOOD/COAL/GAS ---------------------------------------------------------------------------------------------------------------------------- FRENCH ISLAND (STEAM PLANT) LACROSSE WI e 29.00 WOOD/RDF ---------------------------------------------------------------------------------------------------------------------------- |
a. THE GROSS MAXIMUM CAPABILITY OF CRAIG UNITS NO. 1 AND NO. 2 IS 894 MW, OF
WHICH THE COMPANY HAS A 9.72% UNDIVIDED OWNERSHIP INTEREST.
b. THE GROSS MAXIMUM CAPABILITY OF HAYDEN UNITS NO. 1 AND NO. 2 IS 202.01 MW
AND 285.96 MW, RESPECTIVELY, OF WHICH THE COMPANY HAS A 75.5% AND 37.4%
UNDIVIDED OWNERSHIP INTEREST, RESPECTIVELY.
c. INCLUDES ONE STATION (TWO UNITS) NOT OWNED BY THE COMPANY BUT OPERATED
UNDER CONTRACT.
d. THE COMPANY OWNS 59% OF SHERBURNE COUNTY UNIT NO. 3. ITS GROSS CAPABILITY
WAS 871 MW AND THE COMPANY'S 59% SHARE WAS 514 MW.
e. RDF = REFUSE DERIVED FUEL. RDF IS CREATED FROM MUNICIPAL SOLID WASTE.
TRANSMISSION
------------------------------------------------------------------------------------------------------
ELECTRIC TRANSMISSION LINES UTILITY CIRCUIT MILES
------------------------------------------------------------------------------------------------------
500 KV NSP-MINNESOTA 265.35
------------------------------------------------------------------------------------------------------
345 KV NSP-MINNESOTA 751.20
------------------------------------------------------------------------------------------------------
345 KV NSP-W 164.92
------------------------------------------------------------------------------------------------------
345 KV PSCO 112
------------------------------------------------------------------------------------------------------
345 KV SPS 319
------------------------------------------------------------------------------------------------------
230 KV NSP- MINNESOTA 287.50
------------------------------------------------------------------------------------------------------
230 KV PSCO 1,936
------------------------------------------------------------------------------------------------------
230 KV SPS 1,604
------------------------------------------------------------------------------------------------------
161 KV NSP- MINNESOTA 58.83
------------------------------------------------------------------------------------------------------
161 KV NSP-W 279.72
------------------------------------------------------------------------------------------------------
138 KV PSCO 65
------------------------------------------------------------------------------------------------------
115 KV CHEYENNE 24.83
------------------------------------------------------------------------------------------------------
115 KV NSP- MINNESOTA 1,304.02
------------------------------------------------------------------------------------------------------
115 KV NSP-W 447.90
------------------------------------------------------------------------------------------------------
115 KV PSCO 1,025
------------------------------------------------------------------------------------------------------
115 KV SPS 1
------------------------------------------------------------------------------------------------------
115 KV SPS 2,579
------------------------------------------------------------------------------------------------------
88 KV NSP-W 73.72
------------------------------------------------------------------------------------------------------
69 KV NSP- MINNESOTA 1,692.74
------------------------------------------------------------------------------------------------------
69 KV NSP-W 1,039.31
------------------------------------------------------------------------------------------------------
69 KV PSCO 332
------------------------------------------------------------------------------------------------------
69 KV SPS 1,755
------------------------------------------------------------------------------------------------------
44 KV PSCO 138
------------------------------------------------------------------------------------------------------
34.5 KV NSP- MINNESOTA 12.46
------------------------------------------------------------------------------------------------------
34.5 KV NSP-W 371.22
------------------------------------------------------------------------------------------------------
23 KV NSP- MINNESOTA 6.75
------------------------------------------------------------------------------------------------------
23 KV NSP-W 6.84
------------------------------------------------------------------------------------------------------
13.8 KV NSP- MINNESOTA 0.32
------------------------------------------------------------------------------------------------------
|
------------------------------------------------------------------------------------------------------
ELECTRIC TRANSMISSION SUBSTATIONS UTILITY QUANTITY
------------------------------------------------------------------------------------------------------
CHEYENNE 2
------------------------------------------------------------------------------------------------------
NSP-MINNESOTA 59
------------------------------------------------------------------------------------------------------
NSP-W 49
------------------------------------------------------------------------------------------------------
PSCO 49
------------------------------------------------------------------------------------------------------
SPS 72
------------------------------------------------------------------------------------------------------
|
ELECTRIC DISTRIBUTION PROPERTY
------------------------------------------------------------------------------------------------------
ELECTRIC DISTRIBUTION LINES UTILITY STRUCTURE MILES
OVERHEAD AND UNDERGROUND
------------------------------------------------------------------------------------------------------
CHEYENNE 1,026.38
------------------------------------------------------------------------------------------------------
47
|
------------------------------------------------------------------------------------------------------
NSP-MINNESOTA 37,219.63
------------------------------------------------------------------------------------------------------
NSP-W 9,607.76
------------------------------------------------------------------------------------------------------
PSCO 20,978.79
------------------------------------------------------------------------------------------------------
SPS 9,304.08
------------------------------------------------------------------------------------------------------
|
------------------------------------------------------------------------------------------------------
ELECTRIC DISTRIBUTION SUBSTATIONS UTILITY QUANTITY
------------------------------------------------------------------------------------------------------
CHEYENNE 4
------------------------------------------------------------------------------------------------------
NSP-MINNESOTA 288
------------------------------------------------------------------------------------------------------
NSP-W 176
------------------------------------------------------------------------------------------------------
PSCO 161
------------------------------------------------------------------------------------------------------
SPS 248
------------------------------------------------------------------------------------------------------
|
GAS PROPERTIES
------------------------------------------------------------------------------------------------------ GAS PROPERTIES MILES OF MAIN ------------------------------------------------------------------------------------------------------ BLACK MOUNTAIN 361 DISTRIBUTION ------------------------------------------------------------------------------------------------------ CHEYENNE 552 DISTRIBUTION ------------------------------------------------------------------------------------------------------ FRONT RANGE PIPELINE 56 TRANSMISSION ------------------------------------------------------------------------------------------------------ NSP-MINNESOTA 7,826 DISTRIBUTION ------------------------------------------------------------------------------------------------------ NSP-MINNESOTA 117 TRANSMISSION ------------------------------------------------------------------------------------------------------ NSP-W 1,811 DISTRIBUTION ------------------------------------------------------------------------------------------------------ PSCO 16,709 DISTRIBUTION ------------------------------------------------------------------------------------------------------ VIKING GAS TRANSMISSION CO. 670 TRANSMISSION ------------------------------------------------------------------------------------------------------ WESTGAS INTERSTATE PIPELINE 11 TRANSMISSION ------------------------------------------------------------------------------------------------------ |
OTHER UTILITY PROPERTY
THE UTILITIES OWN SERVICE AND OFFICE FACILITIES IN CITIES THROUGHOUT THEIR SERVICE TERRITORIES.
PSCO HAS STEAM HEATING AND CHILLED WATER PROPERTY IN DENVER COLO.
AT DEC. 31, 1999 PSCO'S STEAM HEATING PROPERTY CONSISTED OF 10.75 MILES OF TRANSMISSION, DISTRIBUTION, AND SERVICE LINES IN THE CENTRAL BUSINESS DISTRICT OF DENVER INCLUDING A STEAM TRANSMISSION LINE CONNECTING THE SYSTEM WITH THE ZUNI ELECTRIC GENERATING STATION. STEAM IS SUPPLIED FROM BOILERS INSTALLED AT PSCO'S DENVER STEAM PLANT AND STEAM IS ALSO SENT FROM ZUNI DURING PEAK DEMAND PERIODS. A STEAM BOILER HOUSED AT THE STATE OF COLORADO IS LEASED AND AVAILABLE AS AN EMERGENCY STEAM GENERATOR.
PSCO OWNED 8,500 TONS OF CHILLED WATER PRODUCTION CAPACITY AND 5,675 OF CHILLED WATER DISTRIBUTION PIPING IN DENVER AT DEC. 31, 1999.
CHARACTER OF OWNERSHIP
APPROXIMATELY HALF PSCO'S GAS COMPRESSOR STATIONS AND MOST OF ITS TOWN BORDER AND METER STATIONS ARE WHOLLY OR PARTIALLY ON LAND LEASED FROM OTHERS, ON OR ALONG PUBLIC HIGHWAYS, OR ON STREETS OR PUBLIC PLACES WITHIN INCORPORATED TOWNS AND CITIES. PSCO'S CABIN CREEK PUMPED STORAGE HYDROELECTRIC GENERATING STATION, ITS SHOSHONE HYDROELECTRIC GENERATING STATION, AND A PORTION OF THE RELATED INTAKE TUNNEL ARE LOCATED ON PUBLIC LANDS OF THE UNITED STATES. THE COMPANY OR ITS SUBSIDIARIES HOLD LICENSES OR PERMITS ISSUED BY THE APPROPRIATE FEDERAL AGENCIES OR DEPARTMENTS FOR SUBSTANTIALLY ALL PROPERTY ON OR ACROSS PUBLIC LANDS OF THE UNITED STATES. THE LEYDEN GAS STORAGE FACILITY IS LOCATED LARGELY ON LEASED PROPERTY, UNDER LEASES EXPIRING DEC. 31, 2040. THE COMPANY AND ITS UTILITY SUBSIDIARIES HAVE THE POWER OF EMINENT DOMAIN UNDER STATE LAW TO ACQUIRE PROPERTY FOR THEIR ELECTRIC AND GAS FACILITIES. THE ELECTRIC AND GAS TRANSMISSION AND DISTRIBUTION FACILITIES ARE, FOR THE MOST PART, LOCATED ON LAND OWNED BY THE COMPANY OR ITS SUBSIDIARIES PURSUANT TO EASEMENTS OBTAINED FROM THE RECORD HOLDERS OF TITLE, OR ARE OVER OR UNDER STREETS, PUBLIC HIGHWAYS OR OTHER PUBLIC PLACES, OR ON PUBLIC LANDS UNDER FRANCHISES OR OTHER RIGHTS. THE WATER RIGHTS OF THE COMPANY AND ITS SUBSIDIARIES ARE OWNED SUBJECT OT DIVESTMENT TO THE EXTENT OF ANY ABANDONMENT THEREOF.
b) OTHER PROPERTY
SIGNIFICANT NRG ELECTRIC GENERATING STATIONS AT DEC. 31, 1999 WERE:
----------------------------------------------------------------------------------------------------------------------
STATION LOCATION TOTAL NRG'S NRG'S
CAPACITY OWNERSHIP PORTION OF
(MW) CAPACITY
(MW)
----------------------------------------------------------------------------------------------------------------------
GLADSTONE POWER STATION AUSTRALIA 1,680 37.50% 630
----------------------------------------------------------------------------------------------------------------------
LOY YANG POWER A AUSTRALIA 2,000 25.37% 507
----------------------------------------------------------------------------------------------------------------------
CROCKETT COGENERATION USA 240 57.67% 138
----------------------------------------------------------------------------------------------------------------------
SCHKOPAU POWER STATION A GERMANY 960 20.95% 200
----------------------------------------------------------------------------------------------------------------------
COGENERATION CORP. OF AMERICA B USA 575 20.00% 99
----------------------------------------------------------------------------------------------------------------------
COBEE (BOLIVIAN POWER CO. LTD) BOLIVIA 219 49.10% 108
----------------------------------------------------------------------------------------------------------------------
MIBRAG MBH GERMANY 233 33.33% 78
----------------------------------------------------------------------------------------------------------------------
ENERGY DEVELOPMENTS LTD AUSTRALIA 274 29.14% 79
----------------------------------------------------------------------------------------------------------------------
SCUDDER LATIN AMERICAN POWER C LATIN AMERICA 772 6.63% 51
----------------------------------------------------------------------------------------------------------------------
LONG BEACH GENERATING USA 530 50.00% 265
----------------------------------------------------------------------------------------------------------------------
EL SEGUNDO GENERATING USA 1,020 50.00% 510
----------------------------------------------------------------------------------------------------------------------
ENFIELD ENERGY CENTRE UK 396 25.00% 99
----------------------------------------------------------------------------------------------------------------------
ENCINA USA 965 50.00% 483
----------------------------------------------------------------------------------------------------------------------
SAN DIEGO COMBUSTION TURBINES USA 253 50.00% 127
----------------------------------------------------------------------------------------------------------------------
NRG NORTHEAST GENERATING LLC USA 6,980 100.00% 6,980
----------------------------------------------------------------------------------------------------------------------
|
A. NRG HAS OWNERSHIP OF 200 MW THROUGH A LEASE AGREEMENT.
B. COGENERATION CORP. OF AMERICA OWNS VARIOUS PERCENTAGES OF A NUMBER OF
PROJECTS, MAKING NRG'S SHARE OF OWNERSHIP 99 MW.
C. SCUDDER OWNS VARIOUS PERCENTAGES OF A NUMBER OF PROJECTS, MAKING NRG'S SHARE OF OWNERSHIP 51 MW.
1480 WELTON, INC. OWNS TWO BUILDINGS THAT ARE USED PRIMARILY BY PSCO.
BCH ENERGY LIMITED PARTNERSHIP OWNS A WASTE-TO-ENERGY FACILITY NEAR FAYETTEVILLE, N.C.
ELOIGNE CO. HAS AN OWNERSHIP INTEREST IN MORE THAN 3,400 AFFORDABLE HOUSING RENTAL UNITS PRINCIPALLY LOCATED IN THE NSP-MINNESOTA AND NSP-W SERVICE TERRITORY.
FIRST MIDWEST AUTO PARK, INC. OWNS AND OPERATES A PARKING RAMP AND A PARKING LOT IN DOWNTOWN MINNEAPOLIS, MINN.
NATROGAS' PRINCIPAL BUSINESSES ARE THE SALE OF LIQUID PROPANE GAS IN PORTABLE CONTAINERS AND NORTH AMERICA ENERGY, INC., A LIQUID PROPANE WHOLESALER.
QUIXX LOUISVILLE LLC OWNS A FACILITY WITH TWO GAS-FIRED BOILERS IN LOUISVILLE, KEN.
SEREN INNOVATIONS, INC. HAS FIBER OPTIC CABLE NETWORKS IN ST. CLOUD, SARTELL, AND WAITE PARK, MINN. AND IN THE EAST BAY AREA OF SAN FRANCISCO, CALIF.
UNITED POWER & LAND CO. OWNS OFFICE SPACE AND RIGHTS-OF-WAY THAT ARE USED BY NSP-MINNESOTA.
THE WESTGAS INTERSTATE PIPELINE IS 11 MILES OF 4" PIPE THAT CONNECTS THE CHALK BLUFFS HUB WITH THE CHEYENNE LIGHT, FUEL & POWER GAS DELIVERY SYSTEM.
THE FRONT RANGE PIPELINE IS A NEW 56 MILE 24" PIPELINE EXPANSION CONNECTING PSCO'S FACILITIES AT THE CHALK BLUFFS HUB WITH ITS INTEGRATED DISTRIBUTION SYSTEM AND THE FORT ST. VRAIN GENERATION STATION. THE HUB INTERCONNECTS WITH CIG, WIC, WILLIAMS GAS PIPELINES CENTRAL, TRAILBLAZER PIPELINE AND WESTGAS INTERSTATE PIPELINE (AND POSSIBLY A FUTURE INTERCONNECT WITH KN INTERSTATE).
WINDPOWER PARTNERS, 1994 L.P. OWNS A 35MW WIND PLANT IN TEXAS.
YORKSHIRE ELECTRICITY DISTRIBUTES ELECTRICITY IN THE GEOGRAPHICAL CENTER OF THE UNITED KINGDOM. IT HAS 53,000 KILOMETERS OF OVERHEAD WIRES AND UNDERGROUND CABLES AND 32,000 SUBSTATIONS.
NEW CENTURY CADENCE, INC. HOLDS AN INTEREST IN CADENCE NETWORK, LLC. CADENCE NETWORK, LLC PROVIDES A SINGLE SOURCE FOR BOTH ENERGY MANAGEMENT SERVICES AND PRODUCTS DESIGNED TO LOWER ENERGY COSTS FOR NATIONAL COMPANIES THAT OPERATE AT MULTIPLE LOCATIONS.
THE PLANERGY GROUP, INC. CONSISTS OF TWO PRINCIPAL OPERATING SUBSIDIARIES PROVIDING ENERGY MANAGEMENT, CONSULTING AND DEMAND SIDE MANAGEMENT SERVICES TO INDUSTRIAL, COMMERCIAL, UTILITY AND MUNICIPAL CUSTOMERS. THE OPERATING SUBSIDIARIES CONSIST OF PLANERGY, INC. AND PLANERGY
SERVICES, INC. OTHER SUBSIDIARIES THAT WERE ACQUIRED ARE INACTIVE OR HAVE NO SIGNIFICANT OPERATIONS OR EMPLOYEES.
UTILITY ENGINEERING CORP. IS ENGAGED IN ENGINEERING, DESIGN, CONSTRUCTION MANAGEMENT AND OTHER MISCELLANEOUS SERVICES. UE CURRENTLY HAS THREE WHOLLY-OWNED SUBSIDIARIES - UNIVERSAL UTILITY SERVICES CO., PRECISION RESOURCE COMPANY, AND QUIXX CORP. ("QUIXX"). UNIVERSAL UTILITY SERVICES CO. PROVIDES COOLING TOWER MAINTENANCE AND REPAIR, CERTAIN OTHER INDUSTRIAL PLANT IMPROVEMENT SERVICES, AND ENGINEERED MAINTENANCE OF HIGH VOLTAGE PLANT ELECTRIC EQUIPMENT. PRECISION RESOURCE COMPANY PROVIDES CONTRACT PROFESSIONAL AND TECHNICAL RESOURCES FOR CUSTOMERS IN THE ENERGY INDUSTRIAL SECTORS. ON JANUARY 1, 2000, UTILITY ENGINEERING ACQUIRED QUIXX CORP. AND ITS SUBSIDIARIES FROM NC ENTERPRISES AT NET BOOK VALUE, AGGREGATE VALUE OF APPROXIMATELY $74 MILLION. QUIXX'S PRIMARY BUSINESS IS INVESTING IN AND DEVELOPING COGENERATION AND ENERGY-RELATED PROJECTS. QUIXX ALSO HOLDS WATER RIGHTS AND CERTAIN OTHER NON-UTILITY ASSETS. QUIXX ALSO FINANCES THE SALE OF HEAT PUMPS. QUIXX CURRENTLY HAS SEVERAL SUBSIDIARIES, MOST OF WHICH HOLD INTERESTS IN VARIOUS ENERGY-RELATED INVESTMENTS.
QUIXX LINDEN, L.P. OWNS A 23 MW NATURAL GAS FIRED COGENERATION FACILITY IN
LINDEN, NEW JERSEY. QUIXXLIN CORP., A WHOLLY-OWNED SUBSIDIARY OF QUIXX, HOLDS A
0.5 PERCENT GENERAL PARTNERSHIP INTEREST IN THIS PARTNERSHIP. THIS FACILITY
COMMENCED COGENERATION OPERATIONS IN OCTOBER 1999. IT IS ESTIMATED THAT FINAL
COMPLETION OF THIS FACILITY WILL BE IN EARLY 2000. QUIXX ALSO DIRECTLY HOLDS A
49.5 PERCENT LIMITED PARTNERSHIP INTEREST IN QUIXX LINDEN, L.P.
COLORADO NATURAL FUELS, LLC WAS FORMED IN DECEMBER 1999 AND OWNS 100 PERCENT OF NATURAL FUELS COMPANY LLC ("NATCO"). NATCO IS ENGAGED IN THE SALE OF COMPRESSED NATURAL GAS AS A TRANSPORTATION FUEL TO RETAIL MARKETS AND THE CONVERSION OF VEHICLES FOR NATURAL GAS USAGE. COLORADO NATURAL FUELS, LLC IS A WHOLLY-OWNED SUBSIDIARY OF PSCO.
NATURAL STATION EQUIPMENT LLC ("STATCO") - STATCO ASSEMBLES, PACKAGES AND SELLS EQUIPMENT (LARGE COMPRESSORS, HEAVY STEEL STORAGE VESSELS, AND FUEL DISPENSERS) TO THE NATIONAL AND INTERNATIONAL NATURAL GAS INDUSTRY FOR THEIR CONSTRUCTION AND OPERATION OF NATURAL GAS FUELING STATIONS.
E PRIME PROVIDES ENERGY RELATED PRODUCTS AND SERVICES (DIRECTLY AND THROUGH ITS SUBSIDIARIES) WHICH INCLUDE, BUT ARE NOT LIMITED TO, ENERGY MARKETING AND TRADING AND ENERGY CONSULTING. ALSO, E PRIME OWNS YOUNG GAS STORAGE CO., WHICH HAS A 47.5 PERCENT INTEREST IN YOUNG GAS STORAGE CO. LTD.
JOHNSTOWN COGENERATION CO., L.L.C. ("JOHNSTOWN") - JOHNSTOWN IS ELECTRIC COGENERATION FACILITY WHICH E PRIME OWNS A 50% GENERAL PARTNERSHIP INTEREST.
INTERSTATE TRANSACTIONS
7. FOR EACH PUBLIC UTILITY COMPANY IN THE HOLDING COMPANY SYSTEM OF THE REGISTRANT WHICH IS ENGAGED IN THE TRANSMISSION OF ELECTRIC ENERGY OR GAS IN INTERSTATE COMMERCE, FURNISH THE FOLLOWING INFORMATION FOR THE LAST CALENDAR YEAR:
CHEYENNE, PSCO, SPS, NSP-MINNESOTA AND NSP-W HAVE FILED THEIR 1999 FERC FORM 1'S WITH THE FEDERAL ENERGY REGULATORY COMMISSION WHICH INCLUDE INFORMATION RELATED TO THE TRANSMISSION OF ELECTRICITY. THESE REPORTS ARE ALSO ATTACHED AS EXHIBITS G-1 THROUGH G-6.
ELECTRIC ENERGY GAS
KWH MCF
TOTAL ANNUAL SALES
INTERSTATE TRANSACTIONS:**
----------------------------------------------------------------------------------------------------------
NAME OF STATE COLORADO COLORADO
DELIVERED OUT OF STATE SEE PSCO'S FERC FORM 1 NONE
RECEIVED FROM OUT OF STATE NONE
----------------------------------------------------------------------------------------------------------
NAME OF STATE MICHIGAN MICHIGAN
DELIVERED OUT OF STATE SEE NSP-W'S FERC FORM 1 0
RECEIVED FROM OUT OF STATE 1,056,022
----------------------------------------------------------------------------------------------------------
NAME OF STATE MINNESOTA MINNESOTA
DELIVERED OUT OF STATE SEE NSP-MINNESOTA'S FERC FORM 1
RECEIVED FROM OUT OF STATE NONE
NONE
----------------------------------------------------------------------------------------------------------
NAME OF STATE NEW MEXICO NEW MEXICO
DELIVERED OUT OF STATE SEE SPS' FERC FORM 1 NO GAS OPERATIONS
RECEIVED FROM OUT OF STATE
----------------------------------------------------------------------------------------------------------
NAME OF STATE NORTH DAKOTA NORTH DAKOTA
DELIVERED OUT OF STATE SEE NSP-MINNESOTA'S FERC FORM 1 NONE
RECEIVED FROM OUT OF STATE NONE
----------------------------------------------------------------------------------------------------------
NAME OF STATE SOUTH DAKOTA SOUTH DAKOTA
DELIVERED OUT OF STATE SEE NSP-MINNESOTA'S FERC FORM 1 NONE
RECEIVED FROM OUT OF STATE NONE
----------------------------------------------------------------------------------------------------------
NAME OF STATE TEXAS TEXAS
52
|
DELIVERED OUT OF STATE SEE SPS'S FERC FORM 1 NO GAS OPERATIONS RECEIVED FROM OUT OF STATE ---------------------------------------------------------------------------------------------------------- NAME OF STATE WISCONSIN WISCONSIN DELIVERED OUT OF STATE SEE NSP-W'S FERC FORM 1 0 RECEIVED FROM OUT OF STATE 17,961,469 ---------------------------------------------------------------------------------------------------------- NAME OF STATE WYOMING WYOMING DELIVERED OUT OF STATE SEE CHEYENNE'S FERC FORM 1-F NONE RECEIVED FROM OUT OF STATE NONE |
VIKING AND WESTGAS INTERSTATE PIPELINE SYSTEM DO NOT BUY OR SELL NATURAL GAS BUT DO TRANSPORT NATURAL GAS OWNED BY OTHERS ACROSS STATE LINES. DURING 1999, THEY TRANSPORTED:
VIKING GAS TRANSMISSION CO.
-----------------------------------------------------------------------------------------------------
(DEKATHERMS) MINNESOTA NORTH DAKOTA WISCONSIN
-----------------------------------------------------------------------------------------------------
DELIVERED OUT OF STATE 123,645,357 0 1,142,286
-----------------------------------------------------------------------------------------------------
RECEIVED FROM OUT OF STATE 167,062,435 7,647,320 115,998,037
-----------------------------------------------------------------------------------------------------
|
WESTGAS INTERSTATE PIPELINE SYSTEM
-----------------------------------------------------------------------------------------------------
(MMBTU) COLORADO WYOMING
-----------------------------------------------------------------------------------------------------
DELIVERED OUT OF STATE 3,111,210 0
-----------------------------------------------------------------------------------------------------
RECEIVED FROM OUT OF STATE 0 3,111,210
-----------------------------------------------------------------------------------------------------
|
** SHOW FOR EACH STATE IN WHICH THE COMPANY OPERATES, ELECTRIC ENERGY
AND/OR GAS TRANSMITTED OUT OF STATE AND RECEIVED FROM OUT OF STATE
INCLUDING ALL ELECTRIC ENERGY AND/OR GAS DELIVERED AND RECEIVED AT
STATE LINES. DO NOT SHOW NET BALANCE. IF EXACT AMOUNTS ARE NOT KNOWN,
GIVE ESTIMATE.
SECURITIES OUTSTANDING
8. SUBMIT THE FOLLOWING INFORMATION CONCERNING THE REGISTRANT AND EACH SUBSIDIARY THEREOF AS OF THE LATEST AVAILABLE DATE:
FUNDED DEBT
(a) FOR EACH ISSUE OR SERIES OF FUNDED DEBT SECURED BY LIENS ON PROPERTY OWNED, WHETHER OR NOT SUCH DEBT HAS BEEN ASSUMED: (DO NOT INCLUDE HERE ANY CONTINGENT LIABILITIES REPORTED UNDER PARAGRAPH 8(c).
As of Date AUG. 31, 2000
[BY PERMISSION OF THE STAFF, COLUMNS E THROUGH I HAVE BEEN OMITTED]
Col. A Col. B Col. C Col. D
-----------------------------------------------------------------------------------------------------------------------
NAME OF OBLIGOR TITLE OF ISSUE AMOUNT AMOUNT ISSUED
AUTHORIZED LESS RETIRED
-----------------------------------------------------------------------------------------------------------------------
PSCO 6.240% DUE 11/27/00 SECURED MTN, SERIES B (FCTB) $ 15,000,000 $ 15,000,000
-----------------------------------------------------------------------------------------------------------------------
PSCO 6.240% DUE 11/27/00 SECURED MTN, SERIES B (FCTB) 15,000,000 15,000,000
-----------------------------------------------------------------------------------------------------------------------
PSCO 6.000% DUE 01/01/01 FIRST COLLATERAL TRUST, SR. 2 102,667,000 102,667,000
-----------------------------------------------------------------------------------------------------------------------
PSCO 6.600% DUE 02/01/01 SECURED MTN, SERIES B (FCTB) 15,000,000 15,000,000
-----------------------------------------------------------------------------------------------------------------------
PSCO 6.600% DUE 02/01/01 SECURED MTN, SERIES B (FCTB) 15,000,000 15,000,000
-----------------------------------------------------------------------------------------------------------------------
PSCO 9.250% DUE 03/27/01 SECURED MTN, SERIES A (FMB) 6,500,000 6,500,000
-----------------------------------------------------------------------------------------------------------------------
PSCO 7.280% DUE 10/22/02 SECURED MTN, SERIES A (FMB) 5,000,000 5,000,000
-----------------------------------------------------------------------------------------------------------------------
PSCO 7.280% DUE 10/22/02 SECURED MTN, SERIES A (FMB) 5,000,000 5,000,000
-----------------------------------------------------------------------------------------------------------------------
PSCO 7.650% DUE 10/30/02 SECURED MTN, SERIES A (FMB) 5,000,000 5,000,000
-----------------------------------------------------------------------------------------------------------------------
PSCO 6.000% DUE 04/15/03 FIRST COLLATERAL TRUST SR 6 250,000,000 250,000,000
-----------------------------------------------------------------------------------------------------------------------
PSCO 6.450% DUE 11/25/03 SECURED MTN, SERIES B (FCTB) 15,000,000 15,000,000
-----------------------------------------------------------------------------------------------------------------------
PSCO 6.450% DUE 11/25/03 SECURED MTN, SERIES B (FCTB) 15,000,000 15,000,000
-----------------------------------------------------------------------------------------------------------------------
PSCO 6.900% DUE 02/02/04 SECURED MTN, SERIES B (FCTB) 22,000,000 22,000,000
-----------------------------------------------------------------------------------------------------------------------
PSCO 6.900% DUE 02/02/04 SECURED MTN, SERIES B (FCTB) 23,000,000 23,000,000
-----------------------------------------------------------------------------------------------------------------------
PSCO 8.125% DUE 03/01/04 FIRST MORTGAGE BONDS 100,000,000 100,000,000
-----------------------------------------------------------------------------------------------------------------------
PSCO 6.375% DUE 11/01/05 FIRST COLLATERAL TRUST SR 1 134,500,000 134,500,000
-----------------------------------------------------------------------------------------------------------------------
PSCO 7.125% DUE 06/01/06 FIRST COLLATERAL TRUST SR 3 125,000,000 125,000,000
-----------------------------------------------------------------------------------------------------------------------
PSCO 7.110% DUE 03/05/07 SECURED MTN SERIES B (FCTB) 100,000,000 100,000,000
-----------------------------------------------------------------------------------------------------------------------
PSCO 5.625% DUE 04/01/08 POLLUTION CTRL. REFUNDING REV BONDS SR G 18,000,000 18,000,000
(ADAMS CTY) (FMB)
-----------------------------------------------------------------------------------------------------------------------
PSCO 5.500% DUE 06/01/12 POLLUTION CTRL REFUNDING REV BONDS SR H 50,000,000 50,000,000
(MORGAN CTY) (FMB)
-----------------------------------------------------------------------------------------------------------------------
PSCO 5.875% DUE 04/01/14 POLLUTION CTRL REFUNDING REV BONDS SR G 61,500,000 61,500,000
(ADAMS CTY) (FMB)
-----------------------------------------------------------------------------------------------------------------------
PSCO 9.875% DUE 07/01/20 FIRST MORTGAGE BONDS 75,000,000 70,000,000
-----------------------------------------------------------------------------------------------------------------------
PSCO 8.750% DUE 03/01/22 FIRST MORTGAGE BONDS 147,840,000 147,840,000
-----------------------------------------------------------------------------------------------------------------------
PSCO 7.250% DUE 01/01/24 FIRST COLLATERAL TRUST SR 2 110,000,000 110,000,000
-----------------------------------------------------------------------------------------------------------------------
CHEYENNE 7.875% DUE 04/01/03 FIRST MORTGAGE BONDS 4,000,000 4,000,000
-----------------------------------------------------------------------------------------------------------------------
CHEYENNE ADJ RATE DUE 09/01/21 IND DVMT REV REFUNDING BONDS SR 1997-B 7,000,000 7,000,000
(LARAMIE CTY)
-----------------------------------------------------------------------------------------------------------------------
CHEYENNE 7.500% DUE 01/01/24 FIRST MORTGAGE BONDS (144A) 8,000,000 8,000,000
-----------------------------------------------------------------------------------------------------------------------
CHEYENNE ADJ RATE DUE 03/01/27 IND DVMT REV REFUNDING BONDS SR 1997-A 10,000,000 10,000,000
(LARAMIE CTY)
-----------------------------------------------------------------------------------------------------------------------
1480 WELTON INC 13.250% DUE 10/01/16 SECURED NOTES 33,345,000 29,958,727
-----------------------------------------------------------------------------------------------------------------------
COBEE NON-INTEREST BEARING CONSTRUCTION LOAN 157,936 157,936
-----------------------------------------------------------------------------------------------------------------------
NRG SAN DIEGO PROMISSORY NOTE DUE JUNE 25, 2003 2,700,000 1,435,912
-----------------------------------------------------------------------------------------------------------------------
PITTSBURGH DUE 2002-2004, 10.31-10.73% 9,700,000 5,850,000
THERMAL LP
-----------------------------------------------------------------------------------------------------------------------
SAN FRANCISCO DUE OCT. 5, 2004, 10.61% 8,800,000 5,216,424
THERMAL LP
-----------------------------------------------------------------------------------------------------------------------
NRG ENERGY, INC. SR. NOTES DUE FEB. 1, 2006 , 7.625% 125,000,000 125,000,000
-----------------------------------------------------------------------------------------------------------------------
NRG ENERGY, INC. SR. NOTES DUE JUNE 15, 2007, 7.50% 250,000,000 250,000,000
-----------------------------------------------------------------------------------------------------------------------
CAMAS POWER UNSECURED TERM LOAN DUE JUNE 30, 2007, 7.65% 57,512,000 15,333,868
BOILER LP
54
|
----------------------------------------------------------------------------------------------------------------------- CAMAS POWER REVENUE BONDS DUE AUG. 1, 2007, 4.65% INCL ABOVE 9,130,000 BOILER LP ----------------------------------------------------------------------------------------------------------------------- NEO VARIOUS DEBT DUE 2005-2008, 9.35% 27,953,329 27,953,329 ----------------------------------------------------------------------------------------------------------------------- NRG ENERGY, INC. SR. NOTES DUEJUNE 1, 2009, 7.50% 300,000,000 300,000,000 ----------------------------------------------------------------------------------------------------------------------- NRG ENERGY SR. SECURED NOTES DUE JUNE 15, 2013, 7.31% 84,000,000 67,349,998 CENTER, INC. ----------------------------------------------------------------------------------------------------------------------- NRG ENERGY, INC. SR. NOTES DUE NOV. 1, 2013, 8% 240,000,000 240,000,000 ----------------------------------------------------------------------------------------------------------------------- CROCKETT CORP. DUE DEC. 31, 2014, 8.13% 255,000,000 250,229,330 LLP ----------------------------------------------------------------------------------------------------------------------- STERLING TERM LOAN DUE JUNE 30, 2019, 7.86%-LIBOR + 1.31% L325,000,000 340,609,000 LUXEMBOURG #3 ----------------------------------------------------------------------------------------------------------------------- NRG NORTHEAST SR. BONDS DUE DEC. 15, 2004, 8.065% 320,000,000 320,000,000 GENERATING LLC ----------------------------------------------------------------------------------------------------------------------- NRG NORTHEAST SR. BONDS DUE JUNE 15, 2015, 8.842% 130,000,000 130,000,000 GENERATING LLC ----------------------------------------------------------------------------------------------------------------------- NRG NORTHEAST SR. BONDS DUE DEC. 15, 2024, 9.292% 300,000,000 300,000,000 GENERATING LLC ----------------------------------------------------------------------------------------------------------------------- NRG SOUTH SR. BONDS DUE MARCH 15, 2015, 8.962% 500,000,000 500,000,000 CENTRAL LLC ----------------------------------------------------------------------------------------------------------------------- NRG SOUTH SR. BONDS DUE SEPT. 15, 2024, 9.479% 300,000,000 300,000,000 CENTRAL LLC ----------------------------------------------------------------------------------------------------------------------- NRG ENERGY, INC. ROARS DUE MARCH 15, 2005, 7.97% L160,000,000 231,904,000 ----------------------------------------------------------------------------------------------------------------------- NSP-MINNESOTA 6.375% DUE 04/01/03 FIRST MORTGAGE BONDS 80,000,000 80,000,000 ----------------------------------------------------------------------------------------------------------------------- NSP-MINNESOTA 6.125% DUE 12/01/05 FIRST MORTGAGE BONDS 70,000,000 70,000,000 ----------------------------------------------------------------------------------------------------------------------- NSP-MINNESOTA 7.875% DUE 10/01/01 FIRST MORTGAGE BONDS 150,000,000 150,000,000 ----------------------------------------------------------------------------------------------------------------------- NSP-MINNESOTA 7.125% DUE 07/01/25 FIRST MORTGAGE BONDS 250,000,000 250,000,000 ----------------------------------------------------------------------------------------------------------------------- NSP-MINNESOTA 6.500% DUE 03/01/28 FIRST MORTGAGE BONDS 150,000,000 150,000,000 ----------------------------------------------------------------------------------------------------------------------- NSP-MINNESOTA 5.875% DUE 03/01/03 FIRST MORTGAGE BONDS 100,000,000 100,000,000 ----------------------------------------------------------------------------------------------------------------------- NSP-MINNESOTA ADJ RATE DUE 03/01/11 FMB POLLUTION CTRL SR J 5,450,000 5,450,000 ----------------------------------------------------------------------------------------------------------------------- NSP-MINNESOTA ADJ RATE DUE 03/01/11 FMB POLLUTION CTRL SR K 3,400,000 3,400,000 ----------------------------------------------------------------------------------------------------------------------- NSP-MINNESOTA ADJ RATE DUE 03/01/11 FMB POLLUTION CTRL SR L 4,850,000 4,850,000 ----------------------------------------------------------------------------------------------------------------------- NSP-MINNESOTA ADJ RATE DUE VARIOUS FMB RAMSEY/WASHINGTON RDF 15,170,000 15,170,000 ----------------------------------------------------------------------------------------------------------------------- NSP-MINNESOTA ADJ RATE DUE VARIOUS FMB ANOKA RDF 19,615,000 19,615,000 ----------------------------------------------------------------------------------------------------------------------- NSP-MINNESOTA ADJ RATE DUE 03/01/19 FMB POLLUTION CTRL SR N 27,900,000 27,900,000 ----------------------------------------------------------------------------------------------------------------------- NSP-MINNESOTA ADJ RATE DUE 09/01/19 FMB POLLUTION CTRL SR O 50,000,000 50,000,000 ----------------------------------------------------------------------------------------------------------------------- NSP-MINNESOTA ADJ RATE DUE 09/01/19 FMB POLLUTION CTRL SR P 50,000,000 50,000,000 ----------------------------------------------------------------------------------------------------------------------- NSP-MINNESOTA 5.750% DUE 12/01/00 FIRST MORTGAGE BONDS 100,000,000 100,000,000 ----------------------------------------------------------------------------------------------------------------------- NSP-W 7.250% DUE 02/28/23 FIRST MORTGAGE BONDS 110,000,000 110,000,000 ----------------------------------------------------------------------------------------------------------------------- NSP-W 5.750% DUE 09/30/03 FIRST MORTGAGE BONDS 40,000,000 40,000,000 ----------------------------------------------------------------------------------------------------------------------- NSP-W 7.375% DUE 11/30/26 FIRST MORTGAGE BONDS 65,000,000 65,000,000 ----------------------------------------------------------------------------------------------------------------------- ELOIGNE MORTGAGES ON AFFORDABLE HOUSING PROPERTIES 57,137,156 51,338,479 ----------------------------------------------------------------------------------------------------------------------- ENERGY MASTERS U.S. BANK LOAN 15,000,000 9,300,000 INT'L INC. ----------------------------------------------------------------------------------------------------------------------- |
CAPITAL STOCK
(b) FOR EACH CLASS OF CAPITAL STOCK INCLUDING CERTIFICATES OF BENEFICIAL INTEREST GIVE INFORMATION BOTH IN NUMBER OF SHARES AND IN DOLLAR AMOUNTS: (DO NOT INCLUDE ANY WARRANTS, OPTIONS OR OTHER SECURITIES REPORTED UNDER PARAGRAPH 8(d)).
As of Date: AUGUST 31, 2000
[BY PERMISSION OF THE STAFF, COLUMNS G THROUGH J HAVE BEEN OMITTED.]
Col. A Col. B Col. C Col. D Col. E Col. F
----------------------------------------------------------------------------------------------------------------------------------
Name of Issuer Title of Amount Amount Additional Amount
Issue Authorized Reserved for Amount issued
by Charter Options, Unissued
Warrants,
Conversions &
Other Rights
----------------------------------------------------------------------------------------------------------------------------------
----------------------------------------------------------------------------------------------------------------------------------
1480 WELTON, INC. COMMON - $100 PAR 10,000 0 3,500 6,500 $7,506,189.00
---------------------------------------------------------------------------------------------------------------------------------
B.L. ENGLAND OPERATIONS, INC. COMMON - $1 PAR 1,000 0 0 1,000 1,000.00
---------------------------------------------------------------------------------------------------------------------------------
BIOCONVERSION PARTNERS LP PARTNERSHIP - NO STOCK
---------------------------------------------------------------------------------------------------------------------------------
BLACK MOUNTAIN GAS COMPANY COMMON - $0.01 PAR 1,000,000 999,900 100 3,632,448.00
---------------------------------------------------------------------------------------------------------------------------------
BORGER FUNDING CORP. COMMON - $.01 PAR 100 0 0 100 0.00
---------------------------------------------------------------------------------------------------------------------------------
BRIMSDOWN POWER LTD. ORDINARY - L1 PAR 10,000 0 0 10,000 57,823
---------------------------------------------------------------------------------------------------------------------------------
CADENCE NETWORK, INC PREFERRED B $.01 PAR 7,500,000 0 7,500,000 0 0.00
---------------------------------------------------------------------------------------------------------------------------------
CADENCE NETWORK, INC. PREFERRED A $.01 PAR 10,125,000 0 3,375,000 6,750,000 0.00
---------------------------------------------------------------------------------------------------------------------------------
CADENCE NETWORK, INC. COMMON - $.01 PAR 22,500,000 0 22,500,000 0 0.00
---------------------------------------------------------------------------------------------------------------------------------
CAMAS POWER BOILER LTD. PARTNERSHIP PARTNERSHIP - NO STOCK
---------------------------------------------------------------------------------------------------------------------------------
CAMAS POWER BOILER, INC. COMMON - NO PAR 50,000 0 49,440 10 79,372
---------------------------------------------------------------------------------------------------------------------------------
CHEYENNE LIGHT FUEL & POWER CO. COMMON - $.01 PAR 100 0 0 100 3,044,155.00
---------------------------------------------------------------------------------------------------------------------------------
CHEYENNE LIGHT FUEL & POWER CO. PREFERRED $100 PAR 1,000,000 0 1,000,000 0 0.00
---------------------------------------------------------------------------------------------------------------------------------
CHIPPEWA AND FLAMBEAU IMPROVEMENT COMMON - $76 PAR 11,000 0 11,000 549,325,60
COMPANY
---------------------------------------------------------------------------------------------------------------------------------
CLEARWATER INVESTMENTS, INC. COMMON - $1 PAR 9,000 8,900 100 150,000.00
---------------------------------------------------------------------------------------------------------------------------------
COBEE HOLDINGS, INC. COMMON $1 PAR 1,000 0 0 1,000 78,233,176
---------------------------------------------------------------------------------------------------------------------------------
COGENERATION CAPITAL ASSOCIATES INC. COMMON $1 PAR 15,000,000 0 13,500,000 1,500,000 16,226.00
---------------------------------------------------------------------------------------------------------------------------------
COGENERATION CAPITAL ASSOCIATES INC. PREFERRED - $1 PAR 475,000 0 475,000 0 0.00
---------------------------------------------------------------------------------------------------------------------------------
COGENERATION CORPORATION OF AMERICA COMMON-$.01 PAR 50,000,000 0 - 3,105,512 11,728,243
---------------------------------------------------------------------------------------------------------------------------------
COGENERATION CORPORATION OF AMERICA PREFERRED-$.01 PAR 20,000,000 0 0 0 INCL W/COMMON
---------------------------------------------------------------------------------------------------------------------------------
COLLINSVILLE OPERATIONS PTY LTD ORDINARY-NO PAR - - - 2 752
---------------------------------------------------------------------------------------------------------------------------------
COLORADO NATURAL FUELS LLC (SOLD) 3,181,772.00
---------------------------------------------------------------------------------------------------------------------------------
COMPANIA BOLIVIANA DE ENERGIA ORDINARY-NO PAR - - - 4,202,575 62,646,186
ELECTRICA S.A.
---------------------------------------------------------------------------------------------------------------------------------
COMPANIA ELECTRICA CENTRAL BULO COMMON-100 BS 480,000 - - 480,000 15,858,060
BULO S.A.
---------------------------------------------------------------------------------------------------------------------------------
CONITI HOLDING B.V. ORDINARY NLG 1 150,000 - 110,000 40,000 4,851,587
---------------------------------------------------------------------------------------------------------------------------------
CONITI HOLDING B.V. PREFERENCE SHARES NLG1 50,000 - 40,000 10,000 -0-
---------------------------------------------------------------------------------------------------------------------------------
CONSOLIDATED EXTENSION CANAL CO. COMMON - $50 PAR 3,000 0 0 0 1.00
---------------------------------------------------------------------------------------------------------------------------------
CROATIA POWER GROUP ORDINARY -$1 PAR 50,000 - 49,900 100 454,786
---------------------------------------------------------------------------------------------------------------------------------
56
|
---------------------------------------------------------------------------------------------------------------------------------
DEEPWATER OPERATIONS INC. COMMON - $1 PAR 1,000 - - 1,000 -0-
---------------------------------------------------------------------------------------------------------------------------------
DRAGON ENERGY CORP. COMMON - $1 PAR 50,000 0 0 0 0.00
---------------------------------------------------------------------------------------------------------------------------------
E PRIME COMMON - $5 PAR 20,000,000 0 16,192,281 3,807,719 37,198,605.48
---------------------------------------------------------------------------------------------------------------------------------
E PRIME (BELIZE) LTD. COMMON - $5 PAR 2,000 0 0 0 0.00
---------------------------------------------------------------------------------------------------------------------------------
E PRIME ENERGY MARKETING, INC. COMMON - NO PAR 1,000 0 0 1,000 6,904,741.27
---------------------------------------------------------------------------------------------------------------------------------
E PRIME FLORIDA, INC. COMMON $.01 PAR 1,000 0 900 100 3,024,641.23
---------------------------------------------------------------------------------------------------------------------------------
E PRIME GEORGIA, INC. COMMON $.01 PAR 10,000 0 9,900 100 1,042,010.38
---------------------------------------------------------------------------------------------------------------------------------
ECK GENERATING, S.R.O. ORDINARY-NO PAR - - - 100 1,390,889
---------------------------------------------------------------------------------------------------------------------------------
ELK RIVER RESOURCE RECOVERY, INC. COMMON- $1 PAR 1,000 - - 1,000 -0-
---------------------------------------------------------------------------------------------------------------------------------
ELOIGNE COMPANY COMMON - NO PAR 1,000 0 180 820 29,800,000.00
---------------------------------------------------------------------------------------------------------------------------------
ENERGETICKE CENTRUM KLADNO, S.R.O. COMMON - NO PAR 906,794,000 - - 906,794,000 7,705,313
---------------------------------------------------------------------------------------------------------------------------------
ENERGY DEVELOPMENTS LIMITED COMMON-$.25 400,000,000 - 307,075,286 92,924,714 48,149,429
---------------------------------------------------------------------------------------------------------------------------------
ENERGY DEVELOPMENTS LIMITED PREFERRED 16,800,000 - - 16,800,000 -0-
---------------------------------------------------------------------------------------------------------------------------------
ENERGY MASTERS INTERNATIONAL, INC. COMMON - NO PAR 5,000 0 3,935 1,065 68,336,027.73
---------------------------------------------------------------------------------------------------------------------------------
ENERGY NATIONAL, INC. COMMON - NO PAR 450,000 - 189,640 260,360 40,672,608
---------------------------------------------------------------------------------------------------------------------------------
ENFIELD ENERGY CENTRE LIMITED ORDINARY 10,000 - - 10,000 8,939,422
---------------------------------------------------------------------------------------------------------------------------------
ENFIELD HOLDINGS B.V. COMMON - NLG 100 2,000 - 159,800 40,200 8,939,422
---------------------------------------------------------------------------------------------------------------------------------
ENFIELD OPERATIONS (UK) LIMITED ORDINARY-L1 PAR 1,000 - 999 1 245
---------------------------------------------------------------------------------------------------------------------------------
ENIFUND, INC. COMMON - NO PAR 50,000 - 49,800 200 200,000
---------------------------------------------------------------------------------------------------------------------------------
ENIGEN, INC. COMMON - NO PAR 50,000 - 41,000 9,000 1,011,000
---------------------------------------------------------------------------------------------------------------------------------
ESOCO CROCKETT, INC. COMMON - $1 PAR 50,000 - 41,990 10 10,599,945
---------------------------------------------------------------------------------------------------------------------------------
ESOCO FAYETTEVILLE, INC. COMMON - $1 PAR 1,000 - 950 50 50,000
---------------------------------------------------------------------------------------------------------------------------------
ESOCO MOLOKAI, INC. COMMON- NO PAR 50,000 - 49,900 100 -0-
---------------------------------------------------------------------------------------------------------------------------------
ESOCO ORRINGTON, INC. COMMON - NO PAR 50,000 - 49,900 100 2,128,617
---------------------------------------------------------------------------------------------------------------------------------
ESOCO SOLEDAD, INC. COMMON- NO PAR 1,000 - 990 100 -0-
---------------------------------------------------------------------------------------------------------------------------------
ESOCO WILSON, INC. COMMON - $1 PAR 1,000 - 950 50 50,000
---------------------------------------------------------------------------------------------------------------------------------
ESOCO, INC. COMMON - NO PAR 50,000 - 49,900 100 2,229,616
---------------------------------------------------------------------------------------------------------------------------------
EUROPEAN GENERATING S.A.R.L. COMMON 12,500 - - 12,500 8,060
---------------------------------------------------------------------------------------------------------------------------------
FIRST MIDWEST AUTO PARK, INC. COMMON - $1 PAR 10,000 0 8,710 1,290 4,691,623.58
---------------------------------------------------------------------------------------------------------------------------------
FLINDERS COAL PTY LTD ORDINARY- NO PAR - - - 2 -0-
---------------------------------------------------------------------------------------------------------------------------------
FLINDERS LABUAN (NO. 1) LTD. ORDINARY-AUD 1 100,000 - 95,000 5,000 -0-
---------------------------------------------------------------------------------------------------------------------------------
FLINDERS LABUAN (NO. 1) LTD. REDEEMABLE 100,000 - 35,000 45,000 -0-
PREMIUM -AUD 1,184.43
---------------------------------------------------------------------------------------------------------------------------------
FLINDERS LABUAN (NO. 2) LTD. ORDINARY -AUD 1 100,000 - 95,000 5,000 -0-
---------------------------------------------------------------------------------------------------------------------------------
FLINDERS LABUAN (NO. 2) LTD. REDEEMABLE 100,000 - 35,000 45,000 -0-
PREMIUM -$394.14
---------------------------------------------------------------------------------------------------------------------------------
FLINDERS OSBORNE TRADING PTY LTD ORDINARY-NO PAR 100 - - 100 AUD 100
---------------------------------------------------------------------------------------------------------------------------------
FLINDERS POWER FINANCE PTY LTD ORDINARY-NO PAR 100 - - 100 AUD 100
---------------------------------------------------------------------------------------------------------------------------------
FUELCO COMMON - NO PAR 250,000 0 91,000 159,000 41,250,000.00
---------------------------------------------------------------------------------------------------------------------------------
GRAYSTONE CORPORATION COMMON - NO PAR 300,000 - 298,000 2,000 -0-
---------------------------------------------------------------------------------------------------------------------------------
GREEN AND CLEAR LAKES CO. COMMON - $10 PAR 2,500 0 0 2,500 25,000.00
---------------------------------------------------------------------------------------------------------------------------------
GUNWALE B.V. COMMON -NLG 100 2,000 - 40 1060 113,286
---------------------------------------------------------------------------------------------------------------------------------
HILLCREST DITCH AND RESERVOIR CO. COMMON - $250 PAR 180 0 40 140 1.00
---------------------------------------------------------------------------------------------------------------------------------
INDIAN RIVER OPERATIONS INC. COMMON - $1 PAR 1,000 - - 1,000 -0-
---------------------------------------------------------------------------------------------------------------------------------
INTERENERGY LIMITED ORDINARY- IRL1, PAR 1,000 - - 1,000 813
---------------------------------------------------------------------------------------------------------------------------------
INVERSIONES BULO BULO S.A. COMMON - 100 BS 480,000 - - 480,000 15,858,060
---------------------------------------------------------------------------------------------------------------------------------
KANEL KANGAL ELEKTRIK LIMITED COMMON-TL 25,000,000 2800 - - 2,800 71,000
SIRKETI
---------------------------------------------------------------------------------------------------------------------------------
KES MONTEGO, INC. COMMON - $.01 PAR 1,000 0 900 100 0.00
---------------------------------------------------------------------------------------------------------------------------------
KIKSIS B.V. COMMON - NLG 100 2,000 - 1,600 400 21,328
---------------------------------------------------------------------------------------------------------------------------------
57
|
---------------------------------------------------------------------------------------------------------------------------------
KILLINGHOLME GENERATION LIMITED ORDINARY-L1 400,000 - 389,999 10,001 131,156,539
---------------------------------------------------------------------------------------------------------------------------------
KILLINGHOLME HOLDINGS LIMITED ORDINARY-L1 400,000 - 399,998 2 131,156,542
---------------------------------------------------------------------------------------------------------------------------------
KILLINGHOLME POWER LIMITED "A" ORDINARY SHARES-L1 74 - - 74 664,181,568
"B" ORDINARY SHARES-L1 26 26
PREFERENCE SHARES-L1 410,500,000 410,500,000
---------------------------------------------------------------------------------------------------------------------------------
KLADNO POWER (NO. 1) B.V. COMMON- NLG 100 2,000 - - 400 28,852
---------------------------------------------------------------------------------------------------------------------------------
KLADNO POWER (NO. 2) B.V. COMMON -NLG 100 2,000 - - 400 23,264
---------------------------------------------------------------------------------------------------------------------------------
KRAFTWERK SCHKOPAU PARTNERSHIP SHARE-NO 50,000 - - 50,000 10,972,759
BETRIEBSGESELLSCHAFT MBH PAR
---------------------------------------------------------------------------------------------------------------------------------
KUSEL KUTAHYA SEYITOMER ELEKTRIK ORDINARY-TL 25,000 4,000 - - 4,000 53,272
LIMITED SIRKETI
---------------------------------------------------------------------------------------------------------------------------------
LAMBIQUE BEHEER B.V. COMMON- NLG 100 2,000 - 1,600 400 21,336
---------------------------------------------------------------------------------------------------------------------------------
LANGAGE ENERGY PARK LIMITED ORDINARY - L1 100 - 99 1 -0-
---------------------------------------------------------------------------------------------------------------------------------
LE PAZ INCORPORATED COMMON - NO PAR 300,000 - 298,400 1,600 2,009,500
---------------------------------------------------------------------------------------------------------------------------------
LOS ANIMAS CONSOLIDATED CANAL CO. COMMON - $100 PAR 620 0 189.671 430.329 1.00
---------------------------------------------------------------------------------------------------------------------------------
LOY YANG POWER MANAGEMENT PTY LTD COMMON - NO PAR 1,000 - - 10,000 186,789,224
---------------------------------------------------------------------------------------------------------------------------------
LOY YANG POWER PROJECTS PTY LTD COMMON - NO PAR 1,000 - - 10,000 -0-
---------------------------------------------------------------------------------------------------------------------------------
MATRA POWERPLANT HOLDING B.V. COMMON - NLG 100 2,000 - 1,600 400 1,390,889
---------------------------------------------------------------------------------------------------------------------------------
MIBRAG B.V. COMMON - NLG 1 100,000,000 - - 5,374
---------------------------------------------------------------------------------------------------------------------------------
NATROGAS, INCORPORATED COMMON - $1 PAR 25,000 0 24,900 100 (983,027.00)
---------------------------------------------------------------------------------------------------------------------------------
NCE COMMUNICATIONS COMMON - NO PAR 1,000 0 900 100 9,219,194.00
---------------------------------------------------------------------------------------------------------------------------------
NEO CORPORATION COMMON - $1 PAR 1,000 - - 1,000 13,350,000
---------------------------------------------------------------------------------------------------------------------------------
NEO LANDFILL GAS HOLDINGS INC. COMMON - $1 PAR 1,000 - - 1,000 24,052,000
---------------------------------------------------------------------------------------------------------------------------------
NEO LANDFILL GAS INC. COMMON - $1 PAR 1,000 - - 1,000 65,508,733
---------------------------------------------------------------------------------------------------------------------------------
NEW CENTURY CADENCE COMMON - NO PAR 1,000 0 0 1,000 3,653,925.00
---------------------------------------------------------------------------------------------------------------------------------
NEW CENTURY ENERGIES, INC. PREFERRED 20,000,000 0 20,000,000 0 0.00
---------------------------------------------------------------------------------------------------------------------------------
NORTH AMERICA ENERGY, INC. COMMON - $1 PAR 25,000 0 24,900 100 0.00
---------------------------------------------------------------------------------------------------------------------------------
NORTHBROOK ACQUISITION CORP. COMMON - $1 PAR 1,000 - - 1,000 9,847,201
---------------------------------------------------------------------------------------------------------------------------------
NORTHERN POWER WISCONSIN CORP. PREFERRED - $0.01 PAR 1,000 0 1,000 0 0.00
---------------------------------------------------------------------------------------------------------------------------------
NORTHERN POWER WISCONSIN CORP. COMMON - $0.01 PAR 8,000 0 8,000 0 0.00
---------------------------------------------------------------------------------------------------------------------------------
NORTHERN STATES POWER COMPANY COMMON - $0.01 PAR 5,000,000 0 4,000,000 1,000,000 15,966,134.25
(MINNESOTA)
---------------------------------------------------------------------------------------------------------------------------------
NORTHERN STATES POWER COMPANY COMMON - $100 PAR 1,000,000 0 67,000 933,000 126,717,651.00
(WISCONSIN)
---------------------------------------------------------------------------------------------------------------------------------
NR(GIBRALTAR) ORDINARY - L1 100 - - 100 161
---------------------------------------------------------------------------------------------------------------------------------
NRG AFFILIATE SERVICES INC. COMMON - $1 PAR 1,000 - - 1,000 -0-
---------------------------------------------------------------------------------------------------------------------------------
NRG ARTHUR KILL OPERATIONS INC. COMMON - $1 PAR 1,000 - - 1,000 -0-
---------------------------------------------------------------------------------------------------------------------------------
NRG ASIA-PACIFIC, LTD. COMMON - $1 PAR 1,000 - - 1,000 1,000
---------------------------------------------------------------------------------------------------------------------------------
NRG ASTORIA GAS TURBINE OPERATIONS COMMON - $1 PAR 1,000 - - 1,000 -0-
INC.
---------------------------------------------------------------------------------------------------------------------------------
NRG CABRILLO POWER OPERATIONS INC. COMMON - $1 PAR 1,000 - - 1,000 1,000
---------------------------------------------------------------------------------------------------------------------------------
NRG CADILLAC INC. COMMON - $1 PAR 1,000 - - 1,000 2,298,536
---------------------------------------------------------------------------------------------------------------------------------
NRG CADILLAC OPERATIONS INC. COMMON - $1 PAR 1,000 - - 1,000 1,000
---------------------------------------------------------------------------------------------------------------------------------
NRG CAYMANS COMPANY ORDINARY - $1 PAR 50,000 - 49,953 46.49 454,876
---------------------------------------------------------------------------------------------------------------------------------
NRG CAYMANS-C ORDINARY - $1 PAR 50,000 - 22,502 27,498 9,018,296
---------------------------------------------------------------------------------------------------------------------------------
NRG CAYMANS-P ORDINARY - $1 PAR 50,000 - 22,502 27,498 17,897,997
---------------------------------------------------------------------------------------------------------------------------------
NRG COLLINSVILLE OPERATING SERVICES ORDINARY - NO PAR 1,000 - - 1,000 752
PTY LTD
---------------------------------------------------------------------------------------------------------------------------------
58
|
-----------------------------------------------------------------------------------------------------------------------------------
NRG CONNECTICUT AFFILIATE SERVICES COMMON - $1 PAR 1,000 - - 1,000 1,000
INC.
-----------------------------------------------------------------------------------------------------------------------------------
NRG DEVELOPMENT COMPANY INC. COMMON - $1 PAR 1,000 - 1,000 - -0-
-----------------------------------------------------------------------------------------------------------------------------------
NRG DEVON OPERATIONS INC. COMMON - $1 PAR 1,000 - - 1,000 1,000
-----------------------------------------------------------------------------------------------------------------------------------
NRG DUNKIRK OPERATIONS INC. COMMON - $1 PAR 1,000 - - 1,000 1,000
-----------------------------------------------------------------------------------------------------------------------------------
NRG EL SEGUNDO OPERATIONS INC. COMMON - $1 PAR 1,000 - - 1,000 1,000
-----------------------------------------------------------------------------------------------------------------------------------
NRG ENERGETICKY PROVOZ, S.R.O. ORDINARY - NO PAR 100,000 - 99,900 100 3,346
-----------------------------------------------------------------------------------------------------------------------------------
NRG ENERGY CENTER HARRISBURG INC. COMMON - $1 PAR 1,000 - - 1,000 3,076,761
-----------------------------------------------------------------------------------------------------------------------------------
NRG ENERGY CENTER PAXTON INC. COMMON - $1 PAR 1,000 - - 1,000 8,615,408
-----------------------------------------------------------------------------------------------------------------------------------
NRG ENERGY CZ, S.R.O. ORDINARY - NO PAR 100,000 - - 100,000 3,690
-----------------------------------------------------------------------------------------------------------------------------------
NRG ENERGY DEVELOPMENT GMBH ORDINARY - NO PAR 50,000 - 49,999 1 32,010
-----------------------------------------------------------------------------------------------------------------------------------
NRG ENERGY JACKSON VALLEY I, INC. COMMON - NO PAR 10,000 - 9,000 1,000 101,000
-----------------------------------------------------------------------------------------------------------------------------------
NRG ENERGY JACKSON VALLEY II, INC. COMMON - NO PAR 10,000 - 9,000 1,000 2,401,000
-----------------------------------------------------------------------------------------------------------------------------------
NRG ENERGY LTD. ORDINARY - L1 1,000 - - 1,000 202,813
-----------------------------------------------------------------------------------------------------------------------------------
NRG ENERGY PL SP. Z O.O. ORDINARY - 100PLN 40 - - 40 895
-----------------------------------------------------------------------------------------------------------------------------------
NRG ENERGY, INC. COMMON CL A (HELD BY 250,000,000 0 102,395,000 147,605,000 1,235,443,055.08
THE CO.)
-----------------------------------------------------------------------------------------------------------------------------------
NRG ENERGY, INC. COMMON (HELD BY THE 550,000,000 0 517,604,000 32,396,000 INCL ABOVE
PUBLIC)
-----------------------------------------------------------------------------------------------------------------------------------
NRG FLINDERS OPERATING SERVICES PTY ORDINARY - NO PAR 100 - - -0-
LTD
-----------------------------------------------------------------------------------------------------------------------------------
NRG GLADSTONE OPERATING SERVICES ORDINARY - NO PAR 1,000 - - 1,000 741
PTY LTD
-----------------------------------------------------------------------------------------------------------------------------------
NRG GLADSTONE SUPERANNUATION PTY LTD ORDINARY - NO PAR 2 - 1 1 741
-----------------------------------------------------------------------------------------------------------------------------------
NRG HUNTLEY OPERATIONS INC. COMMON - $1 PAR 1,000 - - 1,000 1,000
-----------------------------------------------------------------------------------------------------------------------------------
NRG INTERNATIONAL DEVELOPMENT INC. COMMON - $1 PAR 1,000 - - 1,000 1,000
-----------------------------------------------------------------------------------------------------------------------------------
NRG INTERNATIONAL II INC. COMMON - $1 PAR 1,000 - - 1,000 1,000
-----------------------------------------------------------------------------------------------------------------------------------
NRG INTERNATIONAL SERVICES COMPANY COMMON - $1 PAR 1,000 - - 1,000 1,000
-----------------------------------------------------------------------------------------------------------------------------------
NRG INTERNATIONAL, INC. COMMON - $1 PAR 1,000 - - 1,000 783,789,170
-----------------------------------------------------------------------------------------------------------------------------------
NRG LAKEFIELD INC. COMMON - $1 PAR 1,000 - 1,000 - -0-
-----------------------------------------------------------------------------------------------------------------------------------
NRG LATIN AMERICA INC. COMMON - $1 PAR 1,000 - - 1,000 1,000
-----------------------------------------------------------------------------------------------------------------------------------
NRG MEXTRANS INC. COMMON - $1 PAR 1,000 - 1,000 - -0-
-----------------------------------------------------------------------------------------------------------------------------------
NRG MIDDLETOWN OPERATIONS INC. COMMON - $1 PAR 1,000 - - 1,000 1,000
-----------------------------------------------------------------------------------------------------------------------------------
NRG MONTVILLE OPERATIONS INC. COMMON - $1 PAR 1,000 - - 1,000 1,000
-----------------------------------------------------------------------------------------------------------------------------------
NRG NORTHEAST AFFILIATE SERVICES COMMON - $1 PAR 1,000 - 1,000 - -0-
INC.
-----------------------------------------------------------------------------------------------------------------------------------
NRG NORWALK HARBOR OPERATIONS INC. COMMON - $1 PAR 1,000 - - 1,000 1,000
-----------------------------------------------------------------------------------------------------------------------------------
NRG OPERATING SERVICES, INC. COMMON - $1 PAR 1,000 - - 1,000 1,000
-----------------------------------------------------------------------------------------------------------------------------------
NRG OSWEGO HARBOR POWER OPERATIONS COMMON - $1 PAR 1,000 - - 1,000 1,000
INC.
-----------------------------------------------------------------------------------------------------------------------------------
NRG PACGEN INC. COMMON - $1 PAR 1,000 - 1,000 - -0-
-----------------------------------------------------------------------------------------------------------------------------------
NRG PITTSBURGH THERMAL INC. COMMON - $0.01 PAR 1,000 - - 1,000 6,928,257
-----------------------------------------------------------------------------------------------------------------------------------
NRG POWER MARKETING INC. COMMON - $1 PAR 1,000 - 1,000 - -0-
-----------------------------------------------------------------------------------------------------------------------------------
NRG SAN FRANCISCO THERMAL INC. COMMON - $1 PAR 1,000 - - 1,000 15,491,000
-----------------------------------------------------------------------------------------------------------------------------------
NRG SERVICES CORPORATION COMMON-$1 PAR 1,000 - 1,000 - -0-
-----------------------------------------------------------------------------------------------------------------------------------
NRG SUNNYSIDE OPERATIONS GP INC. COMMON - $1 PAR 1,000 - - 1,000 1,000
-----------------------------------------------------------------------------------------------------------------------------------
NRG SUNNYSIDE OPERATIONS LP INC. COMMON - $1 PAR 1,000 - - 1,000 1,000
-----------------------------------------------------------------------------------------------------------------------------------
NRG THERMAL CORPORATION COMMON $1 PAR 1,000 - - 1,000 1,000
-----------------------------------------------------------------------------------------------------------------------------------
NRG THERMAL SERVICES INC. COMMON $1 PAR 1,000 - 1,000 - -0-
-----------------------------------------------------------------------------------------------------------------------------------
NRG VICTORIA I PTY LTD ORDINARY-NO PAR - - - 16,679,930 22,906,683
-----------------------------------------------------------------------------------------------------------------------------------
NRG VICTORIA II PTY LTD ORDINARY-NO PAR - - - 12 -0-
-----------------------------------------------------------------------------------------------------------------------------------
NRG VICTORIA III PTY LTD ORDINARY-NO PAR - - - 27,206,172 48,775,952
-----------------------------------------------------------------------------------------------------------------------------------
NRG VICTORIA III PTY LTD ORDINARY CLASS B - - - 23,844,828 -0-
-----------------------------------------------------------------------------------------------------------------------------------
NRG WEST COAST INC. COMMON - $1 PAR 1,000 - - 1,000 134,494,241
-----------------------------------------------------------------------------------------------------------------------------------
NRG WESTERN AFFILIATE SERVICES INC. COMMON - $1 PAR 1,000 - 1,000 - -0-
-----------------------------------------------------------------------------------------------------------------------------------
59
|
----------------------------------------------------------------------------------------------------------------------------------
NRGENERATING (GIBRALTAR) ORDINARY- L1 PAR 100 - - 100 173
----------------------------------------------------------------------------------------------------------------------------------
NRGENERATING ENERGY TRADING LTD. ORDINARY-L1 PAR 400,000 - 399,998 2 3
----------------------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 1) B.V. COMMON- NLG 100 2,000 - 1,600 400 3,991,499
----------------------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 11) B.V. COMMON -NLG 100 2,000 - 1,600 400 21,956
----------------------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 13) B.V. COMMON -NLG 100 2,000 - 1,600 400 19,204
----------------------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 14) B.V. COMMON -NLG 100 2,000 - 1,600 400 19,204
----------------------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 15) B.V. COMMON -NLG 100 2,000 - 1,600 400 287,466,473
----------------------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 16) B.V. COMMON -NLG 100 2,000 - 1,600 400 19,204
----------------------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 17) B.V. COMMON -NLG 100 2,000 - 1,600 400 72,476
----------------------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 18) B.V. COMMON -NLG 100 2,000 - 1,600 400 19,903
----------------------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 19) B.V. COMMON -NLG 100 2,000 - 1,600 400 17,776
----------------------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 2) GMBH QUOTA-NO PAR 20 - - 20 -0-
----------------------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 20) B.V. COMMON -NLG 100 2,000 - 1,600 400 17,776
----------------------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 21) B.V. COMMON -NLG 100 2,000 - 1,600 400 17,660
----------------------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 22) B.V. COMMON -NLG 100 2,000 - 1,600 400 17,660
----------------------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 23) B.V. COMMON -NLG 100 2,000 - 1,600 400 17,660
----------------------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 3) B.V. COMMON -NLG 100 2,000 - 1,600 400 25,948
----------------------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 4) B.V. COMMON -NLG 100 2,000 - 1,600 400 150,893,170
----------------------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 5) B.V. COMMON -NLG 100 2,000 - 1,600 400 25,351
----------------------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 6) B.V. COMMON -NLG 100 2,000 - 1,600 400 25,400
----------------------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 7) B.V. COMMON -NLG 100 2,000 - 1,600 400 23,945
----------------------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 8) B.V. COMMON -NLG 100 2,000 - 1,600 400 23,945
----------------------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 9) B.V. COMMON -NLG 100 2,000 - 1,600 400 23,945
----------------------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS GMBH ORDINARY-NO PAR 100,000 - 99,998 2 27,499,315
----------------------------------------------------------------------------------------------------------------------------------
NRGENERATING INTERNATIONAL B.V. COMMON -NLG 1,000 200 - 159 41 200,221,988
----------------------------------------------------------------------------------------------------------------------------------
NRGENERATING LUXEMBOURG (NO. 1) ORDINARY-AUD 70 300 - - 300 11,744
S.A.R.L.
----------------------------------------------------------------------------------------------------------------------------------
NRGENERATING LUXEMBOURG (NO. 2) ORDINARY-AUD 70 300 - - 300 11,744
S.A.R.L.
----------------------------------------------------------------------------------------------------------------------------------
NRGENERATING RUPALI B.V. COMMON -NLG 100 2,000 - 1,600 400 24,896
----------------------------------------------------------------------------------------------------------------------------------
NRGENERATING, LTD. ORDINARY -L1 PAR 400,000 - 399,998 2 3
----------------------------------------------------------------------------------------------------------------------------------
NSP ENERGY MARKETING, INC. COMMON - NO PAR 1,000 0 1,000 0 0.00
----------------------------------------------------------------------------------------------------------------------------------
NSP LANDS, INC. COMMON - $1 PAR 9,000 0 8,900 100 50,000.00
----------------------------------------------------------------------------------------------------------------------------------
NSP NUCLEAR CORPORATION COMMON - $.01 PAR 10,000 0 9,960 40 1,740,859.48
----------------------------------------------------------------------------------------------------------------------------------
O BRIEN BIOGAS (MAZZARO), INC. COMMON - $1 PAR 1,000 - - 1,000 239,873
----------------------------------------------------------------------------------------------------------------------------------
O BRIEN COGENERATION, INC. II COMMON - NO PAR 1,000 - 900 100 500,000
----------------------------------------------------------------------------------------------------------------------------------
OKEECHOBEE POWER I, INC. COMMON - $0.01 PAR 1,000 - 990 10 1,000
----------------------------------------------------------------------------------------------------------------------------------
OKEECHOBEE POWER II, INC. COMMON - $0.01 PAR 1,000 - 990 10 1,000
----------------------------------------------------------------------------------------------------------------------------------
OKEECHOBEE POWER III, INC. COMMON - $0.01 PAR 1,000 - 990 10 1,000
----------------------------------------------------------------------------------------------------------------------------------
ONSITE ENERGY, INC. COMMON - $1 PAR 1,000 - 900 100 11,995,293
----------------------------------------------------------------------------------------------------------------------------------
ONSITE FUNDING CORPORATION COMMON - NO PAR 1,000 - 900 100 3,320,375
----------------------------------------------------------------------------------------------------------------------------------
ONSITE MARIANAS CORPORATION COMMON - $1 PAR 1,000 - 1,000 - -0-
----------------------------------------------------------------------------------------------------------------------------------
ONSITE SOLEDAD, INC. COMMON - $1 PAR 1,000 - 900 100 -0-
----------------------------------------------------------------------------------------------------------------------------------
OU NRG ENERGY EST ORDINARY-NO PAR 40,000 - - 40,000 2,431
----------------------------------------------------------------------------------------------------------------------------------
PACIFIC CROCKETT ENERGY, INC. COMMON - NO PAR 50,000 - 49,500 500 4,991,376
----------------------------------------------------------------------------------------------------------------------------------
PACIFIC CROCKETT HOLDINGS, INC. COMMON - NO PAR 50,000 - 49,900 100 4,991,376
----------------------------------------------------------------------------------------------------------------------------------
PACIFIC GENERATION COMPANY COMMON - NO PAR 500 - 400 100 148,632,000
----------------------------------------------------------------------------------------------------------------------------------
PACIFIC GENERATION DEVELOPMENT COMMON - $1 PAR 50,000 - 49,900 100 100,000
COMPANY
----------------------------------------------------------------------------------------------------------------------------------
PACIFIC GENERATION HOLDINGS COMPANY COMMON - $1 PAR 50,000 - 49,900 100 26,142,986
----------------------------------------------------------------------------------------------------------------------------------
PACIFIC GENERATION RESOURCES COMPANY COMMON - $1 PAR 50,000 - 49,900 100 6,899,394
----------------------------------------------------------------------------------------------------------------------------------
60
|
----------------------------------------------------------------------------------------------------------------------------------
PACIFIC KINGSTON ENERGY, INC. COMMON - NO PAR UNLIMITED - - 100 8,450,000
----------------------------------------------------------------------------------------------------------------------------------
PACIFIC ORRINGTON ENERGY, INC. COMMON - $1 PAR 50,000 - 49,990 100 135,494
----------------------------------------------------------------------------------------------------------------------------------
PACIFIC RECYCLING ENERGY, INC. COMMON - NO PAR 500 - 300 200 200,000
----------------------------------------------------------------------------------------------------------------------------------
PACIFIC-MT. POSO CORPORATION COMMON - $1 PAR 1,000 - 900 100 15,315,469
----------------------------------------------------------------------------------------------------------------------------------
PLANERGY (DELAWARE) INC. COMMON - $1 PAR 1,000 0 0 1,000 0.00
----------------------------------------------------------------------------------------------------------------------------------
PLANERGY ENERGY SERVICES CORP. COMMON - $1 PAR 3,000 0 2,075 25 (827,989.00)
----------------------------------------------------------------------------------------------------------------------------------
PLANERGY GROUP COMMON - $.01 PAR 1,000,000 0 999,000 1,000 14,173,786.00
----------------------------------------------------------------------------------------------------------------------------------
PLANERGY INC. COMMON - $1 PAR 10,000 0 9,125 875 1,930,377.00
----------------------------------------------------------------------------------------------------------------------------------
PLANERGY LTD COMMON 100 0 0 100 0.00
----------------------------------------------------------------------------------------------------------------------------------
PLANERGY NEW YORK INC. COMMON - $.01 PAR 10,000 0 9,125 875 0.00
----------------------------------------------------------------------------------------------------------------------------------
PLANERGY POWER II, INC. COMMON - $.01 PAR 1,000 0 0 1,000 0.00
----------------------------------------------------------------------------------------------------------------------------------
PLANERGY SERVICES OF CALIFORNIA INC. COMMON NO PAR 15,000 0 0 15,000 490,613.00
----------------------------------------------------------------------------------------------------------------------------------
PLANERGY SERVICES OF HOUSTON, INC. COMMON - $1 PAR 3,000 0 2,500 500 322,208.00
----------------------------------------------------------------------------------------------------------------------------------
PLANERGY SERVICES OF TEXAS, INC. COMMON - $1 PAR 3,000 0 2,500 500 (221,945.00)
----------------------------------------------------------------------------------------------------------------------------------
PLANERGY SERVICES USA INC. COMMON - $1 PAR 3,000 0 0 3,000 48,519.00
----------------------------------------------------------------------------------------------------------------------------------
PLANERGY SERVICES, INC. COMMON - $.10 PAR 30,000,000 0 29,999,000 1,000 5,086,379.00
----------------------------------------------------------------------------------------------------------------------------------
PLANERGY SERVICES, INC. PREFERRED - $.10 PAR 1,000,000 0 1,000,000 0 0.00
----------------------------------------------------------------------------------------------------------------------------------
PLANERGY SERVICES, INC. CONV. PFD $.10 PAR 5,000,000 0 5,000,000 0 0.00
----------------------------------------------------------------------------------------------------------------------------------
POWER OPERATIONS, INC. COMMON - $1 PAR 1,000 - 900 10 10
----------------------------------------------------------------------------------------------------------------------------------
PRECISION RESOURCE CO. COMMON - $1 PAR 100,000 0 99,000 1,000 1,000.00
----------------------------------------------------------------------------------------------------------------------------------
PREFERRED TRUST STATUTORY BUSINESS TRUST - NO CAPITAL STOCK 6,190,000.00
----------------------------------------------------------------------------------------------------------------------------------
PROTO-POWER CORP. COMMON $1 PAR 100 0 0 0 0.00
----------------------------------------------------------------------------------------------------------------------------------
PS CREDIT CORP. COMMON - $1 PAR 50,000,000 0 47,500,000 2,500,000 38,300,750.00
----------------------------------------------------------------------------------------------------------------------------------
PS CREDIT CORP. PREFERRED - $1 PAR 25,000,000 0 25,000,000 0 0.00
----------------------------------------------------------------------------------------------------------------------------------
PSCO PREFERRED 10,000,000 0 10,000,000 0
----------------------------------------------------------------------------------------------------------------------------------
PSR INVESTMENTS COMMON - $1 PAR 25,000,000 0 24,636,810 0 3,631,900.00
----------------------------------------------------------------------------------------------------------------------------------
PUBLIC SERVICE CO. OF COLORADO COMMON - $.01 PAR 100 0 0 100 1,414,835,238.00
----------------------------------------------------------------------------------------------------------------------------------
PYRO-PACIFIC OPERATING COMPANY COMMON - $ PAR 1,000 - 1,000 - -0-
----------------------------------------------------------------------------------------------------------------------------------
QUIXX BORGER COGEN, INC. COMMON - $.10 PAR 10,000 0 0 10,000 68,500.00
----------------------------------------------------------------------------------------------------------------------------------
QUIXX CAROLINA INC. COMMON - $10 PAR 10,000 0 0 10,000 2,146.00
----------------------------------------------------------------------------------------------------------------------------------
QUIXX CORP. COMMON - $1 PAR 100,000 0 49,000 51,000 87,521,230.25
----------------------------------------------------------------------------------------------------------------------------------
QUIXX JAMAICA INC. COMMON - $.10 PAR 10,000 0 0 10,000 21,000.00
----------------------------------------------------------------------------------------------------------------------------------
QUIXX MUSTANG STATION INC. COMMON - $.10 PAR 10,000 0 0 10,000 78,225.00
----------------------------------------------------------------------------------------------------------------------------------
QUIXX POWER SERVICES, INC. COMMON - $1 PAR 100,000 0 99,000 1,000 20,000.00
----------------------------------------------------------------------------------------------------------------------------------
QUIXX RESOURCES , INC. COMMON - $.01 PAR 10,000 0 0 10,000 18,333,746.71
----------------------------------------------------------------------------------------------------------------------------------
QUIXX WPP94 INC. COMMON - $.10 PAR 10,000 0 0 10,000 1,000.00
----------------------------------------------------------------------------------------------------------------------------------
QUIXXLIN CORP. COMMON - $.10 PAR 10,000 0 0 10,000 33,878.00
----------------------------------------------------------------------------------------------------------------------------------
REDDY KILOWATT CORPORATION COMMON - $10 PAR 60,000 0 46,565 13,435 8,225,000.00
----------------------------------------------------------------------------------------------------------------------------------
RYBNIK POWER B.V. COMMON- NLG 100 2,000 - 1,600 400 19,204
----------------------------------------------------------------------------------------------------------------------------------
SACHSEN HOLDING B.V. COMMON -NLG 1,000 200 - 100 100 51,044
----------------------------------------------------------------------------------------------------------------------------------
SAN JOAQUIN VALLEY ENERGY I, INC. COMMON 1,000 - - 1,000 64,490
----------------------------------------------------------------------------------------------------------------------------------
61
|
----------------------------------------------------------------------------------------------------------------------------------
SAN JOAQUIN VALLEY ENERGY IV, INC. COMMON 1,000 - - 1,000 1,546,564
----------------------------------------------------------------------------------------------------------------------------------
SCORIA INCORPORATED COMMON-NO PAR 300,000 - 290,000 10,000 -0-
----------------------------------------------------------------------------------------------------------------------------------
SCUDDER LATIN AMERICAN POWER I-C CLASS A OR CLASS B 5,000,000 - 4,974,792 25,208 2,715,455
L.D.C. $.01 PAR
----------------------------------------------------------------------------------------------------------------------------------
SCUDDER LATIN AMERICAN POWER II-C CLASS A OR CLASS B 5,000,000 - 4,931,903 68097 2,715,455
L.D.C. $.01 PAR
----------------------------------------------------------------------------------------------------------------------------------
SCUDDER LATIN AMERICAN POWER CLASS A OR CLASS B 5,000,000 - 4,974,694 25,306 491
II-CORPORATION A $.01 PAR
----------------------------------------------------------------------------------------------------------------------------------
SCUDDER LATIN AMERICAN POWER CLASS A OR CLASS B 5,000,000 - 4,967,943 32057 491
II-CORPORATION B $.01 PAR
----------------------------------------------------------------------------------------------------------------------------------
SCUDDER LATIN AMERICAN POWER II-P CLASS A OR CLASS B 5,000,000 - 4,978,064 21,936 722,371
L.D.C. $.01 PAR
----------------------------------------------------------------------------------------------------------------------------------
SCUDDER LATIN AMERICAN POWER I-P CLASS A OR CLASS B 5,000,000 - 4,926,048 73,952 18,723,277
L.D.C. $.01 PAR
----------------------------------------------------------------------------------------------------------------------------------
SEREN INNOVATIONS, INC. COMMON - NO PAR 1,000 0 257 743 193,000,000.00
----------------------------------------------------------------------------------------------------------------------------------
SOMERSET OPERATIONS INC. COMMON - $1 PAR 1,000 - 1,000 - -0-
----------------------------------------------------------------------------------------------------------------------------------
SOUTHWESTERN PUBLIC SERVICE CORP. COMMON $1 PAR 200 0 100 100 353,098,749.00
----------------------------------------------------------------------------------------------------------------------------------
SOUTHWESTERN PUBLIC SERVICE CORP. PREFERRED 10,000,000 0 10,000,000 0 0.00
----------------------------------------------------------------------------------------------------------------------------------
STERLING (GIBRALTAR) ORDINARY -L1 100 - - 100 161
----------------------------------------------------------------------------------------------------------------------------------
STERLING LUXEMBOURG (NO. 1) S.A.R.L. ORDINARY-$50 300 - - 300 290,331,655
----------------------------------------------------------------------------------------------------------------------------------
STERLING LUXEMBOURG (NO. 2) S.A.R.L. ORDINARY-$50 300 - - 300 159,145,144
----------------------------------------------------------------------------------------------------------------------------------
STERLING LUXEMBOURG (NO. 3) S.A.R.L. ORDINARY-L50 1,700 - - 1,700 135,261
----------------------------------------------------------------------------------------------------------------------------------
STERLING LUXEMBOURG (NO. 4) S.A.R.L. ORDINARY-L50 200 - - 200 151,174
----------------------------------------------------------------------------------------------------------------------------------
SUNSHINE STATE POWER (NO. 2) B.V. COMMON - NLG 100 2,000 - 1,600 400 20,704
----------------------------------------------------------------------------------------------------------------------------------
SUNSHINE STATE POWER B.V. COMMON -NLG 1,000 200 - 100 100 20,576
----------------------------------------------------------------------------------------------------------------------------------
TEXAS-OHIO PIPELINE, INC. COMMON NO PAR 1,000,000 0 0 1,000 2,000,000.00
----------------------------------------------------------------------------------------------------------------------------------
THE EAST BOULDER DITCH CO. COMMON - $200 PAR 12 0 1.359449 10.640551 1.00
----------------------------------------------------------------------------------------------------------------------------------
TOSLI (GIBRALTAR) B.V. COMMON- NLG .05 3,000,000 - 2,200,000 800,000 37,432
----------------------------------------------------------------------------------------------------------------------------------
TOSLI (GIBRALTAR) B.V. PREFERENCE SHARES- 1,000,000 - 800,000 200,000 -0-
NLG .05
----------------------------------------------------------------------------------------------------------------------------------
TOSLI ACQUISITION B.V. COMMON -NLG 100 2,000 - 1,600 400 18,815
----------------------------------------------------------------------------------------------------------------------------------
TOSLI INVESTMENTS N.V. COMMON -NLG 100 50,000 - 32,000 18,000 157,008,492
----------------------------------------------------------------------------------------------------------------------------------
TOSLI LUXEMBOURG (NO. 1) S.A.R.L. COMMON -$50 PAR 301 - - 301 25,321,459
----------------------------------------------------------------------------------------------------------------------------------
TOSLI LUXEMBOURG (NO. 2) S.A.R.L. COMMON -$50 PAR 301 - - 301 25,306,459
----------------------------------------------------------------------------------------------------------------------------------
ULTRA POWER TECHNOLOGIES, INC. COMMON - NO PAR 1,000 0 789 211 6,330,000.00
----------------------------------------------------------------------------------------------------------------------------------
UNITED POWER AND LAND COMPANY COMMON - $100 PAR 140,200 0 100,000 40,200 4,020,000.00
----------------------------------------------------------------------------------------------------------------------------------
UNITED WATER CO. COMMON - $40 PAR 1,250 0 198.625 1,051.375 1.00
----------------------------------------------------------------------------------------------------------------------------------
UTILITY ENGINEERING COMMON - $1 PAR 100,000 0 28,000 72,000 85,607,186.27
----------------------------------------------------------------------------------------------------------------------------------
VIENNA OPERATIONS INC. COMMON $1 PAR 1,000 - 1,000 - -0-
----------------------------------------------------------------------------------------------------------------------------------
VIKING GAS TRANSMISSION COMPANY COMMON - $5 PAR 3,000 0 2,791 209 27,975,171.00
----------------------------------------------------------------------------------------------------------------------------------
WAINSTONES POWER LIMITED ORDINARY 100 - 80 20 4,816,756
----------------------------------------------------------------------------------------------------------------------------------
WESTGAS INTERSTATE COMMON - $10 PAR 2,000,000 0 1,940,000 60,000 600,000.00
----------------------------------------------------------------------------------------------------------------------------------
XCEL ENERGY - CENTRUS INC. COMMON NO PAR 1,000 0 0 1,000 2,436,866.10
----------------------------------------------------------------------------------------------------------------------------------
XCEL ENERGY COMMUNICATIONS GROUP COMMON - $.01 PAR 5,000,000 0 4,999,900 100 177,793,465.00
INC.
----------------------------------------------------------------------------------------------------------------------------------
XCEL ENERGY INC. PREFERRED 7,000,000 0 0 0 0.00
----------------------------------------------------------------------------------------------------------------------------------
XCEL ENERGY INC. COMMON 1,000,000,000 0 660,215,073 339,784,927 3,410,473,698
----------------------------------------------------------------------------------------------------------------------------------
XCEL ENERGY INTERNATIONAL INC. COMMON - $.01 PAR 1,000 0 900 100 246,820,573.00
----------------------------------------------------------------------------------------------------------------------------------
XCEL ENERGY MARKETS GROUP INC. COMMON - $.01 PAR 5,000,000 0 4,999,900 100 22,292,786.00
----------------------------------------------------------------------------------------------------------------------------------
XCEL ENERGY O&M SERVICES INC. COMMON - $1 PAR 1,000 0 0 0 0.00
----------------------------------------------------------------------------------------------------------------------------------
XCEL ENERGY RETAIL SERVICE GROUP COMMON - $.01 PAR 5,000,000 0 4,999,900 100 34,529,236.00
INC.
----------------------------------------------------------------------------------------------------------------------------------
XCEL ENERGY SERVICES INC. COMMON - $.01 PAR 1,000 0 0 1,000 1,000.00
----------------------------------------------------------------------------------------------------------------------------------
XCEL ENERGY VENTURES INC. COMMON - $.01 PAR 5,000,000 0 4,999,900 100 43,713,735.00
----------------------------------------------------------------------------------------------------------------------------------
XCEL ENERGY WHOLESALE GROUP INC. COMMON - $.01 PAR 5,000,000 0 4,000,000 1,000,000 1,262,416,671.00
----------------------------------------------------------------------------------------------------------------------------------
XCEL ENERGY WYCO, INC. COMMON - $.01 PAR 1,000 0 900 100 16,365,757.00
----------------------------------------------------------------------------------------------------------------------------------
YOUNG GAS STORAGE CO. COMMON - $1 PAR 1,000 0 0 1,000 6,309,971.00
----------------------------------------------------------------------------------------------------------------------------------
|
CONTINGENT LIABILITIES
(c) A BRIEF OUTLINE OF THE NATURE AND AMOUNT OF EACH CONTINGENT LIABILITY ON ACCOUNT OF ENDORSEMENT OR OTHER GUARANTEES OF ANY SECURITIES.
NSP, PSCO, AND SPS HAVE GUARANTEED THE PAYMENT OF DISTRIBUTIONS ON AND THE REDEMPTION OF THEIR SUBSIDIARY TRUSTS' PREFERRED SECURITIES.
XCEL ENERGY'S SUBSIDIARIES ENGAGE IN ENERGY TRADING AND MAY MANAGE THEIR EXPOSURE TO CHANGES IN MARKET PRICES WITH DERIVATIVE FINANCIAL INSTRUMENTS. XCEL ENERGY GUARANTEES SOME OBLIGATIONS OF ITS SUBSIDIARIES. SOME OF XCEL ENERGY'S SUBSIDIARIES MANAGE THEIR EXPOSURE TO FLUCTUATIONS IN THE VALUE OF FOREIGN CURRENCIES WITH DERIVATIVE FINANCIAL INSTRUMENTS. NOTES 9 AND 11 TO THE FINANCIAL STATEMENTS IN NEW CENTURY ENERGIES, INC.'S 1999 FORM 10-K, NOTES 11 AND 14 TO THE FINANCIAL STATEMENTS IN NSP-MINNESOTA'S 1999 FORM 10-K, AND NOTES 8, 12 AND 13 IN NRG ENERGY'S 1999 FORM 10-K DESCRIBE THE NATURE OF OFF-BALANCE SHEET FINANCIAL COMMITMENTS AND FINANCIAL INSTRUMENTS.
OTHER SECURITIES
(d) A STATEMENT OF THE AMOUNT OF WARRANTS, RIGHTS OR OPTIONS AND OF ANY CLASS OF SECURITIES OF THE REGISTRANT AND SUBSIDIARY COMPANIES NOT ELSEWHERE HEREIN DESCRIBED WHICH IS OUTSTANDING AND/OR AUTHORIZED. A BRIEF DESCRIPTION OF THE PROVISIONS THEREOF SHOULD BE INCLUDED. INFORMATION NEED NOT BE SET FORTH UNDER THIS ITEM AS TO NOTES, DRAFTS, BILLS OF EXCHANGE OR BANKERS' ACCEPTANCE WHICH MATURE WITHIN NINE MONTHS.
XCEL'S SUBSIDIARIES NSP, PSCO, AND SPS HAVE ISSUED PREFERRED SECURITIES THROUGH WHOLLY-OWNED SPECIAL PURPOSE SUBSIDIARY TRUSTS. NSP'S SUBSIDIARY TRUST ISSUED $200 MILLION OF PREFERRED SECURITIES. NSP'S SUBSIDIARY TRUST HAS, AS ITS SOLE ASSET, 8,000,000 SHARES OF NSP-MINNESOTA'S 7 7/8% JUNIOR SUBORDINATED DEFERRABLE DEBENTURES DUE JAN. 31, 2037. PSCO'S SUBSIDIARY TRUST ISSUED $194 MILLION OF PREFERRED SECURITIES. PSCO'S SUBSIDIARY TRUST HAS, AS ITS SOLE ASSET, $200 MILLION OF PSCO 7.60% DEFERRABLE INTEREST SUBORDINATED DEBENTURES DUE JUNE 30, 2038. SPS' SUBSIDIARY TRUST ISSUED $100 MILLION OF PREFERRED SECURITIES. IT HAS, AS ITS SOLE ASSET, $103 MILLION OF SPS 7.85% DEFERRABLE INTEREST SUBORDINATED DEBENTURES DUE SEPT. 1, 2036.
UNDER XCEL ENERGY AND PREDECESSOR COMPANY, AND NRG ENERGY INCENTIVE PLANS, STOCK OPTIONS AND OTHER RIGHTS WERE GRANTED. AT AUG. 31, 2000, THE OUTSTANDING NUMBER AND TERMS OF EACH ISSUE WERE:
--------------------------------------------------------------------------------------
ISSUING COMPANY AND DESCRIPTION OUTSTANDING ON OPTION PRICE
8/31/2000
--------------------------------------------------------------------------------------
NSP 1991 OPTIONS 76,262 $ 16.6250
--------------------------------------------------------------------------------------
NSP 1992 OPTIONS 113,694 $ 20.4688
--------------------------------------------------------------------------------------
NSP 1993 OPTIONS 155,160 $ 21.7500
--------------------------------------------------------------------------------------
NSP 1994 OPTIONS 234,916 $ 21.0938
--------------------------------------------------------------------------------------
NSP 1995 OPTIONS 304,418 $ 22.7500
--------------------------------------------------------------------------------------
NSP 1996 OPTIONS 376,698 $ 25.4688
--------------------------------------------------------------------------------------
NSP 1997 OPTIONS 430,470 $ 23.7188
--------------------------------------------------------------------------------------
NSP 1998 OPTIONS 530,884 $ 26.8750
--------------------------------------------------------------------------------------
NSP 1999 OPTIONS 967,491 $ 26.3125
--------------------------------------------------------------------------------------
NSP 2000 OPTIONS 1,389,819 $ 19.3125
--------------------------------------------------------------------------------------
NRG 1993 OPTIONS STANDARD 221,547 $ 5.7500
--------------------------------------------------------------------------------------
NRG 1993 OPTIONS PREMIUM 134,331 $ 6.6300
--------------------------------------------------------------------------------------
NRG 1994 OPTIONS STANDARD 470,444 $ 5.7500
--------------------------------------------------------------------------------------
NRG 1994 OPTIONS PREMIUM 212,360 $ 6.6300
--------------------------------------------------------------------------------------
NRG 1995 OPTIONS STANDARD 139.674 $ 6.9100
--------------------------------------------------------------------------------------
NRG 1995 OPTIONS PREMIUM 45,534 $ 7.7500
--------------------------------------------------------------------------------------
NRG 1996 OPTIONS STANDARD 171,291 $ 7.4400
--------------------------------------------------------------------------------------
NRG 1996 OPTIONS PREMIUM 52,995 $ 8.2800
--------------------------------------------------------------------------------------
NRG 1997 OPTIONS STANDARD 342,332 $ 8.1900
--------------------------------------------------------------------------------------
NRG 1998 OPTIONS STANDARD 746,620 $ 7.9700
--------------------------------------------------------------------------------------
NRG 1999 OPTIONS STANDARD 713,435 $ 9.4700
--------------------------------------------------------------------------------------
NRG 2000 OPTIONS STANDARD 18,515 $ 17.2500
--------------------------------------------------------------------------------------
NRG 2000 OPTIONS - MAY 2000 $15 1,038,720 $ 15.0000
--------------------------------------------------------------------------------------
NCE 8/4/97 OPTIONS 1,505,050 $ 26.8548
--------------------------------------------------------------------------------------
NCE 9/22/97 OPTIONS 1,395 $ 26.4516
--------------------------------------------------------------------------------------
NCE 12/15/97 OPTIONS 136,400 $ 30.1613
--------------------------------------------------------------------------------------
NCE 12/16/97 OPTIONS 506,540 $ 30.8468
--------------------------------------------------------------------------------------
NCE 2/24/98 OPTIONS 112,840 $ 29.8790
--------------------------------------------------------------------------------------
NCE 5/18/98 OPTIONS 18,600 $ 29.4355
--------------------------------------------------------------------------------------
NCE 6/23/98 OPTIONS 5,115 $ 29.8387
--------------------------------------------------------------------------------------
64
|
-------------------------------------------------------------------------------------- NCE 9/22/98 OPTIONS 3,410 $ 30.7258 -------------------------------------------------------------------------------------- NCE 10/1/98 OPTIONS 55,800 $ 30.1210 -------------------------------------------------------------------------------------- NCE 12/14/98 OPTIONS 555,598 $ 31.0081 -------------------------------------------------------------------------------------- NCE 1/25/99 OPTIONS 24,800 $ 29.2742 -------------------------------------------------------------------------------------- NCE 2/4/99 OPTIONS 7,440 $ 28.0645 -------------------------------------------------------------------------------------- NCE 3/15/99 OPTIONS 3,100 $ 25.9274 -------------------------------------------------------------------------------------- NCE 3/22/99 OPTIONS 6,200 $ 25.0000 -------------------------------------------------------------------------------------- NCE 7/1/99 OPTIONS 18,600 $ 22.5000 -------------------------------------------------------------------------------------- NCE 12/13/99 OPTIONS 1,388,650 $ 20.0403 -------------------------------------------------------------------------------------- PSCO 1/4/93 OPTIONS 3,583 $ 18.1452 -------------------------------------------------------------------------------------- PSCO 2/22/94 OPTIONS 24,025 $ 18.7097 -------------------------------------------------------------------------------------- PSCO 7/18/94 OPTIONS 11,368 $ 17.1774 -------------------------------------------------------------------------------------- PSCO 2/21/95 OPTIONS 113,814 $ 19.5161 -------------------------------------------------------------------------------------- PSCO 6/12/95 OPTIONS 3,256 $ 20.6452 -------------------------------------------------------------------------------------- PSCO 2/27/96 OPTIONS 147,477 $ 22.6613 -------------------------------------------------------------------------------------- PSCO 2/18/97 OPTIONS 67,425 $ 25.1613 -------------------------------------------------------------------------------------- SPS 1997 OPTIONS 11,039 $ 20.9253 -------------------------------------------------------------------------------------- XCEL 2000 OPTIONS 3,591,000 $ 26.3125 -------------------------------------------------------------------------------------- NSP '90-1 DIVIDEND EQUIVALENT STOCK APPRECIATION RIGHTS 43,438 $ 1.839 -------------------------------------------------------------------------------------- NSP '93 DIVIDEND EQUIVALENT STOCK APPRECIATION RIGHTS 58,244 $ 1.283 -------------------------------------------------------------------------------------- NSP 1992 CAPITAL APPRECIATION STOCK APPRECIATION RIGHTS 6,428 $20.6250 -------------------------------------------------------------------------------------- NSP 91/3 CAPITAL APPRECIATION STOCK APPRECIATION RIGHTS 1,924 $21.3125 -------------------------------------------------------------------------------------- NSP 93 CAPITAL APPRECIATION STOCK APPRECIATION RIGHTS 4,582 $21.5940 -------------------------------------------------------------------------------------- |
INVESTMENT IN SYSTEM SECURITIES
9. GIVE A TABULATION SHOWING THE PRINCIPAL AMOUNT, PAR OR STATED VALUE, THE COST TO THE SYSTEM COMPANY ORIGINALLY ACQUIRING SUCH SECURITY, AND THE NUMBER OF SHARES OR UNITS, OF EACH SECURITY DESCRIBED UNDER ITEM 8 THAT IS HELD BY THE REGISTRANT AND BY EACH SUBSIDIARY COMPANY THEREOF AS THE RECORD (OR BENEFICIAL) OWNER, AND THE AMOUNTS AT WHICH THE SAME ARE CARRIED ON THE BOOKS OF EACH SUCH OWNER. THIS INFORMATION SHOULD BE GIVEN AS OF THE SAME DATE AS THE INFORMATION FURNISHED IN ANSWER TO ITEM 8.
----------------------------------------------------------------------------------------------------------------------
COMPANY PAR NUMBER OF SHARES COST
----------------------------------------------------------------------------------------------------------------------
1480 WELTON, INC. $100 6,500 7,506,189.00
----------------------------------------------------------------------------------------------------------------------
BLACK MOUNTAIN GAS CO. $.01 100 3,632,448.00
----------------------------------------------------------------------------------------------------------------------
BORGER FUNDING CORP. $.01 100 0.00
----------------------------------------------------------------------------------------------------------------------
BRIMSDOWN POWER LTD L1 10,000 57,823.00
----------------------------------------------------------------------------------------------------------------------
CADENCE NETWORK, INC. PREFERRED A $.01 6,750,000 0.00
----------------------------------------------------------------------------------------------------------------------
CHEYENNE LIGHT FUEL & POWER CO. $.01 100 3,044,155.00
----------------------------------------------------------------------------------------------------------------------
CHIPPEWA & FLAMBEAU IMPROVEMENT CO. $76 11,000 549,325,60
----------------------------------------------------------------------------------------------------------------------
CLEARWATER INVESTMENTS, INC. $1 100 150,000.00
----------------------------------------------------------------------------------------------------------------------
COGENERATION CAPITAL ASSOCIATES INC. $1 1,500,000 16,226.00
----------------------------------------------------------------------------------------------------------------------
COLORADO NATURAL FUELS LLC (SOLD) (SOLD) 3,181,772.00
----------------------------------------------------------------------------------------------------------------------
E PRIME $5 3,807,719 37,198,605.48
----------------------------------------------------------------------------------------------------------------------
E PRIME ENERGY MARKETING, INC. NO PAR 1,000 6,904,741.27
----------------------------------------------------------------------------------------------------------------------
E PRIME FLORIDA, INC. $.01 100 3,024,641.23
----------------------------------------------------------------------------------------------------------------------
E PRIME GEORGIA, INC. $.01 100 1,042,010.38
----------------------------------------------------------------------------------------------------------------------
ELOIGNE CO. NO PAR 820 29,800,000.00
----------------------------------------------------------------------------------------------------------------------
ENERGY MASTERS INTERNATIONAL, INC. NO PAR 1,065 68,336,027.73
----------------------------------------------------------------------------------------------------------------------
FIRST MIDWEST AUTO PARK, INC. $1 1,290 4,691,623.58
----------------------------------------------------------------------------------------------------------------------
FUEL RESOURCES DEVELOPMENT CO. NO PAR 159,000 41,250,000.00
----------------------------------------------------------------------------------------------------------------------
GREEN AND CLEAR LAKES CO. $10 2,500 25,000.00
----------------------------------------------------------------------------------------------------------------------
HILLCREST DITCH AND RESERVOIR CO. $250 140 1.00
----------------------------------------------------------------------------------------------------------------------
KES MONTEGO INC. $.01 100 0.00
----------------------------------------------------------------------------------------------------------------------
LOS ANIMAS CONSOLIDATED CANAL CO. $100 430.329 1.00
----------------------------------------------------------------------------------------------------------------------
NATROGAS, INC. $1 100 (983,027.00)
----------------------------------------------------------------------------------------------------------------------
NCE COMMUNICATIONS NO PAR 100 9,219,194.00
----------------------------------------------------------------------------------------------------------------------
NEW CENTURY CADENCE NO PAR 1,000 3,653,925.00
----------------------------------------------------------------------------------------------------------------------
NORTH AMERICA ENERGY, INC. $1 100 0.00
----------------------------------------------------------------------------------------------------------------------
NORTHERN STATES POWER CO. (MINNESOTA) $.01 1,000,000 15,966,134.25
----------------------------------------------------------------------------------------------------------------------
NORTHERN STATES POWER CO. (WISCONSIN) $100 933,000 126,717,651.00
----------------------------------------------------------------------------------------------------------------------
NSP LANDS, INC. $1 100 50,000.00
----------------------------------------------------------------------------------------------------------------------
NSP NUCLEAR CORP. $.01 40 1,740,859.48
----------------------------------------------------------------------------------------------------------------------
PLANERGY (DELAWARE) INC. $1 1,000 0.00
----------------------------------------------------------------------------------------------------------------------
PLANERGY ENERGY SERVICES CORP. $1 25 (827,989.00)
----------------------------------------------------------------------------------------------------------------------
PLANERGY GROUP $.01 1,000 14,173,786.00
----------------------------------------------------------------------------------------------------------------------
PLANERGY INC. $1 875 1,930,377.00
----------------------------------------------------------------------------------------------------------------------
PLANERGY LTD. NO PAR 100 0.00
----------------------------------------------------------------------------------------------------------------------
PLANERGY NEW YORK, INC. $.01 875 0.00
----------------------------------------------------------------------------------------------------------------------
PLANERGY POWER II, INC. $.01 1,000 0.00
----------------------------------------------------------------------------------------------------------------------
PLANERGY SERVICES OF CALIFORNIA, INC. NO PAR 15,000 490,613.00
----------------------------------------------------------------------------------------------------------------------
PLANERGY SERVICES OF HOUSTON, INC. $1 500 322,208.00
----------------------------------------------------------------------------------------------------------------------
PLANERGY SERVICES OF TEXAS, INC. $1 500 (221,945.00)
----------------------------------------------------------------------------------------------------------------------
PLANERGY SERVICES USA, INC. $1 3,000 48,519.00
----------------------------------------------------------------------------------------------------------------------
PLANERGY SERVICES, INC. $.10 1,000 5,086,379.00
----------------------------------------------------------------------------------------------------------------------
PRECISION RESOURCE CO. $1 1,000 1,000.00
----------------------------------------------------------------------------------------------------------------------
PREFERRED TRUST (STATUTORY BUSINESS TRUST - NO CAPITAL STOCK) 6,190,000.00
----------------------------------------------------------------------------------------------------------------------
PS CREDIT CORP. $1 2,500,000 38,300,750.00
----------------------------------------------------------------------------------------------------------------------
PSR INVESTMENTS $1 0 3,631,900.00
----------------------------------------------------------------------------------------------------------------------
PUBLIC SERVICE CO. OF COLORADO $.01 100 1,414,835,238.00
----------------------------------------------------------------------------------------------------------------------
QUIXX BORGER COGEN, INC. $.10 10,000 68,500.00
----------------------------------------------------------------------------------------------------------------------
QUIXX CAROLINA INC. $.10 10,000 2,146.00
----------------------------------------------------------------------------------------------------------------------
66
|
----------------------------------------------------------------------------------------------------------------------
QUIXX CORP. $1 51,000 87,521,230.25
----------------------------------------------------------------------------------------------------------------------
QUIXX JAMAICA, INC. $.10 10,000 21,000.00
----------------------------------------------------------------------------------------------------------------------
QUIXX MUSTANG STATION INC. $.10 10,000 78,225.00
----------------------------------------------------------------------------------------------------------------------
QUIXX POWER SERVICES INC. $1 1,000 20,000.00
----------------------------------------------------------------------------------------------------------------------
QUIXX RESOURCES INC. $.01 10,000 18,333,746.71
----------------------------------------------------------------------------------------------------------------------
QUIXX WPP94, INC. $.10 10,000 1,000.00
----------------------------------------------------------------------------------------------------------------------
QUIXXLIN CORP. $.10 10,000 33,878.00
----------------------------------------------------------------------------------------------------------------------
REDDY KILOWATT CORP. $10 13,435 8,225,000.00
----------------------------------------------------------------------------------------------------------------------
SEREN INNOVATIONS, INC. NO PAR 743 193,000,000.00
----------------------------------------------------------------------------------------------------------------------
SOUTHWESTERN PUBLIC SERVICE CORP. $1 100 353,098,749.00
----------------------------------------------------------------------------------------------------------------------
STATCO 100,999.00
----------------------------------------------------------------------------------------------------------------------
TEXAS-OHIO PIPELINE, INC. NO PAR 1,000 2,000,000.00
----------------------------------------------------------------------------------------------------------------------
THE EAST BOULDER DITCH CO. $200 10.640551 1.00
----------------------------------------------------------------------------------------------------------------------
ULTRA POWER TECHNOLOGIES, INC. NO PAR 211 6,330,000.00
----------------------------------------------------------------------------------------------------------------------
UNITED POWER & LAND CO $100 40,200 4,020,000.00
----------------------------------------------------------------------------------------------------------------------
UNITED WATER CO. $40 1,051.375 1.00
----------------------------------------------------------------------------------------------------------------------
UTILITY ENGINEERING $1 72,000 85,607,186.27
----------------------------------------------------------------------------------------------------------------------
VIKING GAS TRANSMISSION CO. $5 209 27,975,171.00
----------------------------------------------------------------------------------------------------------------------
WESTGAS INTERSTATE $10 60,000 600,000.00
----------------------------------------------------------------------------------------------------------------------
XCEL COMMUNICATIONS GROUP $.01 100 $177,793,465.00
----------------------------------------------------------------------------------------------------------------------
XCEL ENERGY CENTRUS NO PAR 1,000 2,436,866.00
----------------------------------------------------------------------------------------------------------------------
XCEL ENERGY MARKETS GROUP $.01 100 22,292,786.00
----------------------------------------------------------------------------------------------------------------------
XCEL ENERGY WYCO, INC. $.01 100 16,365,757.00
----------------------------------------------------------------------------------------------------------------------
XCEL ENERGY, INC. $2.50 339,784,927 HELD BY THE PUBLIC
----------------------------------------------------------------------------------------------------------------------
XCEL INTERNATIONAL $.01 100 246,820,573.00
----------------------------------------------------------------------------------------------------------------------
XCEL RETAIL SERVICES GROUP $.01 100 34,529,236.00
----------------------------------------------------------------------------------------------------------------------
XCEL SERVICES $.01 1,000 1,000.00
----------------------------------------------------------------------------------------------------------------------
XCEL VENTURES $.01 100 43,713,735.00
----------------------------------------------------------------------------------------------------------------------
XCEL WHOLESALE GROUP $.01 1,000,000 1,262,416,671.00
----------------------------------------------------------------------------------------------------------------------
YOUNG GAS STORAGE CO. $1 1,000 6,309,971.00
----------------------------------------------------------------------------------------------------------------------
NRG ENERGY, INC. $.01 147,605,000 1,235,443,055.08
----------------------------------------------------------------------------------------------------------------------
NRG ENERGY, INC. $.01 32,396,000 HELD BY THE PUBLIC
----------------------------------------------------------------------------------------------------------------------
B.L. ENGLAND OPERATIONS INC. $1 1,000 1,000.00
----------------------------------------------------------------------------------------------------------------------
BRIMSDOWN POWER LIMITED NO PAR 10,000 57,823
----------------------------------------------------------------------------------------------------------------------
CAMAS POWER BOILER LIMITED PARTNERSHIP PARTNERSHIP 7,937,208
----------------------------------------------------------------------------------------------------------------------
CAMAS POWER BOILER, INC. NO PAR 10 79,372
----------------------------------------------------------------------------------------------------------------------
COBEE HOLDINGS INC. $1 1,000 78,233,176
----------------------------------------------------------------------------------------------------------------------
COGENERATION CORPORATION OF AMERICA $.01 3,006,582 11,728,243
----------------------------------------------------------------------------------------------------------------------
COLLINSVILLE OPERATIONS PTY LTD NO PAR 2 752
----------------------------------------------------------------------------------------------------------------------
COMPANIA BOLIVIANA DE ENERGIA NO PAR 4,202,575 62,646,186
ELECTRICA S.A.
----------------------------------------------------------------------------------------------------------------------
COMPANIA ELECTRICA CENTRAL BULO BULO 100 BS 480,000 15,858,060
S.A.
----------------------------------------------------------------------------------------------------------------------
CONITI HOLDING B.V. NLG 1 40,000 4,851,587
----------------------------------------------------------------------------------------------------------------------
CONITI HOLDING B.V. (PREF SHS) NLG 1 10,000 INCL ABOVE
----------------------------------------------------------------------------------------------------------------------
CROCKETT COGENERATION, A CALIFORNIA PARTNERSHIP 14,406,201
LIMITED PARTNERSHIP
----------------------------------------------------------------------------------------------------------------------
CROATIA POWER GROUP $1 100 454,786
----------------------------------------------------------------------------------------------------------------------
DEEPWATER OPERATIONS INC. $1 1,000 -0-
----------------------------------------------------------------------------------------------------------------------
ECK GENERATING, S.R.O. NO PAR 100 1,390,889
----------------------------------------------------------------------------------------------------------------------
ELK RIVER RESOURCE RECOVERY, INC. $1 1,000 -0-
----------------------------------------------------------------------------------------------------------------------
ENERGETICKE CENTRUM KLADNO, S.R.O. NO PAR 906,794,000 7,705,313
----------------------------------------------------------------------------------------------------------------------
ENERGY DEVELOPMENTS LIMITED $.25 92,924,714 48,149,429
----------------------------------------------------------------------------------------------------------------------
ENERGY DEVELOPMENTS LIMITED PREFERRED 16,800,000 INCL ABOVE
----------------------------------------------------------------------------------------------------------------------
ENERGY NATIONAL, INC. NO PAR 260,360 40,672,608
----------------------------------------------------------------------------------------------------------------------
ENFIELD ENERGY CENTRE LIMITED NO PAR 10,000 8,939,422
----------------------------------------------------------------------------------------------------------------------
ENFIELD HOLDINGS B.V. NLG 100 40,200 8,939,422
----------------------------------------------------------------------------------------------------------------------
ENFIELD OPERATIONS (UK) LIMITED L1 1 245
----------------------------------------------------------------------------------------------------------------------
ENI CROCKETT LIMITED PARTNERSHIP PARTNERSHIP 45,300,000
----------------------------------------------------------------------------------------------------------------------
ENI CURTIS FALLS, LIMITED PARTNERSHIP PARTNERSHIP 7,072,255
----------------------------------------------------------------------------------------------------------------------
ENIFUND, INC. NO PAR 200 200,000
----------------------------------------------------------------------------------------------------------------------
ENIGEN, INC. NO PAR 9,000 1,011,000
----------------------------------------------------------------------------------------------------------------------
ESOCO CROCKETT, INC. $1 10 10,599,945
----------------------------------------------------------------------------------------------------------------------
ESOCO FAYETTEVILLE, INC. $1 50 50,000
----------------------------------------------------------------------------------------------------------------------
ESOCO MOLOKAI, INC. NO PAR 100 -0-
----------------------------------------------------------------------------------------------------------------------
ESOCO ORRINGTON, INC. NO PAR 100 2,128,617
----------------------------------------------------------------------------------------------------------------------
67
|
----------------------------------------------------------------------------------------------------------------------
ESOCO SOLEDAD, INC. NO PAR 100 -0-
----------------------------------------------------------------------------------------------------------------------
ESOCO WILSON, INC. $1 50 50,000
----------------------------------------------------------------------------------------------------------------------
ESOCO, INC. NO PAR 100 2,229,616
----------------------------------------------------------------------------------------------------------------------
EUROPEAN GENERATING S.A.R.L. NO PAR 12,500 8,060
----------------------------------------------------------------------------------------------------------------------
FLINDERS COAL PTY LTD NO PAR 2 -0-
----------------------------------------------------------------------------------------------------------------------
FLINDERS LABUAN (NO. 1) LTD. AUD 1 5,000 -0-
----------------------------------------------------------------------------------------------------------------------
FLINDERS LABUAN (NO. 1) LTD. RED. PREM AUD 45,000 -0-
1,184.43
----------------------------------------------------------------------------------------------------------------------
FLINDERS LABUAN (NO. 2) LTD. AUD 1 5,000 -0-
----------------------------------------------------------------------------------------------------------------------
RED. PREM AUD 45,000 -0-
394.14
----------------------------------------------------------------------------------------------------------------------
FLINDERS OSBORNE TRADING PTY LTD NO PAR 100 AUD 100
----------------------------------------------------------------------------------------------------------------------
FLINDERS POWER FINANCE PTY LTD NO PAR 100 AUD 100
----------------------------------------------------------------------------------------------------------------------
GRAYSTONE CORPORATION NO PAR 2,000 -0-
----------------------------------------------------------------------------------------------------------------------
GUNWALE B.V. NLG 100 1,060 113,286
----------------------------------------------------------------------------------------------------------------------
INDIAN RIVER OPERATIONS INC. $1 1,000 -0-
----------------------------------------------------------------------------------------------------------------------
INTERENERGY LIMITED IRL1 1,000 813
----------------------------------------------------------------------------------------------------------------------
INVERSIONES BULO BULO S.A. 100 BS 480,000 15,858,060
----------------------------------------------------------------------------------------------------------------------
KANEL KANGAL ELEKTRIK LIMITED SIRKETI TL 25,000,000 2,800 71,000
----------------------------------------------------------------------------------------------------------------------
KIKSIS B.V. NLG 100 400 21,328
----------------------------------------------------------------------------------------------------------------------
KILLINGHOLME GENERATION LIMITED L1 10,001 131,156,539
----------------------------------------------------------------------------------------------------------------------
KILLINGHOLME HOLDINGS LIMITED L1 2 131,156,542
----------------------------------------------------------------------------------------------------------------------
KILLINGHOLME POWER LIMITED L1 74 664,181,568
L1 26
L1 410,500,000
----------------------------------------------------------------------------------------------------------------------
KLADNO POWER (NO. 1) B.V. NLG 100 400 28,852
----------------------------------------------------------------------------------------------------------------------
KLADNO POWER (NO. 2) B.V. NLG 100 400 23,264
----------------------------------------------------------------------------------------------------------------------
KRAFTWERK SCHKOPAU NO PAR 50,000 10,972,759
BETRIEBSGESELLSCHAFT MBH
----------------------------------------------------------------------------------------------------------------------
KUSEL KUTAHYA SEYITOMER ELEKTRIK TL 25,000 4,000 53,272
LIMITED SIRKETI
----------------------------------------------------------------------------------------------------------------------
LAMBIQUE BEHEER B.V. NLG 100 400 21,336
----------------------------------------------------------------------------------------------------------------------
LANGAGE ENERGY PARK LIMITED L1 1 -0-
----------------------------------------------------------------------------------------------------------------------
LE PAZ INCORPORATED NO PAR 1,600 2,009,500
----------------------------------------------------------------------------------------------------------------------
LOY YANG POWER MANAGEMENT PTY LTD NO PAR 10,000 186,789,224
----------------------------------------------------------------------------------------------------------------------
LOY YANG POWER PROJECTS PTY LTD NO PAR 10,000 -0-
----------------------------------------------------------------------------------------------------------------------
MATRA POWERPLANT HOLDING B.V. 2,000 400 1,390,889
----------------------------------------------------------------------------------------------------------------------
MIBRAG B.V. NLG 1 5,374
----------------------------------------------------------------------------------------------------------------------
MITTELDEUTSCHE 7,698,206
BRAUNKOHLENGESELLSCHAFT MBH
----------------------------------------------------------------------------------------------------------------------
MT. POSO COGENERATION COMPANY, A PARTNERSHIP 19,949,844
CALIFORNIA LIMITED PARTNERSHIP
----------------------------------------------------------------------------------------------------------------------
NEO CORPORATION $1 216 13,350,000
----------------------------------------------------------------------------------------------------------------------
NEO LANDFILL GAS HOLDINGS INC. $1 1,000 24,052,000
----------------------------------------------------------------------------------------------------------------------
NEO LANDFILL GAS INC. $1 1,000 65,508,733
----------------------------------------------------------------------------------------------------------------------
NORTHBROOK ACQUISITION CORP. $1 1,000 9,847,201
----------------------------------------------------------------------------------------------------------------------
NR(GIBRALTAR) L1 100 161
----------------------------------------------------------------------------------------------------------------------
NRG AFFILIATE SERVICES INC. $1 1,000 -0-
----------------------------------------------------------------------------------------------------------------------
NRG ARTHUR KILL OPERATIONS INC. $1 1,000 -0-
----------------------------------------------------------------------------------------------------------------------
NRG ASIA-PACIFIC, LTD. $1 1,000 1,000
----------------------------------------------------------------------------------------------------------------------
NRG ASTORIA GAS TURBINE OPERATIONS $1 1,000 -0-
INC.
----------------------------------------------------------------------------------------------------------------------
NRG CABRILLO POWER OPERATIONS INC. $1 1,000 1,000
----------------------------------------------------------------------------------------------------------------------
NRG CADILLAC INC. $1 1,000 2,298,536
----------------------------------------------------------------------------------------------------------------------
NRG CADILLAC OPERATIONS INC. $1 1,000 1,000
----------------------------------------------------------------------------------------------------------------------
NRG CAYMANS COMPANY $1 46.49 454,876
----------------------------------------------------------------------------------------------------------------------
NRG CAYMANS-C $1 27,498 9,018,296
----------------------------------------------------------------------------------------------------------------------
NRG CAYMANS-P $1 27,498 17,897,997
----------------------------------------------------------------------------------------------------------------------
NRG COLLINSVILLE OPERATING SERVICES NO PAR 1,000 752
PTY LTD
----------------------------------------------------------------------------------------------------------------------
NRG CONNECTICUT AFFILIATE SERVICES $1 1,000 1,000
INC.
----------------------------------------------------------------------------------------------------------------------
NRG DEVON OPERATIONS INC. $1 1,000 1,000
----------------------------------------------------------------------------------------------------------------------
NRG DUNKIRK OPERATIONS INC. $1 1,000 1,000
----------------------------------------------------------------------------------------------------------------------
NRG EL SEGUNDO OPERATIONS INC. $1 1,000 1,000
----------------------------------------------------------------------------------------------------------------------
NRG ENERGETICKY PROVOZ, S.R.O. NO PAR 100 3,346
----------------------------------------------------------------------------------------------------------------------
NRG ENERGY CENTER HARRISBURG INC. $1 1,000 3,076,761
----------------------------------------------------------------------------------------------------------------------
68
|
----------------------------------------------------------------------------------------------------------------------
NRG ENERGY CENTER PAXTON INC. $1 1,000 8,615,408
----------------------------------------------------------------------------------------------------------------------
NRG ENERGY CZ, S.R.O. NO PAR 100,000 3,690
----------------------------------------------------------------------------------------------------------------------
NRG ENERGY DEVELOPMENT GMBH NO PAR 1 32,010
----------------------------------------------------------------------------------------------------------------------
NRG ENERGY JACKSON VALLEY I, INC. NO PAR 1,000 101,000
----------------------------------------------------------------------------------------------------------------------
NRG ENERGY JACKSON VALLEY II, INC. NO PAR 1,000 2,401,000
----------------------------------------------------------------------------------------------------------------------
NRG ENERGY LTD. L1 1,000 202,813
----------------------------------------------------------------------------------------------------------------------
NRG ENERGY PL SP. Z O.O. 100 PLN 40 895
----------------------------------------------------------------------------------------------------------------------
NRG GLADSTONE OPERATING SERVICES PTY NO PAR 1,000 741
LTD
----------------------------------------------------------------------------------------------------------------------
NRG GLADSTONE SUPERANNUATION PTY LTD NO PAR 1 741
----------------------------------------------------------------------------------------------------------------------
NRG HUNTLEY OPERATIONS INC. $1 1,000 1,000
----------------------------------------------------------------------------------------------------------------------
NRG INTERNATIONAL DEVELOPMENT INC. $1 1,000 1,000
----------------------------------------------------------------------------------------------------------------------
NRG INTERNATIONAL II INC. $1 1,000 1,000
----------------------------------------------------------------------------------------------------------------------
NRG INTERNATIONAL SERVICES COMPANY $1 1,000 1,000
----------------------------------------------------------------------------------------------------------------------
NRG INTERNATIONAL, INC. $1 1,000 783,789,170
----------------------------------------------------------------------------------------------------------------------
NRG LATIN AMERICA INC. $1 1,000 1,000
----------------------------------------------------------------------------------------------------------------------
NRG MIDDLETOWN OPERATIONS INC. $1 1,000 1,000
----------------------------------------------------------------------------------------------------------------------
NRG MONTVILLE OPERATIONS INC. $1 1,000 1,000
----------------------------------------------------------------------------------------------------------------------
NRG NORWALK HARBOR OPERATIONS INC. $1 1,000 1,000
----------------------------------------------------------------------------------------------------------------------
NRG OPERATING SERVICES, INC. $1 1,000 1,000
----------------------------------------------------------------------------------------------------------------------
NRG OSWEGO HARBOR POWER OPERATIONS $1 1,000 1,000
INC.
----------------------------------------------------------------------------------------------------------------------
NRG PITTSBURGH THERMAL INC. $.01 1,000 6,928,257
----------------------------------------------------------------------------------------------------------------------
NRG SAN FRANCISCO THERMAL INC. $1 1,000 15,491,000
----------------------------------------------------------------------------------------------------------------------
NRG SUNNYSIDE OPERATIONS GP INC. $1 1,000 1,000
----------------------------------------------------------------------------------------------------------------------
NRG SUNNYSIDE OPERATIONS LP INC. $1 1,000 1,000
----------------------------------------------------------------------------------------------------------------------
NRG THERMAL CORPORATION $1 1,000 1,000
----------------------------------------------------------------------------------------------------------------------
NRG VICTORIA I PTY LTD NO PAR 16,679,930 22,906,683
----------------------------------------------------------------------------------------------------------------------
NRG VICTORIA II PTY LTD NO PAR 12 -0-
----------------------------------------------------------------------------------------------------------------------
NRG VICTORIA III PTY LTD NO PAR 27,206,172 48,775,952
----------------------------------------------------------------------------------------------------------------------
NRG VICTORIA III PTY LTD NO PAR 23,844,828 -0-
----------------------------------------------------------------------------------------------------------------------
NRG WEST COAST INC. $1 1,000 134,494,241
----------------------------------------------------------------------------------------------------------------------
NRGENERATING (GIBRALTAR) L1 100 173
----------------------------------------------------------------------------------------------------------------------
NRGENERATING ENERGY TRADING LTD. L1 2 3
----------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 1) B.V. NLG 100 400 3,991,499
----------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 11) B.V. NLG 100 400 21,956
----------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 13) B.V. NLG 100 400 19,204
----------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 14) B.V. NLG 100 400 19,204
----------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 15) B.V. NLG 100 400 287,466,473
----------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 16) B.V. NLG 100 400 19,204
----------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 17) B.V. NLG 100 400 72,476
----------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 18) B.V. NLG 100 400 19,903
----------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 19) B.V. NLG 100 400 17,776
----------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 2) GMBH NO PAR 20 -0-
----------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 20) B.V. NLG 100 400 17,776
----------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 21) B.V. NLG 100 400 17,660
----------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 22) B.V. NLG 100 400 17,660
----------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 23) B.V. NLG 100 400 17,660
----------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 3) B.V. NLG 100 400 25,948
----------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 4) B.V. NLG 100 400 150,893,170
----------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 5) B.V. NLG 100 400 25,351
----------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 6) B.V. NLG 100 400 25,400
----------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 7) B.V. NLG 100 400 23,945
----------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 8) B.V. NLG 100 400 23,945
----------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS (NO. 9) B.V. NLG 100 400 23,945
----------------------------------------------------------------------------------------------------------------------
NRGENERATING HOLDINGS GMBH NO PAR 2 27,499,315
----------------------------------------------------------------------------------------------------------------------
NRGENERATING INTERNATIONAL B.V. NLG 1,000 41 200,221,988
----------------------------------------------------------------------------------------------------------------------
NRGENERATING LUXEMBOURG (NO. 1) AUD 70 300 11,744
S.A.R.L.
----------------------------------------------------------------------------------------------------------------------
NRGENERATING LUXEMBOURG (NO. 2) AUD 70 300 11,744
S.A.R.L.
----------------------------------------------------------------------------------------------------------------------
NRGENERATING RUPALI B.V. NLG 100 400 24,896
----------------------------------------------------------------------------------------------------------------------
NRGENERATING, LTD. L1 2 3
----------------------------------------------------------------------------------------------------------------------
O BRIEN BIOGAS (MAZZARO), INC. $1 1,000 239,873
----------------------------------------------------------------------------------------------------------------------
O BRIEN COGENERATION, INC. II NO PAR 100 500,000
----------------------------------------------------------------------------------------------------------------------
OKEECHOBEE POWER I, INC. $.01 10 1,000
----------------------------------------------------------------------------------------------------------------------
OKEECHOBEE POWER II, INC. $.01 10 1,000
----------------------------------------------------------------------------------------------------------------------
69
|
---------------------------------------------------------------------------------------------------------------------- OKEECHOBEE POWER III, INC. $.01 10 1,000 ---------------------------------------------------------------------------------------------------------------------- ONSITE ENERGY, INC. $1 100 11,995,293 ---------------------------------------------------------------------------------------------------------------------- ONSITE FUNDING CORPORATION NO PAR 100 3,320,375 ---------------------------------------------------------------------------------------------------------------------- ONSITE SOLEDAD, INC. $1 100 -0- ---------------------------------------------------------------------------------------------------------------------- OU NRG ENERGY EST NO PAR 40,000 2,431 ---------------------------------------------------------------------------------------------------------------------- PACIFIC CROCKETT ENERGY, INC. NO PAR 500 4,991,376 ---------------------------------------------------------------------------------------------------------------------- PACIFIC CROCKETT HOLDINGS, INC. NO PAR 100 4,991,376 ---------------------------------------------------------------------------------------------------------------------- PACIFIC GENERATION COMPANY NO PAR 100 148,632,000 ---------------------------------------------------------------------------------------------------------------------- PACIFIC GENERATION DEVELOPMENT COMPANY $1 100 100,000 ---------------------------------------------------------------------------------------------------------------------- PACIFIC GENERATION HOLDINGS COMPANY $1 100 26,142,986 ---------------------------------------------------------------------------------------------------------------------- PACIFIC GENERATION RESOURCES COMPANY $1 100 6,899,394 ---------------------------------------------------------------------------------------------------------------------- PACIFIC KINGSTON ENERGY, INC. NO PAR 100 8,450,000 ---------------------------------------------------------------------------------------------------------------------- PACIFIC ORRINGTON ENERGY, INC. $1 100 135,494 ---------------------------------------------------------------------------------------------------------------------- PACIFIC RECYCLING ENERGY, INC. NO PAR 200 200,000 ---------------------------------------------------------------------------------------------------------------------- PACIFIC-MT. POSO CORPORATION $1 100 15,315,469 ---------------------------------------------------------------------------------------------------------------------- PITTSBURGH THERMAL, LIMITED PARTNERSHIP 10,617,257 PARTNERSHIP ---------------------------------------------------------------------------------------------------------------------- POWER OPERATIONS, INC. $1 10 10 ---------------------------------------------------------------------------------------------------------------------- RYBNIK POWER B.V. NLG 100 400 19,204 ---------------------------------------------------------------------------------------------------------------------- SACHSEN HOLDING B.V. NLG 1,000 100 51,044 ---------------------------------------------------------------------------------------------------------------------- SAN BERNARDINO LANDFILL GAS LIMITED PARTNERSHIP 2,520,709 PARTNERSHIP, A CALIFORNIA LIMITED PARTNERSHIP ---------------------------------------------------------------------------------------------------------------------- SAN FRANCISCO THERMAL, LIMITED PARTNERSHIP 11,800,000 PARTNERSHIP ---------------------------------------------------------------------------------------------------------------------- SAN JOAQUIN VALLEY ENERGY I, INC. NO PAR 1,000 64,490 ---------------------------------------------------------------------------------------------------------------------- SAN JOAQUIN VALLEY ENERGY IV, INC. NO PAR 1,000 1,546,564 ---------------------------------------------------------------------------------------------------------------------- SCORIA INCORPORATED NO PAR 10,000 -0- ---------------------------------------------------------------------------------------------------------------------- SCUDDER LATIN AMERICAN POWER I-C $.01 25,208 2,715,455 L.D.C. ---------------------------------------------------------------------------------------------------------------------- SCUDDER LATIN AMERICAN POWER II-C $.01 68,097 2,715,455 L.D.C. ---------------------------------------------------------------------------------------------------------------------- SCUDDER LATIN AMERICAN POWER $.01 25,306 491 II-CORPORATION A ---------------------------------------------------------------------------------------------------------------------- SCUDDER LATIN AMERICAN POWER $.01 32,057 491 II-CORPORATION B ---------------------------------------------------------------------------------------------------------------------- SCUDDER LATIN AMERICAN POWER II-P $.01 21,936 722,371 L.D.C. ---------------------------------------------------------------------------------------------------------------------- SCUDDER LATIN AMERICAN POWER I-P $.01 73,952 18,723,277 L.D.C. ---------------------------------------------------------------------------------------------------------------------- STERLING (GIBRALTAR) L1 100 161 ---------------------------------------------------------------------------------------------------------------------- STERLING LUXEMBOURG (NO. 1) S.A.R.L. $50 300 290,331,655 ---------------------------------------------------------------------------------------------------------------------- STERLING LUXEMBOURG (NO. 2) S.A.R.L. $50 300 159,145,144 ---------------------------------------------------------------------------------------------------------------------- STERLING LUXEMBOURG (NO. 3) S.A.R.L. L50 1,700 135,261 ---------------------------------------------------------------------------------------------------------------------- STERLING LUXEMBOURG (NO. 4) S.A.R.L. L50 200 151,174 ---------------------------------------------------------------------------------------------------------------------- SUNSHINE STATE POWER (NO. 2) B.V. NLG 100 400 20,704 ---------------------------------------------------------------------------------------------------------------------- SUNSHINE STATE POWER B.V. NLG 1,000 100 20,576 ---------------------------------------------------------------------------------------------------------------------- TOSLI (GIBRALTAR) B.V. NLG .05 800,000 37,432 ---------------------------------------------------------------------------------------------------------------------- TOSLI (GIBRALTAR) B.V. PREF. SHS NLG .05 200,000 -0- ---------------------------------------------------------------------------------------------------------------------- TOSLI ACQUISITION B.V. NLG 100 400 18,815 ---------------------------------------------------------------------------------------------------------------------- TOSLI INVESTMENTS N.V. NLG 100 18,000 157,008,492 ---------------------------------------------------------------------------------------------------------------------- TOSLI LUXEMBOURG (NO. 1) S.A.R.L. $50 301 25,321,459 ---------------------------------------------------------------------------------------------------------------------- TOSLI LUXEMBOURG (NO. 2) S.A.R.L. $50 301 25,306,459 ---------------------------------------------------------------------------------------------------------------------- WAINSTONES POWER LIMITED NO PAR 20 4,816,756 ---------------------------------------------------------------------------------------------------------------------- |
INVESTMENTS IN OTHER COMPANIES
10. GIVE A TABULATION SHOWING ALL INVESTMENTS OF THE REGISTRANT AND OF EACH SUBSIDIARY THEREOF IN HOLDING COMPANIES AND IN PUBLIC UTILITY COMPANIES WHICH ARE NOT SUBSIDIARY COMPANIES OF THE REGISTRANT. ALSO SHOW ALL OTHER INVESTMENTS OF THE REGISTRANT AND OF EACH SUBSIDIARY THEREOF IN THE SECURITIES OF ANY OTHER ENTERPRISE, IF THE BOOK VALUE OF THE INVESTMENT IN ANY SUCH ENTERPRISE EXCEEDS 2% OF THE TOTAL DEBIT ACCOUNTS SHOWN ON THE BALANCE SHEET OF THE COMPANY OWING SUCH INVESTMENT OR AN AMOUNT IN EXCESS OF $25,000 (WHICHEVER AMOUNT IS THE LESSER). GIVE PRINCIPAL AMOUNT AND NUMBER OF SHARES OR UNITS AND THE COST OF EACH ISSUE OF SUCH SECURITIES TO THE SYSTEM COMPANY ORIGINALLY ACQUIRING SUCH SECURITY, AND AMOUNT AT WHICH CARRIED ON THE BOOKS OF THE OWNER. LIST ALL SUCH SECURITIES PLEDGED AS COLLATERAL FOR LOANS OR OTHER OBLIGATIONS AND IDENTIFY LOANS AND OBLIGATIONS FOR WHICH PLEDGED. THIS INFORMATION SHOULD BE GIVEN AS OF THE SAME DATE AS THE INFORMATION FURNISHED IN ANSWER TO ITEM 8.
NONE
INDEBTEDNESS OF SYSTEM COMPANIES
11. LIST EACH INDEBTEDNESS OF THE REGISTRANT AND OF EACH SUBSIDIARY COMPANY THEREOF (OTHER THAN INDEBTEDNESS REPORTED UNDER ITEM 8, BUT AS OF THE SAME DATE) WHERE THE AGGREGATE DEBT OWED BY ANY SUCH COMPANY TO ANY ONE PERSON EXCEEDS $25,000 OR AN AMOUNT EXCEEDING 2% OF THE TOTAL OF THE DEBIT ACCOUNTS SHOWN ON THE BALANCE SHEET OF THE DEBTOR (WHICHEVER AMOUNT IS THE LESSER) BUT NOT INCLUDING ANY CASE IN WHICH SUCH AGGREGATE INDEBTEDNESS IS LESS THAN $5,000, AND GIVE THE FOLLOWING ADDITIONAL INFORMATION AS TO EACH SUCH INDEBTEDNESS:
(a) DEBTS OWED TO ASSOCIATED COMPANIES:
August 31, 2000
---------------------------------------------------------------------------------------------------------------
NAME OF DEBTOR NAME OF CREDITOR AMOUNT OWED RATE OF INTEREST DATE OF
MATURITY
---------------------------------------------------------------------------------------------------------------
PSCO 1480 WELTON, INC. $ 11,808,970 6.761% 07/01/01
---------------------------------------------------------------------------------------------------------------
PSCO 1480 WELTON, INC. 2,300,000 6.761% 07/01/01
---------------------------------------------------------------------------------------------------------------
XCEL ENERGY RETAIL SERVICES GROUP CENTRUS, INC. 225,000 6.855% 07/01/01
---------------------------------------------------------------------------------------------------------------
PSCO COLORADO NATURAL FUELS LLC 518,200 6.761% 07/01/01
---------------------------------------------------------------------------------------------------------------
XCEL ENERGY COMMUNICATIONS GROUP NCE COMMUNICATIONS 1,700,000 6.855% 07/01/01
---------------------------------------------------------------------------------------------------------------
PSCO PSR INVESTMENTS, INC. 7,300,000 6.761% 07/01/01
---------------------------------------------------------------------------------------------------------------
XCEL ENERGY INTERNATIONAL, INC. QUIXXCORP. 11,955,696 6.855% 07/01/01
---------------------------------------------------------------------------------------------------------------
E PRIME, INC. TEXAS-OHIO PIPELINE, INC. 200,000 6.855% 07/01/01
---------------------------------------------------------------------------------------------------------------
PRECISION RESOURCES, INC. UTILITY ENGINEERING, CORP. 675,000 6.855% 07/01/01
---------------------------------------------------------------------------------------------------------------
QUIXXCORP. UTILITY ENGINEERING CORP. 10,460,000 6.855% 07/01/01
---------------------------------------------------------------------------------------------------------------
XCEL ENERGY WHOLESALE GROUP, INC. UTILITY ENGINEERING CORP. 15,800,000 6.855% 07/01/01
---------------------------------------------------------------------------------------------------------------
CHEYENNE XCEL 16,525,000 6.855% 07/01/01
---------------------------------------------------------------------------------------------------------------
XCEL ENERGY INTERNATIONAL, INC. XCEL 128,225,000 6.855% 07/01/01
---------------------------------------------------------------------------------------------------------------
XCEL ENERGY SERVICES, INC. XCEL 55,700,000 6.855% 07/01/01
---------------------------------------------------------------------------------------------------------------
WYCO, INC. XCEL 380,000 6.855% 07/01/01
---------------------------------------------------------------------------------------------------------------
LOUSIANA GENERATING LLC NRG SO. CENTRAL GENERATING LLC 500,000,000 8.962% 03/15/16
SERIES A
---------------------------------------------------------------------------------------------------------------
LOUSIANA GENERATING LLC NRG SO. CENTRAL GENERATING LLC 300,000,000 9.479% 09/15/24
SERIES B
---------------------------------------------------------------------------------------------------------------
ASTORIA GAS TURBINE POWER LLC NRG NORTHEAST GENERATING LLC 62,899,000 8.690% C
---------------------------------------------------------------------------------------------------------------
DEVON POWER LLC NRG NORTHEAST GENERATING LLC 30,570,000 8.690% C
---------------------------------------------------------------------------------------------------------------
DUNKIRD POWER LLC NRG NORTHEAST GENERATING LLC 112,904,000 8.690% C
---------------------------------------------------------------------------------------------------------------
HUNTLEY POWER LLC NRG NORTHEAST GENERATING LLC 88,300,000 8.690% C
---------------------------------------------------------------------------------------------------------------
MIDDLETOWN POWER LLC NRG NORTHEAST GENERATING LLC 69,350,000 8.690% C
---------------------------------------------------------------------------------------------------------------
MONTVILLE POWER LLC NRG NORTHEAST GENERATING LLC 21,799,000 8.690% C
---------------------------------------------------------------------------------------------------------------
NORWALK POWER LLC NRG NORTHEAST GENERATING LLC 40,179,000 8.690% C
---------------------------------------------------------------------------------------------------------------
OSWEGO HARBOR POWER LLC NRG NORTHEAST GENERATING LLC 62,299,000 8.690% C
---------------------------------------------------------------------------------------------------------------
SOMERSET POWER LLC NRG NORTHEAST GENERATING LLC 34,800,000 8.690% C
---------------------------------------------------------------------------------------------------------------
ARTHUR KILL POWER LLC NRG NORTHEAST GENERATING LLC 226,900,000 8.690% C
---------------------------------------------------------------------------------------------------------------
OMEGA ENERGY LLC NEO CORP. 5,277,741 12.500% VARIOUS
---------------------------------------------------------------------------------------------------------------
MINNESOTA METHANE NEO CORP. 22,570,368 PRIME + 2% VARIOUS
---------------------------------------------------------------------------------------------------------------
PRAIRIELAND SOLID WASTE SOUTHERN MINNESOTA 37,666 NA 2003
---------------------------------------------------------------------------------------------------------------
ROCKY ROAD NRG ROCKY ROAD LLC 1,000,000 NA 09/30/00
---------------------------------------------------------------------------------------------------------------
TOSLI NRG ENERGY, INC. 207,010 NA ON DEMAND
---------------------------------------------------------------------------------------------------------------
O'BRIEN COGEN II O'BRIEN COGEN II 496,670 NA 2008
---------------------------------------------------------------------------------------------------------------
MATRA NRGENERATING INTERNATIONAL BV 44,275,388 NA ON DEMAND
---------------------------------------------------------------------------------------------------------------
VARIOUS PACIFIC GENERATION 3,367,604 VARIOUS VARIOUS
---------------------------------------------------------------------------------------------------------------
XCEL ENERGY COMMUNICATIONS GROUP XCEL 25,000 6.855% 07/01/01
---------------------------------------------------------------------------------------------------------------
XCEL ENERGY MARKETS GROUP, INC. XCEL 14,550,000 6.855% 07/01/01
---------------------------------------------------------------------------------------------------------------
XCEL ENERGY RETAIL SERVICES GROUP XCEL 7,313,650 6.855% 07/01/01
---------------------------------------------------------------------------------------------------------------
XCEL ENERGY MARKETS GROUP, INC. E PRIME, INC. 6,000,000 6.855% 07/01/01
---------------------------------------------------------------------------------------------------------------
XCEL ENERGY RETAIL SERVICES GROUP NEW CENTURY - CADENCE, INC. 725,500 6.855% 07/01/01
---------------------------------------------------------------------------------------------------------------
XCEL ENERGY RETAIL SERVICES GROUP PLANERGY 6,531,350 6.855% 07/01/01
---------------------------------------------------------------------------------------------------------------
XCEL ENERGY RETAIL SERVICES GROUP STATCO FUELS 281,800 6.855% 07/01/01
---------------------------------------------------------------------------------------------------------------
NSP-MINNESOTA PREFERRED TRUST 206,190,000 7.875% 01/31/37
---------------------------------------------------------------------------------------------------------------
72
|
PSCO PSCO CAPITAL TRUST I 200,000,000 7.600% 06/30/38 --------------------------------------------------------------------------------------------------------------- SPS SPS CAPITAL I 103,000,000 7.850% 09/01/36 --------------------------------------------------------------------------------------------------------------- NSP-W NSP-MINNESOTA 72,500,000 A B --------------------------------------------------------------------------------------------------------------- |
A. NSP-W'S RATE ON MONEY BORROWED FROM NSP-MINNESOTA IS BASED ON
NSP-MINNESOTA'S COMMERCIAL PAPER RATE.
B. NSP-W'S SHORT TERM BORROWINGS FROM NSP-MINNESOTA MUST BE REPAID WITHIN 270
DAYS OF ORIGINATION.
C. THE $750 MILLION NRG NORTHEAST GENERATING BOND ISSUANCE WAS COMPRISED OF
THREE TRANCHES HAVING A COMBINED WEIGHTED AVERAGE INTEREST RATE OF 8.690%.
EACH TRANCH IS DUE AT A DIFFERENT MATURITY DATE:
SERIES A $320 MILLION 8.065% DUE DEC. 15, 2004
SERIES B $130 MILLION 8.842% DUE JUNE 15, 2015
SERIES C $300 MILLION 9.292% DUE DEC. 15, 2024
(B) DEBTS OWED TO OTHERS
OMITTED BY PERMISSION OF THE STAFF.
PRINCIPAL LEASES
12. DESCRIBE BRIEFLY THE PRINCIPAL FEATURES OF EACH LEASE (OMITTING OIL AND GAS LEASES TO WHICH THE REGISTRANT OR ANY SUBSIDIARY COMPANY THEREOF IS A PARTY, WHICH INVOLVES RENTAL AT AN ANNUAL RATE OF MORE THAN $50,000 OR AN AMOUNT EXCEEDING 1% OF THE ANNUAL GROSS OPERATING REVENUE OF SUCH PARTY TO SAID LEASE DURING ITS LAST FISCAL YEAR (WHICHEVER OF SUCH SUMS IS THE LESSER) BUT NOT INCLUDING ANY LEASE INVOLVING RENTAL AT A RATE OF LESS THAN $5,000 PER YEAR.
-----------------------------------------------------------------------------------------------------------
LESSEE LESSOR ITEMS LEASED 1999 EXPIRATION
PAYMENTS DATE
-----------------------------------------------------------------------------------------------------------
E PRIME AMERIMAR REALTY MGMT CO. DENVER OFFICE $ 191,624 08/31/04
-----------------------------------------------------------------------------------------------------------
E PRIME MACK-CALI TEXAS PROPERTY HOUSTON OFFICE 210,631 03/31/00
LP
-----------------------------------------------------------------------------------------------------------
E PRIME WEATHERFORD GLOBAL COMPRESSOR #1 TOP 126,564 03/31/00
-----------------------------------------------------------------------------------------------------------
NATURAL FUELS FIRST INDUSTRIAL LP 5855 STAPLETON DR 102,572 08/31/00
-----------------------------------------------------------------------------------------------------------
PSCO BANNOCK ASSOC LTD PNRSP BANNOCK CENTER CORP. 218,504 05/31/99
-----------------------------------------------------------------------------------------------------------
PSCO BRADBURY FAMILY PNRSP FT. COLLINS OPER CENTER 421,772 10/01/01
-----------------------------------------------------------------------------------------------------------
PSCO COMDISCO COMPUTER 2,131,500 07/31/99
-----------------------------------------------------------------------------------------------------------
PSCO COMPASS MGMT & LEASING STORAGE & LEASE - 17TH STREET 7,128,227 08/01/01
-----------------------------------------------------------------------------------------------------------
PSCO FRASER STREET PARTNERS 3751 FRASER ST (GATEWAY SC) 105,000 05/31/03
-----------------------------------------------------------------------------------------------------------
PSCO FRED PATTRIDGE LEYDEN 81,258 12/31/40
-----------------------------------------------------------------------------------------------------------
PSCO WALTER PROPERTIES INC. 1730 BLAKE ST 151,109 03/31/02
-----------------------------------------------------------------------------------------------------------
QUIXX ANB'S LEASE PROPERTY 90,252 01/01/07
-----------------------------------------------------------------------------------------------------------
SPS BANK ONE AMARILLO OFFICE 1,859,384 11/30/01
-----------------------------------------------------------------------------------------------------------
SPS DANKA OFFICE IMAGING COPIER 50,042 07/30/01
-----------------------------------------------------------------------------------------------------------
SPS DATA-LINE COPIER SYSTEM COPIER 60,828 05/20/01
-----------------------------------------------------------------------------------------------------------
SPS PARAMOUNT LEASING, INC. COPIER 51,600 VARIOUS
-----------------------------------------------------------------------------------------------------------
SPS TASCOSA OFFICE MACHINES COPIER 88,365 10/10/00
-----------------------------------------------------------------------------------------------------------
UE FORD MOTOR CREDIT TRANSPORTATION EQUIPMENT 58,640 VARIOUS
-----------------------------------------------------------------------------------------------------------
UE XEROX CORP. OFFICE EQUIPMENT 74,360 VARIOUS
-----------------------------------------------------------------------------------------------------------
E PRIME IBM SERVER AND SOFTWARE 124,584 05/31/00
-----------------------------------------------------------------------------------------------------------
PSCO YOUNG GAS STORAGE CO. GAS STORAGE EQUIPMENT 5,094,375 05/01/25
-----------------------------------------------------------------------------------------------------------
PSCO WYCO, LLC FRONT RANGE PIPELINE 293,919 12/01/24
-----------------------------------------------------------------------------------------------------------
PSCO COMDISCO COMPUTER 1,625,495 08/01/99
-----------------------------------------------------------------------------------------------------------
NSP-MINNESOTA GE CAPITAL VEHICLES $ 1,510,425 VARIOUS
-----------------------------------------------------------------------------------------------------------
NSP-MINNESOTA CITICORP BANKER'S LEASING TRANSPORTATION EQUIPMENT 12,323,742 VARIOUS
CORP.
-----------------------------------------------------------------------------------------------------------
NSP-W GE CAPITAL VEHICLES 350,131 VARIOUS
-----------------------------------------------------------------------------------------------------------
NSP-W CITICORP BANKER'S LEASING TRANSPORTATION EQUIPMENT 2,438,825 VARIOUS
CORP.
-----------------------------------------------------------------------------------------------------------
VIKING GE CAPITAL VEHICLES 56,460 VARIOUS
-----------------------------------------------------------------------------------------------------------
VIKING NSP-MINNESOTA OFFICE 69,553 12/31/00
-----------------------------------------------------------------------------------------------------------
NRG ENERGY, INC. 1221 LIMITED PARTNERSHIP OFFICE 471,923 06/30/02
-----------------------------------------------------------------------------------------------------------
NRG ENERGY, INC. OFFICE
-----------------------------------------------------------------------------------------------------------
NRG ENERGY, INC. IKON MGMT SERVICES OFFICE EQUIPMENT 240,000 03/31/02
-----------------------------------------------------------------------------------------------------------
NRG ENERGY CENTER ST. PAUL PROPERTIES, INC. BAKER PLANT LEASE 143,550 01/01/01
-----------------------------------------------------------------------------------------------------------
NRG ENERGY, INC. SPP REAL ESTATE, INC. OFFICE 183,809 06/30/04
-----------------------------------------------------------------------------------------------------------
CROCKETT COGENERATION STATE OF CALIFORNIA LAND LEASE 77,000 12/01/26
-----------------------------------------------------------------------------------------------------------
SAN FRANCISCO THERMAL LP FIFTH HISTORIC OFFICE 04/30/05
PROPERTIES, INC.
-----------------------------------------------------------------------------------------------------------
NRG CADILLAC GECC EQUIPMENT/FACILITIES 3,264,853 09/30/13
-----------------------------------------------------------------------------------------------------------
NRG LONDON STANDARD LIFE INVESTMENT OFFICE 95,221 09/29/00
FUND
-----------------------------------------------------------------------------------------------------------
ECK GENERATING S.R.O. ENERGETICKE CENTRUM OFFICE 79,630 01/01/18
KLADNO S.R.O
-----------------------------------------------------------------------------------------------------------
NRG AUSTRALIA QLC INVESTMENT CORP. OFFICE 110,109 06/30/04
-----------------------------------------------------------------------------------------------------------
NRG ENERGY, INC. BLC CORP. EQUIPMENT 68,511 VARIOUS
-----------------------------------------------------------------------------------------------------------
NRG ENERGY, INC. BLC CORP. EQUIPMENT 93,600 VARIOUS
-----------------------------------------------------------------------------------------------------------
NEO HMDC HACKENSACK MEADOWLANDS LANDFILL OPERATING LEASE 72,500 07/15/17
DEVELOPMENT COMMISSION
-----------------------------------------------------------------------------------------------------------
EMI NORTHWEST LEASING VEHICLES 90,006 VARIOUS
-----------------------------------------------------------------------------------------------------------
EMI CAT TAIL REALTY LP OFFICE 170,933 11/30/02
-----------------------------------------------------------------------------------------------------------
EMI NRG/EMI OFFICE 56,622 NONE
-----------------------------------------------------------------------------------------------------------
EMI ALTER ASSET MGMT OFFICE 71,435 12/31/02
-----------------------------------------------------------------------------------------------------------
74
|
-----------------------------------------------------------------------------------------------------------
EMI THIRTY FIVE CORP LLC OFFICE 184,892 11/30/99
-----------------------------------------------------------------------------------------------------------
ULTRA POWER THORPE REAL ESTATE SVCS OFFICE LEASE 91,091 05/31/03
-----------------------------------------------------------------------------------------------------------
NSP-MINNESOTA CITICORP BANKER'S LEASING FORMER ULTRA POWER VEHICLES 264,652 VARIOUS
CORP.
-----------------------------------------------------------------------------------------------------------
SEREN INNOVATIONS, INC. UNITED PROPERTIES OFFICE 5,326 3/31/99
-----------------------------------------------------------------------------------------------------------
SEREN INNOVATIONS, INC. BELTINICK TRUST OFFICE 60,851 5/20/01
-----------------------------------------------------------------------------------------------------------
SEREN INNOVATIONS, INC. HOFFMAN IRREVOCABLE TRUST OFFICE 30,016 4/30/00
-----------------------------------------------------------------------------------------------------------
SEREN INNOVATIONS, INC. CCT BUILDING OFFICE 93,763 1/31/07
-----------------------------------------------------------------------------------------------------------
SEREN INNOVATIONS, INC. HEARTLAND GLASS WAREHOUSE 30,560 30 DAYS
-----------------------------------------------------------------------------------------------------------
SEREN INNOVATIONS, INC. GE CAPITAL VEHICLES 186,198 VARIOUS
-----------------------------------------------------------------------------------------------------------
NSP-MINNESOTA AID ASSOCIATION FOR RAIL CARS 1,440,645 03/01/11
LUTHERANS
-----------------------------------------------------------------------------------------------------------
NSP-MINNESOTA BANK OF TOKYO - MITSUBISHI RAIL CARS 0 08/01/15
-----------------------------------------------------------------------------------------------------------
NSP-MINNESOTA BANK OF TOKYO - MITSUBISHI RAIL CARS 1,284,854 03/31/00
-----------------------------------------------------------------------------------------------------------
NSP-MINNESOTA FIRST UNION COMMERCIAL RAIL CARS 1,210,655 2/15/10
CORP.
-----------------------------------------------------------------------------------------------------------
NSP-MINNESOTA BANK OF AMERICA RAIL CARS 871,641 1/31/01
-----------------------------------------------------------------------------------------------------------
NSP-MINNESOTA BANK OF AMERICA RAIL CARS 1,150,677 5/31/14
-----------------------------------------------------------------------------------------------------------
NSP-MINNESOTA OTTERTAIL POWER CO. RAIL CARS 182,103 A
-----------------------------------------------------------------------------------------------------------
NSP-MINNESOTA CIT GROUP RAIL CARS 900,000 7/31/01
-----------------------------------------------------------------------------------------------------------
|
A. NSP-MINNESOTA LEASED RAIL CARS FROM OTTERTAIL POWER ON AN AS-NEEDED AND AS-AVAILABLE BASIS
SECURITIES SOLD
13. IF, DURING THE LAST FIVE YEARS, THE REGISTRANT OR ANY SUBSIDIARY COMPANY THEREOF HAS ISSUED, SOLD OR EXCHANGED EITHER PUBLICLY OR PRIVATELY ANY SECURITIES HAVING A PRINCIPAL AMOUNT, PAR, STATED OR DECLARED VALUE EXCEEDING $1,000,000 OR EXCEEDING AN AMOUNT EQUAL TO 10% OF THE TOTAL LIABILITIES AS SHOWN BY THE BALANCE SHEET OF ISSUER AT THE TIME OF SUCH ISSUE (WHICHEVER OF SUCH SUMS IS THE LESSER), GIVE THE FOLLOWING INFORMATION WITH RESPECT TO EACH SUCH ISSUE OR SALE:
NSP-MINNESOTA COMMON STOCK SPLIT TWO-FOR-ONE IN MAY 1998. SHARES ISSUED IN 1997 AND EARLIER ARE STATED IN PRE-SPLIT SHARES, AND SHARES ISSUED IN 1998 AND LATER ARE STATED IN POST-SPLIT SHARES.
-------------------------------------- ------------- --------------- -------------- -------------------------------- --------------
PROCEEDS
RECEIVED BY APPROXIMATE NAME OF PRINCIPAL UNDERWRITERS
ISSUER PER EXPENSES OF OR PURCHASERS UNDERWRITERS
AMOUNT $100 (BEFORE ISSUER PER INITIAL
TITLE OF ISSUE ISSUED OR EXPENSES) $100 OFFERING
SOLD (IN $ PRICE
UNLESS
STATED
-------------------------------------- ------------- --------------- -------------- -------------------------------- --------------
NRG 1996 $125 MILLION 125,000,000 99.039 BEAR, STEARNS & CO., INC. AND 99.689
MERRILL LYNCH & CO.
NRG 1997 $250 MILLION 250,000,000 99.115 SALOMAN BROS, ABN AMRO AND 99.765
CHASE SECURITIES
NRG 1999 $300 MILLION 300,000,000 99.320 0.110 SALOMAN SMITH BARNEY/ABN AMRO 99.970
INC., BANC OF AMERICA
SECURITES LLC/MERRILL LYNCH,
PIERCE, FENNER & SMITH INC.
NRG 1999 $240 MILLION 240,000,000 102.165 0.156 BANC OF AMERICA SECURITIES 99.785
ROARS LLC/CIBC WORLD MARKETS CORP.
NRG 2000 NE GENERATING 320,000,000 99.000 0.016 CHASE SECURITIES INC./SALOMAN 100.000
SMITH BARNEY, INC./ABN AMRO,
INC./CIBC WORLD MARKETS
CORP./KLEINWORT BENSON N.A. LLC
NRG 2000 NE GENERATING $130,000,000 99.000 0.039 CHASE SECURITIES INC./SALOMAN 100.000
SMITH BARNEY, INC./ABN AMRO,
INC./CIBC WORLD MARKETS
CORP./KLEINWORT BENSON N.A. LLC
NRG 2000 NE GENERATING 300,000,000 99.000 0.017 CHASE SECURITIES INC./SALOMAN 100.000
SMITH BARNEY, INC./ABN AMRO,
INC./CIBC WORLD MARKETS
CORP./KLEINWORT BENSON N.A. LLC
NRG 2000 NRG SO. 500,000,000 99.000 0.010 CHASE SECURITIES, INC./LEHMAN 100.000
CENTRAL GENERATING BROS.
NRG 2000 NRG SO. 800,000,000 99.000 0.006 CHASE SECURITIES, INC./LEHMAN 100.000
CENTRAL GENERATING BROS.
NRG 2000 L160 MILLION L173,136,343 108.210 0.020 BANC OF AMERICA SECURITIES 99.891
LLC/ ABN AMRO, INC./ DEUTSCHE
BANC ALEX. BROWN
NRG 2000 NRG COMMON 32,395,500 100.000 0.359 SALOMAN SMITH BARNEY/CREDIT 15.000
STOCK IPO SHARES SUISSE FIRST BOSTON
NRG 2000 $350 MILLION 350,000,000 99.053 0.030 BANK OF AMERICA 99.703
SECURITIES/SALOMAN SMITH
76
|
BARNEY/MERRILL LYNCH
BLACK MOUNTAIN '95 BMG 6.000% DUE 1,300,000 100.00 3.740 PUBLIC 100.000
05/01/05
COMMERCIAL
PAPER (A)
ELOIGNE 1994 HILLCREST 1,000,000 100.00 0.000 US BANK 100.000
ELOIGNE 1994 MAPLE CREST $2,945,000 100.00 1.425 US BANK 100.000
ELOIGNE 1994 ST. CROIX $1,500,000 100.00 0.000 US BANK 100.000
VILLAGE
ELOIGNE 1995 FOUR COURTS $2,450,000 100.00 0.000 US BANK 100.000
ELOIGNE 1995 POLYNESIAN 3,355,000 100.00 0.000 US BANK 100.000
VILLAGE
ELOIGNE 1995 TOWER TERRACE $1,238,383 100.00 0.000 MN HOUSING FINANCE AGENCY 100.000
ELOIGNE 1996 BEMIDJI 1,006,492 100.00 0.000 MN HOUSING FINANCE AGENCY 100.000
TOWNHOMES
ELOIGNE 1996 FAIRVIEW RIDGE 2,075,835 100.00 0.000 MN HOUSING FINANCE AGENCY 100.000
ELOIGNE 1996 PRAIRIE VILLAGE 1,050,000 100.00 0.238 BUFFALO NATIONAL BANK 100.000
ELOIGNE 1997 GROVELAND 2,386,125 100.00 0.000 GLASER FINANCIAL SERVICES 100.000
TERRACE
ELOIGNE 1997 VADNAIS HEIGHTS 1,150,000 100.00 1.630 WELLS FARGO BANK 100.000
ELOIGNE 1997 WILLOW PONDS 2,200,000 100.00 0.000 GLASER FINANCIAL GROUP 100.000
ELOIGNE 1998 NDH A 9,929,930 100.00 0.447 NDH CAPITAL CORP. 100.000
ELOIGNE 1998 CITY LIMITS 1,670,000 100.00 0.966 US BANK 100.000
ELOIGNE 1998 NDH B 9,941,968 100.00 0.521 NDH CAPITAL CORP. 100.000
ELOIGNE 1998 OAKDALE 1,500,000 100.00 1.084 US BANK 100.000
ELOIGNE 1999 MARSH RUN 1,314,968 100.00 0.000 US BANK 100.000
ELOIGNE 2000 BRICKSTONE 1,505,800 100.00 0.000 MN HOUSING FINANCE AGENCY 100.000
TOWNHOMES
ELOIGNE 2000 NDH DEBT C 4,000,945 100.000 0.612 NDH CAPITAL CORP. 100.000
FMAP 1998 BANK LOAN 5,000,000 100.000 0.000 U.S. BANK 100.000
PSCO 1996 1ST COLLATERAL 125,000,000 98.366 1.000 PUBLIC 99.366
TRUST BONDS
PSCO 1996 MEDIUM TERM 15,000,000 99.400 0.600 PUBLIC 100.000
NOTES
PSCO 1996 MEDIUM TERM 15,000,000 99.400 0.600 PUBLIC 100.000
NOTES
PSCO 1996 MEDIUM TERM 15,000,000 99.250 0.750 PUBLIC 100.000
NOTES
PSCO 1996 MEDIUM TERM 15,000,000 99.250 0.750 PUBLIC 100.000
NOTES
PSCO 1997 MEDIUM TERM 22,000,000 99.250 0.750 PUBLIC 100.000
NOTES
PSCO 1997 MEDIUM TERM 23,000,000 99.250 0.750 PUBLIC 100.000
NOTES
PSCO 1997 MEDIUM TERM 15,000,000 99.400 0.600 PUBLIC 100.000
NOTES
PSCO 1997 MEDIUM TERM 15,000,000 99.400 0.600 PUBLIC 100.000
NOTES
PSCO 1997 MEDIUM TERM 100,000,000 93.750 6.250 PUBLIC 100.000
NOTES
PSCO 1998 1ST COLLATERAL 250,000,000 99.077 0.923 PUBLIC 100.000
TRUST BONDS
PSCO 1998 TOPRS 200,000,000 95.706 4.294 PUBLIC 100.000
PSCO 1999 POLLUTION 21,500,000, 97.135 2.865 PUBLIC 100.000
CONTROL
PSCO 1999 POLLUTION 27,250,000 96.359 3.641 PUBLIC 100.000
CONTROL
PSCO 1999 UNSECURED NOTES 200,000,000 98.469 0.830 PUBLIC 99.299
CHEYENNE 1997 INDUSTRIAL 10,000,000 96.328 3.322 PUBLIC 99.650
REVENUE BONDS
CHEYENNE 1997 INDUSTRIAL 7,000,000 96.564 2.936 PUBLIC 99.500
REVENUE BONDS
PS CREDIT CORP. 1995 MEDIUM TERM 100,000,000 99.750 0.250 PUBLIC 100.000
NOTES
SPS 1995 FMB'S 70,000,000 98.722 1.228 PUBLIC 100.000
SPS 1996 FMB'S 60,000,000 98.993 0.947 PUBLIC 100.000
SPS 1996 POLLUTION 57,300,000 98.046 1.954 PUBLIC 100.000
CONTROL
SPS 1996 POLLUTION 25,000,000 95.962 4.038 PUBLIC 100.000
CONTROL
SPS 1996 TOPRS 100,000,000 96.560 3.440 PUBLIC 100.000
SPS 1999 UNSECURED NOTES 100,000,000 98.806 1.040 PUBLIC 100.000
NCE COMMON STOCK $117,000,000 99.637 0.363 PUBLIC 100.000
NSP-MINNESOTA 1999 16,890,000 100.000 0.00 PUBLIC 99.695
RAMSEY/WASHINGTON
NSP-MINNESOTA 1994 5 1/2% FMB'S 200,000,000 99.825 0.51 PUBLIC 99.663
NSP-MINNESOTA 1994 7 7/8% FMB'S 150,000,000 99.600 0.68 PUBLIC 99.300
NSP-MINNESOTA 1994 COMMON STOCK 42,567 D COMPENSATION PLANS
SHARES
NSP-MINNESOTA 1995 7 1/8% FMB'S 250,000,000 98.777 0.76 PUBLIC 99.068
NSP-MINNESOTA 1995 COMMON STOCK 1,127,811 D COMPENSATION PLANS
SHARES
NSP-MINNESOTA 1995 COMMON STOCK 125,979 I
SHARES
NSP-MINNESOTA 1995 ESOP LOAN #5 15,000,000 100.000 0.00 SUMITOMO BANK 100.000
NSP-MINNESOTA 1996 COMMON STOCK 888,187 D COMPENSATION PLANS
SHARES
NSP-MINNESOTA 1996 ESOP LOAN #6 15,000,000 100.000 0.00 ABN AMRO BANK 100.000
NSP-MINNESOTA 1997 COMMON STOCK 654,670 D COMPENSATION PLANS
SHARES
NSP-MINNESOTA 1997 COMMON STOCK 4,900,000 48.3325/SHARE PUBLIC $49.5625/SHARE
PUBLIC ISSUE SHARES
NSP-MINNESOTA 1998 5 7/8% FMB'S 100,000,000 99.914 0.58 PUBLIC 99.848
NSP-MINNESOTA 1998 6 1/2% FMB'S 150,000,000 98.474 0.98 PUBLIC 98.826
77
|
NSP-MINNESOTA 1998 COMMON STOCK 175,910 E E
SHARES
NSP-MINNESOTA 1998 COMMON STOCK 676,739 F F
SHARES
NSP-MINNESOTA 1998 COMMON STOCK 2,607,558 D COMPENSATION PLANS
SHARES
NSP-MINNESOTA 1998 ESOP LOAN #7 15,000,000 100.00 0.00 BANK OF NEW YORK 100.000
NSP-MINNESOTA 1999 6 7/8% SR. 250,000,000 98.629 0.99 PUBLIC 99.279
NOTES
NSP-MINNESOTA 1999 COMMON STOCK 733,452 G G
SHARES
NSP-MINNESOTA 1999 COMMON STOCK 2,299,240 D COMPENSATION PLANS
SHARES
NSP-MINNESOTA 2000 COMMON STOCK 44,904 H H
SHARES
NSP-MINNESOTA 2000 COMMON STOCK 2,963,436 D COMPENSATION PLANS
SHARES
NSP-MINNESOTA 1999 ANOKA 19,615,000 100.000 0.32 PUBLIC 100.000
NSP-W 1996 7 3/8% FMB'S 65,000,000 99.218 0.76 PUBLIC 99.587
NSP-W 1996 LACROSSE 18,600,000 99.313 1.336 PUBLIC 100.00
NSP-W 2000 7.64% SR. NOTES 80,000,000 99.375 PUBLIC 100.00
NSP-W 2000 COMMON STOCK 71,000 422.21 0.000 NSP-MINNESOTA 422.21
SHARES /SHARE /SHARE
PREFERRED TRUST TOPRS 200,000,000 100.000 PUBLIC 100.000
PSCO TOPRS 7,760,000 PUBLIC
SEREN 1997-2000 COMMON 193 SHARES $1,000,000.00 0.000 NSP-MINNESOTA $1,000,000.00
INNOVATIONS STOCK /SHARE /SHARE
INC.
VIKING 1996 SERIES B 5,400,000 100.00 0.61 C 100.000
VIKING 1997 SERIES C 14,000,000 100.00 0.16 C 100.000
VIKING 1999 SERIES D 20,000,000 100.00 0.02 C 100.000
VIKING 1999-2000 COMMON 219 SHARES $100,000.000 0.000 NSP-MINNESOTA $100,000.000
STOCK /SHARE /SHARE
XCEL STOCK 2000 COMMON STOCK 45,485 D COMPENSATION PLANS
SHARES
|
A. THE COMPANY ISSUES AND REDEEMS COMMERCIAL PAPER AS NECESSARY TO MANAGE
LIQUIDITY.
B. SEREN INNOVATIONS, INC. COMMON STOCK CONVERTED TO $1,000,000 PAR VALUE FROM
$100,000 PAR VALUE.
C. VIKING'S DEBT WAS PRIVATELY PLACED WITH FIVE INSURANCE COMPANIES AND ONE
TRUST COMPANY.
D. STOCK ISSUED FOR COMPENSATION PLANS SUCH AS THE ESOP AND EXECUTIVE LONG
TERM INCENTIVE PLANS, AND ALSO THE DIVIDEND REINVESTMENT AND STOCK PURCHASE
PLAN.
E. ISSUED TO FORMER STOCKHOLDERS OF NATURAL GAS, INC IN THE MERGER OF NATURAL
GAS, INC. AND NSP-W.
F. ISSUED TO FORMER SHAREHOLDERS OF BLACK MOUNTAIN, IN THE MERGER OF BLACK
MOUNTAIN AND NSP-MINNESOTA.
G. ISSUED TO FORMER SHAREHOLDERS OF NATROGAS, INC. IN THE MERGER OF NATROGAS,
INC. AND NSP-MINNESOTA.
H. ISSUED TO FORMER SHAREHOLDERS OF VERLE A. WILLIAMS & CO., IN THE MERGER OF
VERLE A. WILLIAMS & CO. AND ENERGY MASTERS INTERNATIONAL, INC.
I. ISSUED TO FORMER SHAREHOLDERS OF ENERGY MASTERS CORP., IN THE MERGER OF
ENERGY MASTERS CORP. AND ENERGY MASTERS INTERNATIONAL, INC.
AGREEMENTS FOR FUTURE DISTRIBUTION OF SECURITIES
14.
(a) SUMMARIZE THE TERMS OF ANY EXISTING AGREEMENT TO WHICH THE REGISTRANT OR ANY ASSOCIATE OR AFFILIATE COMPANY THEREOF IS A PARTY OR IN WHICH ANY SUCH COMPANY HAS A BENEFICIAL INTEREST WITH RESPECT TO FUTURE DISTRIBUTION OF SECURITIES OF THE REGISTRANT OR OF ANY SUBSIDIARY;
NONE
(b) DESCRIBE BRIEFLY THE NATURE OF ANY FINANCIAL INTEREST (OTHER THAN THE OWNERSHIP OF SECURITIES ACQUIRED AS A DEALER FOR THE PURPOSE OF RESALE) WHICH ANY PERSON WITH WHOM SUCH AGREEMENT EXISTS, HAS IN THE REGISTRANT OR IN ANY ASSOCIATE OR AFFILIATE COMPANY THEREOF.
NONE
TWENTY LARGEST HOLDERS OF CAPITAL STOCK
15. AS OF A RECENT DATE (INDICATING SUCH DATE FOR EACH CLASS) GIVE THE FOLLOWING INFORMATION WITH RESPECT TO THE HOLDERS OF EACH CLASS OF STOCK AND/OR CERTIFICATES OF BENEFICIAL INTEREST OF THE REGISTRANT:
XCEL ENERGY SHAREHOLDERS ON SEPT. 30, 2000:
----------------------------------------------------------------------------------------------------------------------
(a) LIST THE TWENTY LARGEST HOLDERS IN ACCORDANCE WITH THE TABLE BELOW:
TITLE OF ISSUE HOLDER OF RECORD AND ADDRESS NUMBER OF SHARES OWNED PERCENT OF CLASS
----------------------------------------------------------------------------------------------------------------------
COMMON CEDE & CO. 244,749,204 71.97%
C/O DEPOSITORY TRUST CO.
PO BOX 20
BOWLING GREEN STATION
NY, NY 10274
----------------------------------------------------------------------------------------------------------------------
COMMON PERC & CO. 26,982,844 7.93%
ATTN: DIVIDEND REINVESTMENT
161 CONCORD EXCHANGE NO.
SOUTH ST. PAUL MN 55075
----------------------------------------------------------------------------------------------------------------------
COMMON US BANK NATIONAL ASSOCIATION 12,053,329 3.54%
TRUSTEE OF NSP-ESOP
PO BOX 64488
ST. PAUL MN 55164
----------------------------------------------------------------------------------------------------------------------
COMMON O'CONNELL FAMILY LTD. PARTNERSHIP 175,910 0.05%
865 QUENTIN AVE SO.
LAKELAND MN 55043
----------------------------------------------------------------------------------------------------------------------
COMMON HERMAN WOLF SEPARATE PROPERTY TRUST 98,253 0.03%
BOX 2072
CAREFREE AZ 85377-2072
----------------------------------------------------------------------------------------------------------------------
COMMON BILL D. HELTON & PHYLLIS K. HELTON JT TEN 65,552 0.02%
3217 CROCKETT
AMARILLO TX 79109
----------------------------------------------------------------------------------------------------------------------
COMMON ROBERT H. GOODALE & BETTY GOODALE JT TEN 52,889 0.02%
7314 ISLAND CIRCLE
BOULDER CO 80301-3906
----------------------------------------------------------------------------------------------------------------------
COMMON JAMES J. HOWARD 51,708 0.02%
414 NICOLLET MALL
MINNEAPOLIS MN 55401
----------------------------------------------------------------------------------------------------------------------
COMMON WAYNE H. BRUNETTI & MARY K. BRUNETTI JT TEN 50,983 0.01%
414 NICOLLET MALL
MINNEAPOLIS MN 55401
----------------------------------------------------------------------------------------------------------------------
COMMON HARRY H. HETZ 50,007 0.01%
74 ROBSART ROAD
KENILWORTH IL 60043
----------------------------------------------------------------------------------------------------------------------
COMMON VERLE A. WILLIAMS AND ASSOCIATES, INC. 44,904 0.01%
12394 FAIRWAY PTE ROW
SAN DIEGO CA 92128
----------------------------------------------------------------------------------------------------------------------
COMMON DONALD O. SMITH 43,314 0.01%
6600 RAINBOW
MISSION HILLS KS 66208
----------------------------------------------------------------------------------------------------------------------
COMMON SEYMOUR S. FORTNER & CO. INC. 41,388 0.01%
2400 CHERRY CREEK DR. SO. UNIT 305
DENVER CO 80209
----------------------------------------------------------------------------------------------------------------------
COMMON HARLEY MEDIN TRUSTEE NATROGAS INC. 40,706 0.01%
PROFIT SHARING PLAN & TRUST
3900 WASHINGTON AVE N
MINNEAPOLIS MN 55412
----------------------------------------------------------------------------------------------------------------------
COMMON CAULKINS FAMILY PARTNERSHIP 36,067 0.01%
1400
1600 BROADWAY
DENVER CO 80202-4927
----------------------------------------------------------------------------------------------------------------------
80
|
COMMON DENNIS W. STARCK 34,803 0.01%
306 LAKESIDE DRIVE
LIBERTY MO 64068-3442
----------------------------------------------------------------------------------------------------------------------
COMMON DOROTHY H. MORIARTY TRUSTEE OF THE DOROTHY 33,836 0.01%
H. MORIARTY TRUST DTD 10/02/97
101 SUMMIT UNIT #512
PARK RIDGE IL 60068
----------------------------------------------------------------------------------------------------------------------
COMMON DELWIN D. HOCK & MILDRED L. HOCK JT TEN 33,413 0.01%
435 MONROE STREET
DENVER CO 80206-4446
----------------------------------------------------------------------------------------------------------------------
COMMON RAYMOND A. FREEBERG 32,719 0.01%
916 WOODLAND AVE.
MANKATO MN
----------------------------------------------------------------------------------------------------------------------
COMMON THOMAS R. ZELINSKY TRUSTEE THOMAS R. 32,293 0.01%
ZELINSKY TRUS U/A DTD 3/14/67
PO BOX 469
BATTLE CREEK MI 49016
----------------------------------------------------------------------------------------------------------------------
$3.60 PREFERRED CEDE & CO. 172,491 62.70%
C/O DEPOSITORY TRUST CO.
PO BOX 20
BOWLING GREEN STATION
NY, NY 1004
----------------------------------------------------------------------------------------------------------------------
$3.60 PREFERRED GLENN W. KASK 3,600 1.30%
2061 13TH AVE W
SHAKOPEE, MN 55379
----------------------------------------------------------------------------------------------------------------------
$3.60 PREFERRED ROBERT H. MOON 3,000 1.10%
260 ROUTE 51
COXSACKIE NY 12051
----------------------------------------------------------------------------------------------------------------------
$3.60 PREFERRED GEORGE P. PUTNAM TRUSTEE OF THE GEORGE P. 2,000 0.70%
PUTNAM TRUST DTD 4/22/86
BOX 1120
BOYNTON BEACH FL 33425
----------------------------------------------------------------------------------------------------------------------
$3.60 PREFERRED EDWARD W. VERBARG TRUSTEE U/A DTD 1/7/00 2,000 0.70%
EDWARD W. VERBARG TRUST
4435 TYROL CREST
GOLDEN VALLEY MN 55316
----------------------------------------------------------------------------------------------------------------------
$3.60 PREFERRED JOHN L. TUFTS 1,900 0.70%
6540 W. SHADOW LAKE
LINO LAKES MN 55014
----------------------------------------------------------------------------------------------------------------------
$3.60 PREFERRED JERRY T. MACKOVE TRUSTEE DORIS I. MACKOVE 1,840 0.70%
TRUST U/A DTD 2/24/89
8201 NORTHEIM LA
NEWTON WI 53063
----------------------------------------------------------------------------------------------------------------------
$3.60 PREFERRED HOWARD W. ANDERSON & FERN B. ANDERSON JT TEN 1,800 0.70%
205 4TH ST E BOX 31
COKATO MN 55321
----------------------------------------------------------------------------------------------------------------------
$3.60 PREFERRED DONALD L. JOHNSON 1,650 0.60%
7756 W 84TH ST
BLOOMINGTON MN 55438
----------------------------------------------------------------------------------------------------------------------
$3.60 PREFERRED MARY ELLEN GREEN 1,600 0.60%
BOX 278
PATTONSBURG MO 64670
----------------------------------------------------------------------------------------------------------------------
$3.60 PREFERRED THRUSH-THOMPSON FOUNDATION INC. 1,275 0.50%
PO BOX 185
PERU IN 46970
----------------------------------------------------------------------------------------------------------------------
$3.60 PREFERRED CHAUNCEY L. LOPEZ & DONALD P. LOPEZ JT TEN 1,200 0.40%
919 LINDEN CT
WESTERN SPRINGS IL 60558
----------------------------------------------------------------------------------------------------------------------
$3.60 PREFERRED LELAND S. SORENSON 1,200 0.40%
3848 HAVEN RD
MINNETONKA MN 55345-2369
----------------------------------------------------------------------------------------------------------------------
$3.60 PREFERRED RICHARD R. SCHOENMANN 1,100 0.40%
BOX 206
MAZOMANIE WI 53560-0206
----------------------------------------------------------------------------------------------------------------------
81
|
$3.60 PREFERRED ROY F. MOTTELER TOD MADELINE J. TUCKER 1,000 0.40%
SUBJECT TO STA TOD RULES
7927 STATE ROUTE 52 APT #424
HUDSON FL 34667-6783
----------------------------------------------------------------------------------------------------------------------
$3.60 PREFERRED JUDITH L. SHEU 1,000 0.40%
410 WEST GRAND AVE
EAU CLAIRE WI 54703
----------------------------------------------------------------------------------------------------------------------
$3.60 PREFERRED EDWARD W. VERBARG TR UA 02 07 00 1,000 0.40%
EDWARD W. VERBARG TRUST
4435 TYROL CREST
GOLDEN VALLEY MN 55416-3554
----------------------------------------------------------------------------------------------------------------------
$3.60 PREFERRED DONALD R. GREEN 900 0.30%
BOX 278
PATTONSBURG MO 64670
----------------------------------------------------------------------------------------------------------------------
$3.60 PREFERRED KENNETH G. OTOS & JANETTE I. OTOS 900 0.30%
TRUSTEES OF THE OTOS TRUST DTD 5/16/89
14937 TOURNAMENT DR
PO BOX 1176
HELENDALE CA 92342
----------------------------------------------------------------------------------------------------------------------
$3.60 PREFERRED EDWARD T. ARKO & CRAIG ARKO & ROXANNE 820 0.30%
STAUSS TRUSTEES U/A DTD 12/07/90 FBO THE
ARKO FAMILY TRUST
4100 PARKLAWN AVE STE 202
EDINA MN 55435-4671
----------------------------------------------------------------------------------------------------------------------
$4.08 PREFERRED CEDE & CO. 142,602 95.10%
C/O DEPOSITORY TRUST CO.
PO BOX 20
BOWLING GREEN STATION
NY, NY 10004
----------------------------------------------------------------------------------------------------------------------
$4.08 PREFERRED MRS. JOANNE C. MICHELSON 600 0.40%
14635 BLOOMFIELD PATH
ROSEMOUNT MN 55068
----------------------------------------------------------------------------------------------------------------------
$4.08 PREFERRED WILLIAM B. ARLEN 400 0.30%
602 W 3RD ST
HASTINGS MN 55033
----------------------------------------------------------------------------------------------------------------------
$4.08 PREFERRED LARRY K. COFFINDAFFER & LINDA D. 400 0.30%
COFFINDAFFER JT TEN
ROOM 304
LOGAN COUNTY COURTHOUSE
LOGAN WV 25601
----------------------------------------------------------------------------------------------------------------------
$4.08 PREFERRED HESTER B. RECKS & ROSEMARY ABRAHAMSON JT TEN 300 0.20%
2039 HYACINTH
ST PAUL MN 55119-3252
----------------------------------------------------------------------------------------------------------------------
$4.08 PREFERRED CHARLES DAVID DUDLEY TRUSTEE U/W OF WALTER 210 0.10%
H. KNAPP
10910 PINTAIL PL
CHESTERFIELD VA 23838
----------------------------------------------------------------------------------------------------------------------
$4.08 PREFERRED JAMES R. CARLSON 200 0.10%
7125 OAK LEAF DR
SANTA ROSA CA 95409
----------------------------------------------------------------------------------------------------------------------
$4.08 PREFERRED RUTH E. EDWARDS 200 0.10%
2200 SOUTHVIEW BLVD APT. 309
SO ST PAUL MN 55075-5801
----------------------------------------------------------------------------------------------------------------------
$4.08 PREFERRED MRS. GLORIA R. GILKEY 200 0.10%
1704 SPRINGFIELD AVE
KINGSPORT TN 37664
----------------------------------------------------------------------------------------------------------------------
$4.08 PREFERRED GEORGE C. HARRISON & MARY G. HARRISON JT TEN 200 0.10%
1631 SHEPHERDS GLADE DR
APEX NC 27502-4808
----------------------------------------------------------------------------------------------------------------------
$4.08 PREFERRED HOMECARE INC PSP & TRUST U/A DTD 5/30/85 200 0.10%
115 E BURNSVILLE PKWY #207
BURNSVILLE MN 55337
----------------------------------------------------------------------------------------------------------------------
$4.08 PREFERRED ROBERT E. JERENTOSKY & JANIS G. JERENTOSKY 200 0.10%
JT TEN TOD SCOTT HOWARD JERENTOSKY SUBJECT
TO STA TOD RULES
BOX 006
FIFTY LAKES MN 56448
----------------------------------------------------------------------------------------------------------------------
82
|
$4.08 PREFERRED ERNEST V. JULIEN 200 0.10%
1986 N HAMLINE AVE
ROSEVILLE MN 55113
----------------------------------------------------------------------------------------------------------------------
$4.08 PREFERRED GLENN W. KASK 200 0.10%
2061 13TH AVE W
SHAKOPEE MN 55379
----------------------------------------------------------------------------------------------------------------------
$4.08 PREFERRED MRS. HELENE ROWE 200 0.10%
W8521 SCHOOL SECTION ROAD
DARIEN WI 53114-1251
----------------------------------------------------------------------------------------------------------------------
$4.08 PREFERRED VINCENT E. SHIELDS & DOROTHY M. SHIELDS 200 0.10%
TRUSTEES U/A DTD 6/17/97 VINCENT E SHIELDS
& DOROTHY M. SHIELDS FAMILY TRUST
8031 XERXES AVE #121
BLOOMINGTON MN 55431-1086
----------------------------------------------------------------------------------------------------------------------
$4.08 PREFERRED FIRST MAXFIELD MUTUAL INS ASSOCIATION 170 0.10%
BOX 385
DENVER IA 50622
----------------------------------------------------------------------------------------------------------------------
$4.08 PREFERRED EUNICE RUNDELL 150 0.10%
19857 124TH ST
VERNDALE MN 56481
----------------------------------------------------------------------------------------------------------------------
$4.08 PREFERRED ELIZABETH J. ANDERSON 100 0.10%
UNIT 406
2601 KENZIE TERRACE
MINNEAPOLIS MN 55418
----------------------------------------------------------------------------------------------------------------------
$4.08 PREFERRED JANICE E. BLEJA 100 0.10%
1405 WHITE CLOUD DRIVE
ISLE MN 56342
----------------------------------------------------------------------------------------------------------------------
$4.10 PREFERRED CEDE & CO. 159,070 90.90%
C/O DEPOSITORY TRUST CO.
PO BOX 20
BOWLING GREEN STATION
NY, NY 10004
----------------------------------------------------------------------------------------------------------------------
$4.10 PREFERRED EDVILLE BANKCORP INC. 1,060 0.60%
10 S VILLA AVE
VILLA PARK IL 60181
----------------------------------------------------------------------------------------------------------------------
$4.10 PREFERRED MILLER CORRUGATED BOX 1,000 0.60%
PO BOX 7229
WARWICK RI
----------------------------------------------------------------------------------------------------------------------
$4.10 PREFERRED GRACE COLLEGE OF THE BIBLE 400 0.20%
ATTN: MARVIN R. EPP
1515 S 10TH ST
OMAHA NE 68108
----------------------------------------------------------------------------------------------------------------------
$4.10 PREFERRED ABE MALMON & BETTY B. MALMON JT TEN 400 0.20%
525 S LEXINGTON PKWY APT #402
ST. PAUL MN 55116
----------------------------------------------------------------------------------------------------------------------
$4.10 PREFERRED SALLY M. ALLARD TRUSTEE SALLY M. ALLARD 320 0.20%
TRUST DTD 9/1/93
519 AVE C
BILLINGS MT 59102
----------------------------------------------------------------------------------------------------------------------
$4.10 PREFERRED JOHN P. BABER & DOROTHY F. BABER TRUSTEE 300 0.20%
U/A DTD 8/31/95 JOHN P. BABER & DOROTHY F.
BABER TRUST
1535 N HGTS DRIVE NW
ALBANY OR 97321
----------------------------------------------------------------------------------------------------------------------
$4.10 PREFERRED HOWARD W. COOK & DOROTHY COOK TRUSTEES OF 300 0.20%
THE HOWARD W. COOK REVOCABLE TRUST DTD
8/5/92
419 W 7TH ST
RED WING MN 55066
----------------------------------------------------------------------------------------------------------------------
$4.10 PREFERRED JOHN W. MCCAIN & MRS. ERIKA A MCCAN JT TEN 300 0.20%
9555 W MCCAIN RD
EXELAND WI 54835-3123
----------------------------------------------------------------------------------------------------------------------
$4.10 PREFERRED STANLEY DAVIDSON & HAZEL DAVIDSON JT TEN 250 0.10%
19 TWYFORD LANE
LAKEHURST NJ 08733
----------------------------------------------------------------------------------------------------------------------
$4.10 PREFERRED ROGER O. DYKEMA & CAROLYN A. DYKEMA JT TEN 245 0.10%
PO BOX 34
RAYMOND MN 56282
----------------------------------------------------------------------------------------------------------------------
83
|
$4.10 PREFERRED WILLIAM E. ROWE & VERNA J. ROWE TRUSTEES 470 0.20%
OF THE WILLIAM E. ROWE TRUST U/A DTD
02/16/94
2812 N 1ST ST
N ST PAUL MN 55109
----------------------------------------------------------------------------------------------------------------------
$4.10 PREFERRED MARTHA WEISNER LATTAM 220 0.10%
1956 CAVENDALE DR
ROCK HILL SC 29732
----------------------------------------------------------------------------------------------------------------------
$4.10 PREFERRED MARJORIE J. MARR TRSTE U/A DTD 8/29/77 200 0.10%
F/B/O SALLY M. ALLARD
519 AVENUE "C"
BILLINGS MT 59102
----------------------------------------------------------------------------------------------------------------------
$4.10 PREFERRED MARIE LUISE BURKE 200 0.10%
410 E 9TH ST
N MANCHESTER IN 46962
----------------------------------------------------------------------------------------------------------------------
$4.10 PREFERRED EDNA M. ENGEBRETSON 200 0.10%
1516 BADGER AVE
EAU CLAIRE WI 54701
----------------------------------------------------------------------------------------------------------------------
$4.10 PREFERRED PAUL J. FERR 200 0.10%
12102 W HOLT AVE
W ALLIS WI 53227
----------------------------------------------------------------------------------------------------------------------
$4.10 PREFERRED PAUL J FERR TRUSTEE U/W JOHN FERRI 200 0.10%
12102 W HOLT AVE
W ALLIS WI 53227
----------------------------------------------------------------------------------------------------------------------
$4.10 PREFERRED GAINESVILLE MILLING CO. 200 0.10%
PO BOX 2958
GAINESVILLE GA 30503
----------------------------------------------------------------------------------------------------------------------
$4.10 PREFERRED GLENDENNING INVESTMENT GROUP 200 0.10%
1765 PINEHURST AVE
ST. PAUL MN 55116
----------------------------------------------------------------------------------------------------------------------
$4.11 PREFERRED CEDE & CO 184,911 92.40%
C/O DEPOSITORY TRUST CO.
PO BOX 20
BOWLING GREEN STATION
NY, NY 10004
----------------------------------------------------------------------------------------------------------------------
$4.11 PREFERRED DONALD D. FISH 1,270 0.60%
5129 BARLIN
LAKEWOOD CA 90712
----------------------------------------------------------------------------------------------------------------------
$4.11 PREFERRED EDVILLEBANKCORP, INC. 950 0.50%
10 S VILLA AVE
VILLA PARK IL 60181
----------------------------------------------------------------------------------------------------------------------
$4.11 PREFERRED SALLY M. ALLARD TRUSTEE SALLY M. ALLARD 500 0.20%
TRUST DTD 9/1/93
519 AVE C
BILLINGS MT 59102
----------------------------------------------------------------------------------------------------------------------
$4.11 PREFERRED ABE MALMON & BETTY B. MALMON JT TEN 500 0.20%
525 S LEXINGTON PKWY APT #402
ST. PAUL MN 55116
----------------------------------------------------------------------------------------------------------------------
$4.11 PREFERRED WHITE FLAG SPORTSWEAR INC. 500 0.20%
C/O JERRY HELFMAN
17431 BRIDLEWAY TRAIL
BOCA RATON FL 33496
----------------------------------------------------------------------------------------------------------------------
$4.11 PREFERRED GLENN W. KASK 450 0.20%
2061 13TH AVE W
SHAKOPEE MN 55379
----------------------------------------------------------------------------------------------------------------------
$4.11 PREFERRED STANLEY L SIMS TRUSTEE STANLEY L SIMS 610 0.30%
TRUST U/A DTD 2/22/90
C/O CAROL OSWALD
6056 LAC LA BELLE DR
OCONOMOWOC WI 53066
----------------------------------------------------------------------------------------------------------------------
$4.11 PREFERRED STANDARD AMERICAN LIFE & ANNUITY CO. 320 0.20%
6801 W 50TH ST
MINNEAPOLIS MN 55410
----------------------------------------------------------------------------------------------------------------------
$4.11 PREFERRED ROBERT A. CLARIDGE 300 0.20%
3518 CYPRESS CLUB DR APT 103
CHARLOTTE NC 28210-2471
----------------------------------------------------------------------------------------------------------------------
|
$4.11 PREFERRED KENNETH L. HECK & LOIS M. HECK JT TEN 300 0.20%
312 E DECKER
VIROQUA WI 54665
----------------------------------------------------------------------------------------------------------------------
$4.11 PREFERRED GLADYS MURRAY 300 0.20%
632 MILITARY RD
FREDERICK MD 21701
----------------------------------------------------------------------------------------------------------------------
$4.11 PREFERRED CLIFFORD NORTHFIELD & CARLETTE H. 300 0.20%
NORTHFIELD JT TEN TOD THOMAS ALAN
NORTHFIELD SUBJECT TO STA TOD RULES
9600 PORTLAND AVE S APT 320
BLOOMINGTON MN 55420
----------------------------------------------------------------------------------------------------------------------
$4.11 PREFERRED OLIN O'DANIELS & MABEL E O'DANIELS JT TEN 300 0.20%
62 JACKSON PLACE
HASTINGS MN 55033-1097
----------------------------------------------------------------------------------------------------------------------
$4.11 PREFERRED BARBARA M. PETERSON 300 0.20%
7520 17TH AVE S
MINNEAPOLIS MN 55423
----------------------------------------------------------------------------------------------------------------------
$4.11 PREFERRED FLORENCE R. ROLFE & RONALD S. ROLFE 300 0.20%
TRUSTEES U/W/O NAT ROLFE
333 SUNSET AVE
PALM BEACH FL 33480
----------------------------------------------------------------------------------------------------------------------
$4.11 PREFERRED SAVLATORE C. VENTURELLA & MILDRED E. 300 0.20%
VENTURELLA JT TEN
12 GATEWAY DR
OIL CITY PA 16301
----------------------------------------------------------------------------------------------------------------------
$4.11 PREFERRED WESTERN GENERAL LIFE INSURANCE CO. 300 0.20%
ATTN: ACCOUNTING DEPT.
PO BOX 1660
HOUSTON TX 77251-1660
----------------------------------------------------------------------------------------------------------------------
$4.11 PREFERRED LESTER D. EDINGER & ELIZABETH A. EDINGER 200 0.10%
JT TEN
HC 64 BOX 798
GRAND MARAIS MN 55604-9802
----------------------------------------------------------------------------------------------------------------------
$4.11 PREFERRED LEON E. ENDRES & PATRICIA A. ENDRES JT TEN 200 0.10%
5981 222ND ST E
HAMPTON MN 55031
----------------------------------------------------------------------------------------------------------------------
$4.16 PREFERRED CEDE & CO 89,050 89.00%
C/O DEPOSITORY TRUST CO.
PO BOX 20
BOWLING GREEN STATION
NY, NY 10004
----------------------------------------------------------------------------------------------------------------------
$4.16 PREFERRED EVELYN F. VAN TASSEL 1,000 1.00%
DEERPATH INN
LAKE FOREST IL 60045
----------------------------------------------------------------------------------------------------------------------
$4.16 PREFERRED JOHN F. ELLIS & MARGARETE W. ELLIS 500 0.50%
TRUSTEES FBO ELLIS FAMILY TRUST U/T/A DTD
7/6/77
123 E LUCARD ST
TAFT CA 93268
----------------------------------------------------------------------------------------------------------------------
$4.16 PREFERRED KENDALL BILLS & MARIANNA BILLS JT TEN 450 0.40%
942 S WEAVER
SPRINGFIELD MO 65806
----------------------------------------------------------------------------------------------------------------------
$4.16 PREFERRED MARILYN WEISS 350 0.40%
826 ST ANDREWS DR APT P
WILMINGTON NC 28412
----------------------------------------------------------------------------------------------------------------------
$4.16 PREFERRED JUEN C. BENICA 300 0.30%
2511 SW 14TH ST
BOYNTON BEACH FL 33426
----------------------------------------------------------------------------------------------------------------------
$4.16 PREFERRED BUTLER COUNTY MUTUAL INSURANCE ASSOCIATION 300 0.30%
C/O MIKE JAHNKE, SECRETARY
101 CHERRY STREET BOX 458
ALLISON IA 50602
----------------------------------------------------------------------------------------------------------------------
$4.16 PREFERRED HARRIET MC CONVILLE 300 0.30%
111 MOORINGS PARK DR
ORCHID TERRACE #103
NAPLES FL 34105
----------------------------------------------------------------------------------------------------------------------
85
|
$4.16 PREFERRED EUGENE R. VOGT & IDA B. VOGT TRUSTEES U/A 300 0.30%
DTD 3/3/97 EUGENE R. VOGT & IDA B. VOGT
TRUST
200 N 3RD ST #704
BOISE ID 83702
----------------------------------------------------------------------------------------------------------------------
$4.16 PREFERRED OPAL J. FLADSTOL 225 0.20%
BOX 897
CONRAD MT 59425
----------------------------------------------------------------------------------------------------------------------
$4.16 PREFERRED TALMADGE ANDERSON & GLADYS ANDERSON 200 0.20%.
TRUSTEES U/A DTD 7/1/94 TALMADGE W.
ANDERSON & GLADYS I. ANDERSON TRUST
1815 15TH AVE
GREELEY CO 80631-5311
----------------------------------------------------------------------------------------------------------------------
$4.16 PREFERRED ARDEE, INC. 200 0.20%
C/O ROBERT J. ROSE
25200 W 91ST
LENEXA KS 66627
----------------------------------------------------------------------------------------------------------------------
$4.16 PREFERRED JOHN JOSEPH BROSNIHAN & JOSEPHINE A 200 0.20%
BROSNIHAN JT TEN
214 MORINGSIDE AVE
COUNCIL BLUFFS IA 51503
----------------------------------------------------------------------------------------------------------------------
$4.16 PREFERRED WILLIAM E. HANSON & IRENE S. HANSON 200 0.20%
TRUSTEES OF THE HANSON FAMILY REVOCABLE
LIVING TRUST DTD 7/19/95
716 SUGAR PALM
LARGO FL 33778
----------------------------------------------------------------------------------------------------------------------
$4.16 PREFERRED ETHEL JANE HARRIS 200 0.20%
3200 SIXTH AVENUE 3G
SAN DIEGO CA 92103
----------------------------------------------------------------------------------------------------------------------
$4.16 PREFERRED MARGIE J. JOHNSON 200 0.20%
1634 WILSON
ENUMCLAW WA 98022-3308
----------------------------------------------------------------------------------------------------------------------
$4.16 PREFERRED FRANCES J. RILEY & HERBERT A. RILEY JT TEN 200 0.20%
BOX 482
BIWABIK MN 55708-0482
----------------------------------------------------------------------------------------------------------------------
$4.16 PREFERRED NORMA M. SABBATH TOD CHRISTOPHER SABBATH 200 0.20%
SUBJECT TO STA TOD RULES
BOX 27165
MILWAUKEE WI 53227
----------------------------------------------------------------------------------------------------------------------
$4.16 PREFERRED WOOD WENTWORTH LTD 200 0.20%
34693 BLOOMFIELD RD
ROUND HILL VA 20141-1820
----------------------------------------------------------------------------------------------------------------------
$4.16 PREFERRED ROY G. DAVIS TR UA 07 16 99 ROY G. DAVIS 200 0.20%
TRUST
617 HIGH PLAINS CT
GRAND FORKS ND 58201
----------------------------------------------------------------------------------------------------------------------
$4.56 PREFERRED CEDE & CO 133,504 89.00%
C/O DEPOSITORY TRUST CO.
PO BOX 20
BOWLING GREEN STATION
NY, NY 10004
----------------------------------------------------------------------------------------------------------------------
$4.56 PREFERRED AMERICAN LIFE & ACCIDENT INSURANCE CO. OF 1,400 0.90%
KENTUCKY, INC.
FIFTH FLOOR
3 RIVERFRONT PLAZA
LOUISVILLE KY 40202
----------------------------------------------------------------------------------------------------------------------
$4.56 PREFERRED GAINESVILLE MILLING CO. 1,000 0.70%
PO BOX 2958
GAINESVILLE GA 30503
----------------------------------------------------------------------------------------------------------------------
$4.56 PREFERRED LORRAINE E. COHEN 740 0.50%
10111 S CEDAR LAKE RD APT 312
MINNETONKA MN 55305
----------------------------------------------------------------------------------------------------------------------
$4.56 PREFERRED CHRISTY-FOLTZ INC. 700 0.50%
BOX 828
DECATUR IL 62525
----------------------------------------------------------------------------------------------------------------------
$4.56 PREFERRED HELEN DZIADUAL 500 0.30%
3217 KENNEDY BLVD
JERSEY CITY NJ 07306
----------------------------------------------------------------------------------------------------------------------
86
|
$4.56 PREFERRED MARILY KUNDY & LYLE KUNDY JT TEN 500 0.30%
533 MAIN ST
LACRESCENT MN 55947
----------------------------------------------------------------------------------------------------------------------
$4.56 PREFERRED RAYMOND J. CRAWFORD 455 0.30%
45 NUEVILLE ST SW
GRAND RAPIDS MI 49548-7210
----------------------------------------------------------------------------------------------------------------------
$4.56 PREFERRED SAMUEL L DIBBLE & DOROTHY DIBBLE TRUSTEES 430 0.30%
UTAD 7/6/72 FBO EDYTH A DORAN & SAMUEL L.
DIBBLE III
32806 CAMINO DR
WICKENBURG AZ 85390-1222
----------------------------------------------------------------------------------------------------------------------
$4.56 PREFERRED THE WARREN & BETTY BURNSIDE FOUNDATION INC. 400 0.30%
300 W PIKE ST
CLARKSBURG WV 26301
----------------------------------------------------------------------------------------------------------------------
$4.56 PREFERRED SHELDON C. SMITH & PATRICIA L. SMITH JT TEN 350 0.20%
16410 DEVON DRIVE
MINNETONKA MN 55345
----------------------------------------------------------------------------------------------------------------------
$4.56 PREFERRED MARILYN L. COOK 300 0.20%
307 LYNCROFT DR
GAHANNA OH 43230
----------------------------------------------------------------------------------------------------------------------
$4.56 PREFERRED DE SMET FARM MUTUAL INSURANCE CO. OF SOUTH 300 0.20%
DAKOTA
BOX 9
DESMET SD 57231
----------------------------------------------------------------------------------------------------------------------
$4.56 PREFERRED ARTHUR NOVIS 300 0.20%
6 WOODHOLLOW RD
WHITE PLAINS NY 10605
----------------------------------------------------------------------------------------------------------------------
$4.56 PREFERRED STEEL AND WOLFE FUNERAL HOME INC. 300 0.20%
ATTN: HAROLD E. WOLFE
3721 MAIN ST
WEIRTON WV 26062
----------------------------------------------------------------------------------------------------------------------
$4.56 PREFERRED MARILYN WEISS 300 0.20%
826 ST ANDREWS DR APT. P
WILMINGTON NC 28412
----------------------------------------------------------------------------------------------------------------------
$4.56 PREFERRED WES-MOR DRILLING INC. 300 0.20%
PO BOX 1269
GRAHAM TX 76450-1269
----------------------------------------------------------------------------------------------------------------------
$4.56 PREFERRED ARLENE D. BECKER 250 0.20%
490 EAST LYNHURST
ST. PAUL MN 55104
----------------------------------------------------------------------------------------------------------------------
$4.56 PREFERRED DEENA WEINSTEIN 250 0.20%
APT 1507
2400 N LAKEVIEW
CHICAGO IL 60614
----------------------------------------------------------------------------------------------------------------------
$4.56 PREFERRED BREMER COUNTY MUTUAL INSURANCE ASSN 235 0.20%
C/O CRAIG K. MOERER
111 1ST AVE SE
PO BOX 856
WAVERLY IA 50677
----------------------------------------------------------------------------------------------------------------------
|
NRG ENERGY SHAREHOLDERS ON SEPT. 30, 2000:
--------------------------------------------------------------------------------------------------------------
TITLE OF ISSUE HOLDER OF RECORD AND ADDRESS NUMBER OF SHARES OWNED PERCENT OF CLASS
--------------------------------------------------------------------------------------------------------------
COMMON CEDE & CO 32,355,032 99.875%
C/O DEPOSITORY TRUST CO.
PO BOX 20
BOWLING GREEN STATION
NY, NY 10004
--------------------------------------------------------------------------------------------------------------
COMMON SALOMON SMITH BARNEY, INC. 14,000 0.043%
333 W 34TH ST
NY, NY 10001-2402
--------------------------------------------------------------------------------------------------------------
COMMON ARTHUR M. GREENBAUM & JANICE L. GREENBAUM 2,000 0.006%
JT TEN
76 LIONS HEAD BLVD S
BRICK NJ 08723-7821
--------------------------------------------------------------------------------------------------------------
COMMON LARRY A KEITHAHN 2,000 0.006%
2545 ARBOR COURT
MENDOTA HEIGHTS MN 55120-2604
--------------------------------------------------------------------------------------------------------------
87
|
--------------------------------------------------------------------------------------------------------------
COMMON MARILIE W. ROCKEFELLER 1,000 0.003%
4535 HAWTHORNE ST NW
WASHINGTON DC 20016-3574
--------------------------------------------------------------------------------------------------------------
COMMON MENDEL ROSENBERG & SANDRA ROSENBERT TR UA 1,000 0.003%
06 06 91
MENDEL ROSENBERG TRUST
145 S GRAESER RD
ST LOUIS MO 63141-8313
--------------------------------------------------------------------------------------------------------------
COMMON JOHN SEYMOUR & SONAE SEYMOUR JT TEN 1,000 0.003%
5529 BENTON AVE
EDINA MN 55436-2203
--------------------------------------------------------------------------------------------------------------
COMMON LARRY SEYMOUR & JOAN SEYMOUR JT TEN 1,000 0.003%
5529 BENTON AVE
EDINA MN 55436-2203
--------------------------------------------------------------------------------------------------------------
COMMON PAUL KAISER 1,000 0.003%
802 CANYON RD
HAILEY ID 83333-5040
--------------------------------------------------------------------------------------------------------------
COMMON SANDRA ROSENBERG & MENDEL ROSENBERG TR UA 1,000 0.003%
06 06 91
SANDRA ROSENBERG TRUST
145 S GRAESER RD
ST LOUIS MO 63141-8313
--------------------------------------------------------------------------------------------------------------
COMMON JAMES RYAN & SUSAN E RYAN TR 1,000 0.003%
BOYCE PARK WINTER SPORTS AREA IN PENSION
PLAN 05 26 77
107 HISPANIOLA LN
BONITA SPRINGS FL 34134-8520
--------------------------------------------------------------------------------------------------------------
COMMON JAMES J CAIN 700 0.002%
10701 LEGENDS LN
AUSTIN TX 78747-1239
--------------------------------------------------------------------------------------------------------------
COMMON RICHARD H. KELNER & INGEBORG M KELNER JT TEN 600 0.002%
1143 HARBOR ST
OGILVIE MN 56358-3605
--------------------------------------------------------------------------------------------------------------
COMMON BONNIE M HOLGER 600 0.002%
2800 HILLSBORO AVE N APT 311
NEW HOPE MN 55427-2334
--------------------------------------------------------------------------------------------------------------
COMMON CARREN S HAYEK & RUDOLPH R HAYEK JT TEN 500 0.002%
1905 ARONA ST
ST PAUL MN 55113-6139
--------------------------------------------------------------------------------------------------------------
COMMON CARROLL V LEWIS TRUSTEE U/A DTD 8/15/91 500 0.002%
CARROLL V LEWIS LIVING TRUST
PO BOX 717
SIDNEY OH 45365-0717
--------------------------------------------------------------------------------------------------------------
COMMON JEAN R LEMBERG 500 0.002%
1401 SKILES LN
ARDEN HILLS MN 55112-3618
--------------------------------------------------------------------------------------------------------------
COMMON CARLENE MARIE STROH 500 0.002%
19492 WCR 17
JOHNSTOWN CO 80534
--------------------------------------------------------------------------------------------------------------
COMMON NANCY GEORGE TR UA 06 02 96 500 0.002%
NANCY JEAN GEORGE TRUST
N19783 ABEL LN
ETTRICK WI 54627-8902
--------------------------------------------------------------------------------------------------------------
COMMON CHARLES DAVID DREHER 500 0.002%
155 N HARBOR DR APT 2014
CHICAGO IL 60601-5004
--------------------------------------------------------------------------------------------------------------
|
(b) NUMBER OF SHAREHOLDERS OF RECORD EACH HOLDING 1,000 SHARES OR MORE, AND AGGREGATE NUMBER OF SHARES SO HELD.
XCEL ENERGY STOCK AT SEPT. 30, 2000:
---------------------------------------------------------------
SERIES NUMBER OF SHAREHOLDERS NUMBER OF SHARES
---------------------------------------------------------------
COMMON 20,690 312,358,674
---------------------------------------------------------------
$3.60 PREFERRED 17 199,656
---------------------------------------------------------------
88
|
--------------------------------------------------------------- $4.08 PREFERRED 1 142,602 --------------------------------------------------------------- $4.10 PREFERRED 3 161,130 --------------------------------------------------------------- $4.11 PREFERRED 2 186,181 --------------------------------------------------------------- $4.16 PREFERRED 2 90,050 --------------------------------------------------------------- $4.56 PREFERRED 3 135,904 --------------------------------------------------------------- |
NRG ENERGY STOCK AT SEPT. 30, 2000:
---------------------------------------------------------------
SERIES NUMBER OF SHAREHOLDERS NUMBER OF SHARES
---------------------------------------------------------------
COMMON 11 32,380,032
---------------------------------------------------------------
|
(C) NUMBER OF SHAREHOLDERS OF RECORD EACH HOLDING LESS THAN 1,000 SHARES AND THE AGGREGATE NUMBER OF SHARES SO HELD.
XCEL ENERGY STOCK AT SEPT. 30, 2000:
---------------------------------------------------------------
SERIES NUMBER OF SHAREHOLDERS NUMBER OF SHARES
---------------------------------------------------------------
COMMON 114,362 27,731,407
---------------------------------------------------------------
$3.60 PREFERRED 609 75,344
---------------------------------------------------------------
$4.08 PREFERRED 60 7,398
---------------------------------------------------------------
$4.10 PREFERRED 143 13,870
---------------------------------------------------------------
$4.11 PREFERRED 112 13,819
---------------------------------------------------------------
$4.16 PREFERRED 89 9,950
---------------------------------------------------------------
$4.56 PREFERRED 97 14,096
---------------------------------------------------------------
|
NRG ENERGY STOCK AT SEPT. 30, 2000:
---------------------------------------------------------------
SERIES NUMBER OF SHAREHOLDERS NUMBER OF SHARES
---------------------------------------------------------------
COMMON 83 15,468
---------------------------------------------------------------
|
OFFICERS, DIRECTORS AND EMPLOYEES
16.
(a) POSITIONS AND COMPENSATION OF OFFICERS AND DIRECTORS. GIVE NAME AND ADDRESS OF EACH DIRECTOR AND OFFICER (INCLUDING ANY PERSON WHO PERFORMS SIMILAR FUNCTIONS) OF THE REGISTRANT, OF EACH SUBSIDIARY COMPANY THEREOF, AND OF EACH MUTUAL SERVICE COMPANY WHICH IS A MEMBER OF THE SAME HOLDING COMPANY SYSTEM. OPPOSITE THE NAME OF EACH SUCH INDIVIDUAL GIVE THE TITLE OF EVERY SUCH POSITION HELD BY HIM AND BRIEFLY DESCRIBE EACH OTHER EMPLOYMENT OF SUCH INDIVIDUAL BY EACH SUCH COMPANY.
STATE THE PRESENT RATE OF COMPENSATION ON AN ANNUAL BASIS FOR EACH DIRECTOR WHOSE AGGREGATE COMPENSATION FROM ALL SUCH COMPANIES EXCEEDS $1,000 PER YEAR, AND OF EACH OFFICER WHOSE AGGREGATE COMPENSATION FROM SUCH COMPANIES IS AT THE RATE OF $20,000 OR MORE PER YEAR. IN THE EVENT ANY OFFICER DEVOTES ONLY PART OF HIS TIME TO A COMPANY OR COMPANIES IN THE SYSTEM THIS FACT SHOULD BE INDICATED BY APPROPRIATE FOOTNOTE. SUCH COMPENSATION FOR SUCH PART TIME SHOULD BE COMPUTED ON AN ANNUAL RATE AND IF SUCH ANNUAL RATE EXCEEDS $20,000 THE ACTUAL COMPENSATION AS WELL AS ANNUAL RATE SHOULD ALSO BE REPORTED.
OFFICERS, DIRECTORS AND EMPLOYEES OF XCEL ENERGY, INC.
----------------------------------------------------------------------------------------------------------------------
NAME ADDRESS COMPANY POSITIONS AND PRESENT COMPENSATION
EMPLOYMENTS (ANNUAL RATE)
----------------------------------------------------------------------------------------------------------------------
WAYNE H. BRUNETTI 800 NICOLLET MALL, XCEL ENERGY INC. DIRECTOR, PRESIDENT A
STE 3000 AND CEO
MINNEAPOLIS, MN 55403
----------------------------------------------------------------------------------------------------------------------
C. CONEY BURGESS 800 NICOLLET MALL, XCEL ENERGY INC. DIRECTOR A
STE 3000
MINNEAPOLIS, MN 55403
----------------------------------------------------------------------------------------------------------------------
DAVID A. CHRISTENSEN 800 NICOLLET MALL, XCEL ENERGY INC. DIRECTOR A
STE 3000
MINNEAPOLIS, MN 55403
----------------------------------------------------------------------------------------------------------------------
GIANNANTONIO FERRARI 800 NICOLLET MALL, XCEL ENERGY INC. DIRECTOR A
STE 3000
MINNEAPOLIS, MN 55403
----------------------------------------------------------------------------------------------------------------------
ROGER R. HEMMINGHAUS 800 NICOLLET MALL, XCEL ENERGY INC. DIRECTOR A
STE 3000
MINNEAPOLIS, MN 55403
----------------------------------------------------------------------------------------------------------------------
A. BARRY HIRSCHFELD 800 NICOLLET MALL, XCEL ENERGY INC. DIRECTOR A
STE 3000
MINNEAPOLIS, MN 55403
----------------------------------------------------------------------------------------------------------------------
JAMES J. HOWARD 800 NICOLLET MALL, XCEL ENERGY INC. DIRECTOR AND CHAIRMAN A
STE 3000
MINNEAPOLIS, MN 55403
----------------------------------------------------------------------------------------------------------------------
DOUGLAS W. LEATHERDALE 800 NICOLLET MALL, XCEL ENERGY INC. DIRECTOR A
STE 3000
MINNEAPOLIS, MN 55403
----------------------------------------------------------------------------------------------------------------------
ALBERT F. MORENO 800 NICOLLET MALL, XCEL ENERGY INC. DIRECTOR A
STE 3000
MINNEAPOLIS, MN 55403
----------------------------------------------------------------------------------------------------------------------
MARGARET R. PRESKA 800 NICOLLET MALL, XCEL ENERGY INC. DIRECTOR A
STE 3000
MINNEAPOLIS, MN 55403
----------------------------------------------------------------------------------------------------------------------
A. PATRICIA SAMPSON 800 NICOLLET MALL, XCEL ENERGY INC. DIRECTOR A
STE 3000
MINNEAPOLIS, MN 55403
----------------------------------------------------------------------------------------------------------------------
ALLAN L. SCHUMAN 800 NICOLLET MALL, XCEL ENERGY INC. DIRECTOR A
STE 3000
MINNEAPOLIS, MN 55403
----------------------------------------------------------------------------------------------------------------------
RODNEY E. SLIFER 800 NICOLLET MALL, XCEL ENERGY INC. DIRECTOR A
STE 3000
MINNEAPOLIS, MN 55403
----------------------------------------------------------------------------------------------------------------------
W. THOMAS STEPHENS 800 NICOLLET MALL, XCEL ENERGY INC. DIRECTOR A
STE 3000
MINNEAPOLIS, MN 55403
----------------------------------------------------------------------------------------------------------------------
90
|
----------------------------------------------------------------------------------------------------------------------
NAME ADDRESS COMPANY POSITIONS AND PRESENT COMPENSATION
EMPLOYMENTS (ANNUAL RATE)
----------------------------------------------------------------------------------------------------------------------
GARY R. JOHNSON 800 NICOLLET MALL, XCEL ENERGY INC. VICE PRESIDENT & A
STE 3000 GENERAL COUNSEL
MINNEAPOLIS, MN 55403
----------------------------------------------------------------------------------------------------------------------
EDWARD J. MCINTYRE 800 NICOLLET MALL, XCEL ENERGY INC. VICE PRESIDENT & A
STE 3000 CHIEF FINANCIAL
MINNEAPOLIS, MN 55403 OFFICER
----------------------------------------------------------------------------------------------------------------------
PAUL E. PENDER 800 NICOLLET MALL, XCEL ENERGY INC. VICE PRESIDENT & A
STE 3000 TREASURER
MINNEAPOLIS, MN 55403
----------------------------------------------------------------------------------------------------------------------
DAVID E. RIPKA 800 NICOLLET MALL, XCEL ENERGY INC. VICE PRESIDENT & A
STE 3000 CONTROLLER
MINNEAPOLIS, MN 55403
----------------------------------------------------------------------------------------------------------------------
CATHY J. HART 800 NICOLLET MALL, XCEL ENERGY INC. VICE PRESIDENT & A
STE 3000 SECRETARY
MINNEAPOLIS, MN 55403
----------------------------------------------------------------------------------------------------------------------
CATHERINE J. CLEVELAND 800 NICOLLET MALL, XCEL ENERGY INC. ASSISTANT SECRETARY A
STE 3000
MINNEAPOLIS, MN 55403
----------------------------------------------------------------------------------------------------------------------
CATHERINE A. JONES 800 NICOLLET MALL, XCEL ENERGY INC. ASSISTANT SECRETARY A
STE 3000
MINNEAPOLIS, MN 55403
----------------------------------------------------------------------------------------------------------------------
CAROL J. PETERSON 800 NICOLLET MALL, XCEL ENERGY INC. ASSISTANT SECRETARY A
STE 3000
MINNEAPOLIS, MN 55403
----------------------------------------------------------------------------------------------------------------------
MARY P. SCHELL 800 NICOLLET MALL, XCEL ENERGY INC. ASSISTANT TREASURER A
STE 3000
MINNEAPOLIS, MN 55403
----------------------------------------------------------------------------------------------------------------------
JUDITH A. DELANEY 800 NICOLLET MALL, XCEL ENERGY INC. ASSISTANT TREASURER A
STE 3000
MINNEAPOLIS, MN 55403
----------------------------------------------------------------------------------------------------------------------
|
A. DIRECTORS' COMPENSATION INFORMATION IS IN XCEL ENERGY INC.'S PROXY DATED AUGUST 30, 2000, AND NEW CENTURY ENERGIES, INC.'S 10-K (FILE NO. 1-12927) FOR THE YEAR ENDING DEC. 31, 1999, WHICH ARE INCORPORATED BY REFERENCE. THE 10-K IS ALSO ATTACHED AS EXHIBIT F-4.
OFFICERS, DIRECTORS AND EMPLOYEES OF NRG ENERGY, INC.
----------------------------------------------------------------------------------------------------------------------
NAME ADDRESS COMPANY POSITIONS AND PRESENT
EMPLOYMENTS COMPENSATION
(ANNUAL RATE)
----------------------------------------------------------------------------------------------------------------------
WAYNE H. BRUNETTI 800 NICOLLET MALL XCEL ENERGY INC. DIRECTOR
SUITE 3000
MINNEAPOLIS, MN 55403
----------------------------------------------------------------------------------------------------------------------
LUELLA G. GOLDBERG 7019 TUPA DRIVE DIRECTOR $30,000
EDINA, MN 55439
----------------------------------------------------------------------------------------------------------------------
PIERSON M. GRIEVE 4900 IDS CENTER DIRECTOR $30,000
80 SOUTH 8TH STREET
MINNEAPOLIS, MN 55401
----------------------------------------------------------------------------------------------------------------------
WILLIAM A. HODDER 4900 IDS CENTER DIRECTOR $30,000
80 SOUTH 8TH STREET
MINNEAPOLIS, MN 55402
----------------------------------------------------------------------------------------------------------------------
JAMES J. HOWARD 800 NICOLLET MALL XCEL ENERGY INC. DIRECTOR
SUITE 3000
MINNEAPOLIS, MN 55402
----------------------------------------------------------------------------------------------------------------------
GARY R. JOHNSON 800 NICOLLET MALL XCEL ENERGY INC. DIRECTOR
SUITE 3000
MINNEAPOLIS, MN 55402
----------------------------------------------------------------------------------------------------------------------
800 NICOLLET MALL XCEL ENERGY INC. DIRECTOR
RICHARD C. KELLY SUITE 3000
MINNEAPOLIS, MN 55402
----------------------------------------------------------------------------------------------------------------------
CYNTHIA L. LESHER 800 NICOLLET MALL XCEL ENERGY INC. DIRECTOR
SUITE 3000
MINNEAPOLIS, MN 55402
----------------------------------------------------------------------------------------------------------------------
EDWARD J. MCINTYRE 800 NICOLLET MALL XCEL ENERGY INC. DIRECTOR
SUITE 3000
MINNEAPOLIS, MN 55402
----------------------------------------------------------------------------------------------------------------------
DAVID H. PETERSON 901 MARQUETTE AVENUE NRG ENERGY, INC. DIRECTOR, CHAIRMAN,
SUITE 2300 PRESIDENT AND CHIEF
MINNEAPOLIS, MN 55402 EXECUTIVE OFFICER
----------------------------------------------------------------------------------------------------------------------
LEONARD A. BLUHM 901 MARQUETTE AVENUE NRG ENERGY, INC. EXECUTIVE VICE
SUITE 2300 PRESIDENT AND CHIEF
MINNEAPOLIS, MN 55402 FINANCIAL OFFICER
----------------------------------------------------------------------------------------------------------------------
91
|
----------------------------------------------------------------------------------------------------------------------
NAME ADDRESS COMPANY POSITIONS AND PRESENT
EMPLOYMENTS COMPENSATION
(ANNUAL RATE)
----------------------------------------------------------------------------------------------------------------------
JAMES J. BENDER 901 MARQUETTE AVENUE NRG ENERGY, INC. VICE PRESIDENT,
SUITE 2300 GENERAL COUNSEL AND
MINNEAPOLIS, MN 55402 CORPORATE SECRETARY
----------------------------------------------------------------------------------------------------------------------
KEITH G. HILLESS LEVEL 22 NRG ENERGY, INC. SENIOR VICE
307 QUEEN STREET, LOCKED PRESIDENT,
BAG 1480 ASIA-PACIFIC
BRISBANE QLD 4000
AUSTRALIA
----------------------------------------------------------------------------------------------------------------------
ROY R. HEWITT 901 MARQUETTE AVENUE NRG ENERGY, INC. VICE PRESIDENT,
SUITE 2300 ADMINISTRATIVE
MINNEAPOLIS, MN 55402 SERVICES
----------------------------------------------------------------------------------------------------------------------
VALORIE A. KNUDSEN 901 MARQUETTE AVENUE NRG ENERGY, INC. VICE PRESIDENT,
SUITE 2300 CORPORATE STRATEGY
MINNEAPOLIS, MN 55402 AND PORTFOLIO
ASSESSMENT
----------------------------------------------------------------------------------------------------------------------
CRAIG A. MATACZYNSKI 901 MARQUETTE AVENUE NRG ENERGY, INC. SENIOR VICE
SUITE 2300 PRESIDENT, NORTH
MINNEAPOLIS, MN 55402 AMERICA
----------------------------------------------------------------------------------------------------------------------
JOHN A. NOER 901 MARQUETTE AVENUE NRG ENERGY, INC. SENIOR VICE PRESIDENT
SUITE 2300
MINNEAPOLIS, MN 55402
----------------------------------------------------------------------------------------------------------------------
RONALD J. WILL 901 MARQUETTE AVENUE NRG ENERGY, INC. SENIOR VICE
SUITE 2300 PRESIDENT, EUROPE
MINNEAPOLIS, MN 55402
----------------------------------------------------------------------------------------------------------------------
WILLIAM T. PIEPER 901 MARQUETTE AVENUE NRG ENERGY, INC. CONTROLLER
SUITE 2300
MINNEAPOLIS, MN 55402
----------------------------------------------------------------------------------------------------------------------
BRIAN B. BIRD 901 MARQUETTE AVENUE NRG ENERGY, INC. VICE PRESIDENT AND
SUITE 2300 TREASURER
MINNEAPOLIS, MN 55402
----------------------------------------------------------------------------------------------------------------------
KATHRYN J. OSTERAAS 901 MARQUETTE AVENUE NRG ENERGY, INC. ASSISTANT CORPORATE
SUITE 2300 SECRETARY
MINNEAPOLIS, MN 55402
----------------------------------------------------------------------------------------------------------------------
|
OTHER INFORMATION ABOUT NRG'S DIRECTORS IS INCLUDED IN NRG ENERGY, INC.'S REGISTRATION STATEMENT DATED MAY 30, 2000, WHICH IS INCORPORATED BY REFERENCE.
(b) COMPENSATION OF CERTAIN EMPLOYEES. AS TO REGULAR EMPLOYEES OF SUCH COMPANIES WHO ARE NOT DIRECTORS OR OFFICERS OF ANY ONE OF THEM, LIST THE NAME, ADDRESS AND AGGREGATE ANNUAL RATE OF COMPENSATION OF ALL THOSE WHO RECEIVE $20,000 OR MORE PER YEAR FROM ALL SUCH COMPANIES.
DIRECTORS' COMPENSATION INFORMATION IS IN XCEL ENERGY INC.'S PROXY DATED AUGUST 30, 2000, AND NEW CENTURY ENERGIES, INC.'S 10-K (FILE NO. 1-12927) FOR THE YEAR ENDING DEC. 31, 1999, WHICH ARE INCORPORATED BY REFERENCE. THE 10-K IS ALSO ATTACHED AS EXHIBIT F-4.
OTHER INFORMATION ABOUT NRG'S DIRECTORS IS INCLUDED IN NRG ENERGY, INC.'S REGISTRATION STATEMENT DATED MAY 30, 2000, WHICH IS INCORPORATED BY REFERENCE.
(c) INDEBTEDNESS TO SYSTEM COMPANIES. AS TO EVERY SUCH DIRECTOR, TRUSTEE OR OFFICER AS AFORESAID, WHO IS INDEBTED TO ANY ONE OF SUCH COMPANIES, OR ON WHOSE BEHALF ANY SUCH COMPANY HAS NOW OUTSTANDING AND EFFECTIVE ANY OBLIGATION TO ASSUME OR GUARANTEE PAYMENT OF ANY INDEBTEDNESS TO ANOTHER, AND WHOSE TOTAL DIRECT AND CONTINGENT LIABILITY TO SUCH COMPANY EXCEEDS THE SUM OF $1,000, GIVE THE NAME OF SUCH DIRECTOR, TRUSTEE, OR OFFICER, THE NAME OF
SUCH COMPANY AND DESCRIBE BRIEFLY THE NATURE AND AMOUNT OF
SUCH DIRECT AND CONTINGENT OBLIGATIONS.
NONE
(d) CONTRACTS. IF ANY SUCH DIRECTOR, TRUSTEE OR OFFICER AS AFORESAID:
(1) HAS AN EXISTING CONTRACT WITH ANY SUCH COMPANY (EXCLUSIVE OF AN EMPLOYMENT CONTRACT WHICH PROVIDES FOR NO COMPENSATION OTHER THAN THAT SET FORTH IN PARAGRAPH (a) OF ITS ITEM); OR
(2) EITHER INDIVIDUALLY OR TOGETHER WITH THE MEMBERS OF HIS IMMEDIATELY FAMILY, OWNS, DIRECTLY OR INDIRECTLY, 5% OR MORE OF THE VOTING SECURITIES OF ANY THIRD PERSON WITH WHOM ANY SUCH COMPANY HAS AN EXISTING CONTRACT; OR
NONE
(3) HAS ANY OTHER BENEFICIAL INTEREST IN AN EXISTING CONTRACT TO WHICH ANY SUCH COMPANY IS A PARTY;
DESCRIBE BRIEFLY THE NATURE OF SUCH CONTRACT, THE NAMES OF THE PARTIES THERETO, THE TERMS THEREOF AND THE INTEREST OF SUCH OFFICER, TRUSTEE OR DIRECTOR THEREIN.
NONE
(e) BANKING CONNECTIONS. IF ANY SUCH DIRECTOR, TRUSTEE OR OFFICER, IS AN EXECUTIVE OFFICER, DIRECTOR, PARTNER, APPOINTEE OR REPRESENTATIVE OF ANY BANK, TRUST COMPANY, INVESTMENT BANKER, OR BANKING ASSOCIATION FIRM, OR OF ANY CORPORATION A MAJORITY OF WHOSE STOCK HAVING THE UNRESTRICTED RIGHT TO VOTE FOR THE ELECTION OF DIRECTORS, IS OWNED BY ANY BANK, TRUST COMPANY, INVESTMENT BANKER, OR BANKING ASSOCIATION OR FIRM, STATE THE NAME OF SUCH DIRECTOR OR OFFICER, DESCRIBE BRIEFLY SUCH OTHER POSITIONS HELD BY HIM AND INDICATE WHICH OF THE RULES UNDER SECTION 17(c) AUTHORIZES THE REGISTRANT AND SUBSIDIARY COMPANIES OF WHICH HE IS A DIRECTOR OR OFFICER TO RETAIN HIM IN SUCH CAPACITY.
BY PERMISSION OF THE STAFF, INFORMATION IN IN XCEL ENERGY INC.'S PROXY DATED AUGUST 30, 2000, AND NEW CENTURY ENERGIES, INC.'S 10-K (FILE NO. 1-12927) FOR THE YEAR ENDING DEC. 31, 1999, WHICH ARE INCORPORATED BY REFERENCE, IS SUBSTITUTED FOR THE RESPONSES TO ITEMS 16(a) THROUGH (e). THE 10-K IS ALSO ATTACHED AS EXHIBIT F-4.
OTHER INFORMATION ABOUT NRG'S DIRECTORS IS INCLUDED IN NRG ENERGY, INC.'S REGISTRATION STATEMENT DATED MAY 30, 2000, WHICH IS INCORPORATED BY REFERENCE.
INTERESTS OF TRUSTEES IN SYSTEM COMPANIES
17. DESCRIBE BRIEFLY THE NATURE OF ANY SUBSTANTIAL INTEREST WHICH ANY TRUSTEE UNDER INDENTURES EXECUTED IN CONNECTION WITH ANY OUTSTANDING ISSUE OF SECURITIES OF THE REGISTRANT OR ANY SUBSIDIARY THEREOF, HAS IN EITHER THE REGISTRANT OR SUCH SUBSIDIARY, AND ANY CLAIM WHICH ANY SUCH TRUSTEE MAY HAVE AGAINST REGISTRANT OR ANY SUBSIDIARY; PROVIDED, HOWEVER, THAT IT SHALL NOT BE NECESSARY TO INCLUDE IN SUCH DESCRIPTION ANY EVIDENCES OF INDEBTEDNESS OWNED BY SUCH TRUSTEE WHICH WERE ISSUED PURSUANT TO SUCH AN INDENTURE.
NONE
SERVICE, SALES AND CONSTRUCTION CONTRACTS
18. AS TO EACH SERVICE, SALES OR CONSTRUCTION CONTRACT (AS DEFINED IN PARAGRAPHS (19) TO (21) OF SECTION 2(a) OF THE ACT) WHICH THE REGISTRANT AND ANY SUBSIDIARY COMPANY THEREOF HAS HAD IN EFFECT WITHIN THE LAST THREE MONTHS, DESCRIBE BRIEFLY THE NATURE OF SUCH CONTRACT, THE NAME AND ADDRESS OF THE PARTIES THERETO, THE DATES OF EXECUTION AND EXPIRATION, AND THE COMPENSATION TO BE PAID THEREUNDER. ATTACH TYPICAL FORMS OF ANY SUCH CONTRACTS AS AN EXHIBIT TO THIS REGISTRATION STATEMENT. IF THE OTHER PARTY TO ANY SUCH CONTRACT IS A MUTUAL SERVICE COMPANY OR A SUBSIDIARY SERVICE COMPANY WHICH IS A MEMBER OF THE SAME HOLDING COMPANY SYSTEM AS THE REGISTRANT AND AS TO WHICH THE COMMISSION HAS MADE A FAVORABLE FINDING IN ACCORDANCE WITH RULE 13-22, SPECIFIC REFERENCE MAY BE MADE TO THE APPLICATION OR DECLARATION FILED BY SUCH COMPANY PURSUANT TO RULE 13-22 AND NO FURTHER DETAILS NEED BE GIVEN AS TO SUCH CONTRACTS.
1. SERVICES AGREEMENT BETWEEN UTILITY COMPANIES AND XCEL ENERGY SERVICES INC.
2. SERVICES AGREEMENT BETWEEN NON-UTILITY COMPANIES AND XCEL ENERGY SERVICES INC.
3. AGREEMENT BETWEEN NSP AND NRG. NSP PURCHASES REFUSED DERIVED FUEL FROM THE NEWPORT FACILITY AND THE ELK RIVER FACILITY AT NSP'S COAL COST. NRG PAYS AN INCENTIVE BEYOND A CERTAIN VOLUME THRESHOLD AS A MEANS OF COMPENSATING NSP FOR THE COST OF POLLUTION CONTROL EQUIPMENT THAT WAS REQUIRED TO BURN MORE RDF.
4. AGREEMENT BETWEEN NSP AND NRG. NRG OPERATES A MUNICIPAL SOLID WASTE TRANSFER STATION AND MINNESOTA WASTE PROCESSING'S RDF STORAGE FACILITY ON LAND LEASED FROM NSP ADJACENT TO NSP'S WILMARTH STEAM GENERATING FACILITY IN EXCHANGE FOR NRG'S CAPITAL INVESTMENT TO IMPROVE PLANT OPERATIONS.
5. AGREEMENT BETWEEN NSP AND NRG. NSP SELLS STEAM TO NRG FOR ITS WASCHO OPERATIONS FOR RESALE TO ANDERSEN CORPORATION AND TO A MINNESOTA CORRECTIONAL FACILITY.
6. AGREEMENT BETWEEN NSP AND NRG. NRG PAYS NSP TO OPERATE AND MAINTAIN ITS WALDORF (NOW ROCKTENN CORP.) PROCESS STEAM OPERATION LOCATED AT NSP'S HIGH BRIDGE POWER GENERATION FACILITY.
7. AGREEMENT BETWEEN NSP AND LIBERTY PAPER, INC. NSP SELLS STEAM AND ELECTRICITY FROM ITS SHERCO GENERATING PLANT TO LIBERTY PAPER, INC. ("LPI"). NSP SUPPLIES STEAM TO SATISFY LPI'S THERMAL ENERGY NEEDS AND PROVIDES LPI WITH ABOUT EIGHT MEGAWATTS OF ELECTRICITY UNDER TARIFFED RATES.
8. AGREEMENT BETWEEN NSP AND NSP-W FOR SCADA SERVICES. NSP SUPPLIES NSP-W AND VIKING WITH SUPERVISORY CONTROL AND DATA ACQUISITION ("SCADA") SERVICES FOR THEIR GAS
BUSINESSES PURSUANT TO SEPARATE CONTRACTS WITH NSP-W AND VIKING. NSP ALSO SUPPLIES NSP-W GAS DISPATCHING AND OTHER SERVICES.
9. AGREEMENT BETWEEN NSP AND VIKING FOR SCADA SERVICES. NSP SUPPLIES NSP-W AND VIKING WITH SUPERVISORY CONTROL AND DATA ACQUISITION ("SCADA") SERVICES FOR THEIR GAS BUSINESSES PURSUANT TO SEPARATE CONTRACTS WITH VIKING AND NSP-W. NSP ALSO SUPPLIES NSP-W GAS DISPATCHING AND OTHER SERVICES.
10. AGREEMENT BETWEEN NSP AND UNITED POWER & LAND. UP&L LEASES OFFICE SPACE ON FLOORS TWO THROUGH ELEVEN OF THE RENAISSANCE SQUARE OFFICE BUILDING TO NSP. UP&L ALSO LEASES OFFICE SPACE ON THE FIRST FLOOR AND IN THE BASEMENT OF THE RENAISSANCE SQUARE OFFICE BUILDING TO NSP.
11. AGREEMENT BETWEEN NSP AND FIRST MIDWEST AUTO PARK. FIRST MIDWEST AUTO PARK ("FMAP") LEASES 14,000 SQUARE FEET OF UNIMPROVED STORAGE AREA TO NSP IN THE FIRST AND SECOND FLOORS OF THE PARKING GARAGE ADJACENT TO NSP'S HEADQUARTERS. FMAP ALSO LEASES 92 PARKING SPACES IN THE PARKING FACILITY TO NSP.
12. AGREEMENT BETWEEN NSP AND SEREN INNOVATIONS, INC. SEREN INNOVATIONS, INC. ("SEREN"), A WHOLLY-OWNED SUBSIDIARY OF NSP, ENTERED INTO A LEASE AGREEMENT WITH NSP WHICH ALLOWS SEREN TO ATTACH CABLE OR SIMILAR TELECOMMUNICATIONS FACILITIES TO NSP'S DISTRIBUTION POLES, CONDUITS, DUCTS AND OTHER PROPERTIES. THE LEASE IS EFFECTIVE FEBRUARY 20, 1998 THROUGH DECEMBER 31, 2018, AND IS APPLICABLE IN MINNESOTA, SOUTH DAKOTA AND NORTH DAKOTA.
13. AGREEMENT BETWEEN REDDY KILOWATT CORPORATION ("RKC") AND NSP. RKC IS A WHOLLY-OWNED SUBSIDIARY OF NSP WHICH OWNS AND LICENSES USE OF THE REDDY KILOWATT-Registered Trademark- AND REDDY FLAME-TM- TRADEMARKS ("TRADEMARKS"). ON OCTOBER 1, 1999, NSP AND RKC ENTERED INTO A TRADEMARK LICENSE AGREEMENT ALLOWING NSP TO USE THE TRADEMARKS FOR AN ANNUAL FEE.
14. AGREEMENT BETWEEN NUCLEAR MANAGEMENT COMPANY AND NSP. NSP NUCLEAR CORPORATION (A WHOLLY OWNED SUBSIDIARY OF NSP) OWNS A 25% INTEREST IN THE NUCLEAR MANAGEMENT COMPANY, LLC. THE NMC PROVIDES NUCLEAR POWER PLANT OPERATING SERVICES TO NSP FOR THE PRAIRIE ISLAND AND MONTICELLO NUCLEAR GENERATING FACILITIES AT FULLY ALLOCATED COST. THE NMC PROVIDES THESE SAME SERVICES TO ALLIANT, WISCONSIN ELECTRIC AND WISCONSIN PUBLIC SERVICE NUCLEAR FACILITIES.
15. AGREEMENT BETWEEN NSP AND UTILITY ENGINEERING (UE). NSP ENTERED AN AGREEMENT WITH UE BY WHICH IT CAN TAKE ENGINEERING AND PROJECT MANAGEMENT SERVICE FROM UE.
16. AGREEMENT BETWEEN NSP-W AND UTILITY ENGINEERING (UE). NSP-W ENTERED AN AGREEMENT WITH UE BY WHICH IT CAN TAKE ENGINEERING AND PROJECT MANAGEMENT SERVICE FROM UE.
17. LEASE AGREEMENT BETWEEN NSP-W AND CHIPPEWA AND FLAMBEAU IMPROVEMENT COMPANY. THIS AGREEMENT PROVIDES THAT NSP-W WILL PAY CHIPPEWA AT COST FOR THE MANAGEMENT OF WATER RIGHTS FOR A HYDROELECTRIC FACILITY USED TO PRODUCE ELECTRICITY.
18. SERVICES AGREEMENT BETWEEN NSP-W AND NSP LANDS, INC. THIS AGREEMENT WILL REMAIN IN PLACE SO THAT CERTAIN INCIDENTAL SERVICES OF NSP-W OPERATING COMPANY, SUCH AS FIELD ENGINEERS CAN BE USED BY NSP LANDS PURSUANT TO SEC RULE 87. ADMINISTRATIVE SERVICES PERFORMED BY NSP-W IN THE PAST WILL BE PROVIDED BY XCEL ENERGY SERVICES, INC. THE SERVICES WILL BE PROVIDED AT COST.
19. SERVICES AGREEMENT BETWEEN NSP-W AND NSP. THIS AGREEMENT WILL REMAIN IN PLACE SO THAT CERTAIN INCIDENTAL SERVICES OF NSP-W OPERATING COMPANY AND NSP OPERATING COMPANY CAN BE SHARED PURSUANT TO SEC RULE 87. ADMINISTRATIVE SERVICES PERFORMED BY NSP IN THE PAST WILL BE PROVIDED BY XCEL ENERGY SERVICES, INC. THE SERVICES WILL BE PROVIDED AT COST.
20. SERVICES AGREEMENT BETWEEN NSP-W AND VIKING GAS TRANSMISSION COMPANY. THIS AGREEMENT WILL REMAIN IN PLACE SO THAT CERTAIN INCIDENTAL SERVICES OF NSP-W OPERATING COMPANY CAN BE SHARED WITH VIKING PURSUANT TO SEC RULE 87. ADMINISTRATIVE SERVICES PERFORMED BY NSP-W IN THE PAST WILL BE PROVIDED BY XCEL ENERGY SERVICES, INC. THE SERVICES WILL BE PROVIDED AT COST.
21. SERVICES AGREEMENT BETWEEN NSP-W AND CLEARWATER INVESTMENT, INC. THIS AGREEMENT WILL REMAIN IN PLACE IN THE EVENT THAT CERTAIN INCIDENTAL SERVICES OF NSP-W OPERATING COMPANY CAN BE SHARED WITH VIKING PURSUANT TO SEC RULE 87. ADMINISTRATIVE SERVICES PERFORMED BY NSP-W IN THE PAST WILL BE PROVIDED BY XCEL ENERGY SERVICES, INC. THE SERVICES WILL BE PROVIDED AT COST.
22. PSCO AND NCE COMMUNICATIONS. THIS AGREEMENT ALLOWS NCE COMMUNICATIONS TO LEASE A PORTION OF A FIBER OPTIC NETWORK TO PSCO AS WELL AS TO OTHER THIRD PARTIES.
23. PUBLIC SERVICE COMPANY OF COLORADO ("PSCO") AND PUBLIC SERVICE COLORADO CREDIT CORPORATION ("PSCCC"). PSCCC PURCHASES ACCOUNTS RECEIVABLE GENERATED FROM SALE OF GAS AND ELECTRICITY AS WELL AS FUEL INVENTORY FOR PSCO'S GENERATING FACILITIES. PSCO PAYS TRANSACTION FEES TO PSCCC.
24. PUBLIC SERVICE COMPANY OF COLORADO ("PSCO") AND E PRIME. THESE AGREEMENTS PROVIDE THAT PSCO PURCHASES CERTAIN DEMAND SIDE MANAGEMENT RESOURCES FROM E PRIME.
25. 1480 WELTON AND PUBLIC SERVICE OF COLORADO ("PSCO"). UNDER THESE AGREEMENTS 1480 WELTON LEASES CERTAIN FACILITIES TO PSCO.
26. PUBLIC SERVICE OF COLORADO ("PSCO") AND UTILITY ENGINEERING. PSCO ENTERED AN AGREEMENT WITH UE BY WHICH IT CAN TAKE ENGINEERING AND PROJECT MANAGEMENT SERVICE FROM UE.
27. SOUTHWESTERN PUBLIC SERVICE COMPANY ("SPS") AND UTILITY ENGINEERING. SPS ENTERED AN AGREEMENT WITH UE BY WHICH IT CAN TAKE ENGINEERING AND PROJECT MANAGEMENT SERVICES FROM UE.
28. SOUTHWESTERN PUBLIC SERVICE COMPANY ("SPS") AND PLANERGY, INC. THESE AGREEMENTS PROVIDES THAT SPS PURCHASES CERTAIN DEMAND SIDE MANAGEMENT RESOURCES FROM PLANERGY.
29. NSP AND NRG. THIS AGREEMENT WILL REMAIN IN PLACE SO THAT CERTAIN INCIDENTAL
SERVICES OF NSP OPERATING COMPANY CAN BE SHARED WITH NRG PURSUANT TO SEC RULE
87. ADMINISTRATIVE SERVICES PERFORMED BY NSP IN THE PAST WILL BE PROVIDED BY
XCEL ENERGY SERVICES, INC. THE SERVICES WILL BE PROVIDED AT COST. THE FOLLOWING
AGREEMENTS ARE THE TYPICAL FORM AGREEMENTS BETWEEN ASSOCIATE COMPANIES.
EXHIBIT H-1. FORM SERVICES AGREEMENT FOR UTILITY COMPANIES.
EXHIBIT H-2. FORM SERVICES AGREEMENT FOR NON-UTILITY COMPANIES.
EXHIBIT H-3. NSP AND NRG. THIS IS A TYPICAL SERVICES AGREEMENT THAT ALLOWS FOR CERTAIN ENGINEERING SERVICES TO BE PROVIDED BY NSP OPERATING COMPANY TO AFFILIATESL. THIS TYPE OF AGREEMENT WILL REMAIN IN PLACE SO THAT CERTAIN INCIDENTAL SERVICES OF NSP OPERATING COMPANY CAN BE SHARES WITH ASSOCIATE COMPANIES PURSUANTNSP PURCHASES REFUSED DERIVED FUEL FROM THE NEWPORT FACILITY AND THE ELK RIVER FACILITY AT NSP'S COAL COST. NRG PAYS AN INCENTIVE BEYOND A CERTAIN VOLUME THRESHOLD AS A MEANS OF COMPENSATING NSP FOR THE COST OF POLLUTION CONTROL EQUIPMENT THAT WAS REQUIRED TO BURN MORE RDF.
EXHIBIT H-4. AGREEMENT BETWEEN NSP AND NRG. NRG OPERATES A MUNICIPAL SOLID WASTE TRANSFER STATION AND MINNESOTA WASTE PROCESSING'S RDF STORAGE FACILITY ON LAND LEASED FROM NSP ADJACENT TO NSP'S WILMARTH STEAM GENERATING FACILITY IN EXCHANGE FOR NRG'S CAPITAL INVESTMENT TO IMPROVE PLANT OPERATIONS.
EXHIBIT H-5. AGREEMENT BETWEEN NSP AND NRG. NSP SELLS STEAM TO NRG FOR ITS WASCHO OPERATIONS FOR RESALE TO ANDERSEN CORPORATION AND TO A MINNESOTA CORRECTIONAL FACILITY.
EXHIBIT H-6. AGREEMENT BETWEEN NSP AND NRG. NRG PAYS NSP TO OPERATE AND MAINTAIN ITS WALDORF (NOW ROCKTENN CORP.) PROCESS STEAM OPERATION LOCATED AT NSP'S HIGH BRIDGE POWER GENERATION FACILITY.
EXHIBIT H-7. AGREEMENT BETWEEN NSP AND LIBERTY PAPER, INC. NSP SELLS STEAM AND ELECTRICITY FROM ITS SHERCO GENERATING PLANT TO LIBERTY PAPER, INC. ("LPI"). NSP SUPPLIES STEAM TO SATISFY LPI'S THERMAL ENERGY NEEDS AND PROVIDES LPI WITH ABOUT EIGHT MEGAWATTS OF ELECTRICITY UNDER TARIFFED RATES.
EXHIBIT H-8. AGREEMENT BETWEEN NSP AND NSP-W FOR SCADA SERVICES. NSP SUPPLIES NSP-W AND VIKING WITH SUPERVISORY CONTROL AND DATA ACQUISITION ("SCADA") SERVICES FOR THEIR GAS BUSINESSES PURSUANT TO SEPARATE CONTRACTS WITH NSP-W AND VIKING. NSP ALSO SUPPLIES NSP-W GAS DISPATCHING AND OTHER SERVICES.
EXHIBIT H-9. AGREEMENT BETWEEN NSP AND VIKING FOR SCADA SERVICES. NSP SUPPLIES NSP-W AND VIKING WITH SUPERVISORY CONTROL AND DATA ACQUISITION ("SCADA") SERVICES FOR THEIR GAS BUSINESSES PURSUANT TO SEPARATE CONTRACTS WITH VIKING AND NSP-W. NSP ALSO SUPPLIES NSP-W GAS DISPATCHING AND OTHER SERVICES.
EXHIBIT H-10. AGREEMENT BETWEEN NSP AND UNITED POWER & LAND. UP&L LEASES OFFICE SPACE ON FLOORS TWO THROUGH ELEVEN OF THE RENAISSANCE SQUARE OFFICE BUILDING TO NSP. UP&L ALSO LEASES OFFICE SPACE ON THE FIRST FLOOR AND IN THE BASEMENT OF THE RENAISSANCE SQUARE OFFICE BUILDING TO NSP.
EXHIBIT H-11. AGREEMENT BETWEEN NSP AND FIRST MIDWEST AUTO PARK. FIRST MIDWEST AUTO PARK ("FMAP") LEASES 14,000 SQUARE FEET OF UNIMPROVED STORAGE AREA TO NSP IN THE FIRST AND SECOND FLOORS OF THE PARKING GARAGE ADJACENT TO NSP'S HEADQUARTERS. FMAP ALSO LEASES 92 PARKING SPACES IN THE PARKING FACILITY TO NSP.
EXHIBIT H-12. AGREEMENT BETWEEN NSP AND SEREN INNOVATIONS, INC. SEREN INNOVATIONS, INC. ("SEREN"), A WHOLLY-OWNED SUBSIDIARY OF NSP, ENTERED INTO A LEASE AGREEMENT WITH NSP WHICH ALLOWS SEREN TO ATTACH CABLE OR SIMILAR TELECOMMUNICATIONS FACILITIES TO NSP'S DISTRIBUTION POLES, CONDUITS, DUCTS AND OTHER PROPERTIES. THE LEASE IS EFFECTIVE FEBRUARY 20, 1998 THROUGH DECEMBER 31, 2018, AND IS APPLICABLE IN MINNESOTA, SOUTH DAKOTA AND NORTH DAKOTA.
EXHIBIT H-13. AGREEMENT BETWEEN REDDY KILOWATT CORPORATION ("RKC") AND NSP. RKC IS A WHOLLY-OWNED SUBSIDIARY OF NSP WHICH OWNS AND LICENSES USE OF THE REDDY KILOWATT-Registered Trademark- AND REDDY FLAME-TM- TRADEMARKS ("TRADEMARKS"). ON OCTOBER 1, 1999, NSP AND RKC ENTERED INTO A TRADEMARK LICENSE AGREEMENT ALLOWING NSP TO USE THE TRADEMARKS FOR AN ANNUAL FEE.
EXHIBIT H-14. AGREEMENT BETWEEN NUCLEAR MANAGEMENT COMPANY AND NSP. NSP NUCLEAR CORPORATION (A WHOLLY OWNED SUBSIDIARY OF NSP) OWNS A 25% INTEREST IN THE NUCLEAR MANAGEMENT COMPANY, LLC. THE NMC PROVIDES NUCLEAR POWER PLANT OPERATING SERVICES TO NSP FOR THE PRAIRIE ISLAND AND MONTICELLO NUCLEAR GENERATING FACILITIES AT FULLY ALLOCATED COST. THE NMC PROVIDES THESE SAME SERVICES TO ALLIANT, WISCONSIN ELECTRIC AND WISCONSIN PUBLIC SERVICE NUCLEAR FACILITIES.
EXHIBIT H-15. AGREEMENT BETWEEN NSP AND UTILITY ENGINEERING (UE). NSP ENTERED AN AGREEMENT WITH UE BY WHICH IT CAN TAKE ENGINEERING AND PROJECT MANAGEMENT SERVICE FROM UE.
EXHIBIT H-16. AGREEMENT BETWEEN NSP-W AND UTILITY ENGINEERING (UE). NSP-W ENTERED AN AGREEMENT WITH UE BY WHICH IT CAN TAKE ENGINEERING AND PROJECT MANAGEMENT SERVICE FROM UE.
EXHIBIT H-17. LEASE AGREEMENT BETWEEN NSP-W AND CHIPPEWA AND FLAMBEAU IMPROVEMENT COMPANY. THIS AGREEMENT PROVIDES THAT NSP-W WILL PAY CHIPPEWA AT COST FOR THE MANAGEMENT OF WATER RIGHTS FOR A HYDROELECTRIC FACILITY USED TO PRODUCE ELECTRICITY.
EXHIBIT H-18. SERVICES AGREEMENT BETWEEN NSP-W AND NSP LANDS, INC. THIS AGREEMENT WILL REMAIN IN PLACE SO THAT CERTAIN INCIDENTAL SERVICES OF NSP-W OPERATING COMPANY, SUCH AS FIELD ENGINEERS CAN BE USED BY NSP LANDS PURSUANT TO SEC RULE 87. ADMINISTRATIVE SERVICES PERFORMED BY NSP-W IN THE PAST WILL BE PROVIDED BY XCEL ENERGY SERVICES, INC. THE SERVICES WILL BE PROVIDED AT COST.
EXHIBIT H-19. SERVICES AGREEMENT BETWEEN NSP-W AND NSP. THIS AGREEMENT WILL REMAIN IN PLACE SO THAT CERTAIN INCIDENTAL SERVICES OF NSP-W OPERATING COMPANY AND NSP OPERATING COMPANY CAN BE SHARED PURSUANT TO SEC RULE 87. ADMINISTRATIVE SERVICES PERFORMED BY NSP IN THE PAST WILL BE PROVIDED BY XCEL ENERGY SERVICES, INC. THE SERVICES WILL BE PROVIDED AT COST.
EXHIBIT H-20. SERVICES AGREEMENT BETWEEN NSP-W AND VIKING GAS TRANSMISSION COMPANY. THIS AGREEMENT WILL REMAIN IN PLACE SO THAT CERTAIN INCIDENTAL SERVICES OF NSP-W OPERATING COMPANY CAN BE SHARED WITH VIKING PURSUANT TO SEC RULE 87. ADMINISTRATIVE SERVICES PERFORMED BY NSP-W IN THE PAST WILL BE PROVIDED BY XCEL ENERGY SERVICES, INC. THE SERVICES WILL BE PROVIDED AT COST.
EXHIBIT H-21. SERVICES AGREEMENT BETWEEN NSP-W AND CLEARWATER INVESTMENT, INC. THIS AGREEMENT WILL REMAIN IN PLACE IN THE EVENT THAT CERTAIN INCIDENTAL SERVICES OF NSP-W OPERATING COMPANY CAN BE SHARED WITH VIKING PURSUANT TO SEC RULE 87. ADMINISTRATIVE SERVICES PERFORMED BY NSP-W IN THE PAST WILL BE PROVIDED BY XCEL ENERGY SERVICES, INC. THE SERVICES WILL BE PROVIDED AT COST.
EXHIBIT H-22. PSCO AND NCE COMMUNICATIONS. THIS AGREEMENT ALLOWS NCE COMMUNICATIONS TO LEASE A PORTION OF A FIBER OPTIC NETWORK TO PSCO AS WELL AS TO OTHER THIRD PARTIES.
EXHIBIT H-23. PUBLIC SERVICE COMPANY OF COLORADO ("PSCO") AND PUBLIC SERVICE COLORADO CREDIT CORPORATION ("PSCCC"). PSCCC PURCHASES ACCOUNTS RECEIVABLE GENERATED FROM SALE OF GAS AND ELECTRICITY AS WELL AS FUEL INVENTORY FOR PSCO'S GENERATING FACILITIES. PSCO PAYS TRANSACTION FEES TO PSCCC.
EXHIBIT H-24. PUBLIC SERVICE COMPANY OF COLORADO ("PSCO") AND E PRIME. THESE AGREEMENTS PROVIDE THAT PSCO PURCHASES CERTAIN DEMAND SIDE MANAGEMENT RESOURCES FROM E PRIME.
EXHIBIT H-25. 1480 WELTON AND PUBLIC SERVICE OF COLORADO ("PSCO"). UNDER THESE AGREEMENTS 1480 WELTON LEASES CERTAIN FACILITIES TO PSCO.
EXHIBIT H-26. PUBLIC SERVICE OF COLORADO ("PSCO") AND UTILITY ENGINEERING. PSCO ENTERED AN AGREEMENT WITH UE BY WHICH IT CAN TAKE ENGINEERING AND PROJECT MANAGEMENT SERVICE FROM UE.
EXHIBIT H-27. SOUTHWESTERN PUBLIC SERVICE COMPANY ("SPS") AND UTILITY ENGINEERING. SPS ENTERED AN AGREEMENT WITH UE BY WHICH IT CAN TAKE ENGINEERING AND PROJECT MANAGEMENT SERVICES FROM UE.
EXHIBIT H-28. SOUTHWESTERN PUBLIC SERVICE COMPANY ("SPS") AND PLANERGY, INC. THESE AGREEMENTS PROVIDES THAT SPS PURCHASES CERTAIN DEMAND SIDE MANAGEMENT RESOURCES FROM PLANERGY.
LITIGATION
19. DESCRIBE BRIEFLY ANY EXISTING LITIGATION OF THE FOLLOWING DESCRIPTIONS, TO WHICH THE REGISTRANT OR ANY SUBSIDIARY COMPANY THEREOF IS A PARTY, OR OF WHICH THE PROPERTY OF THE REGISTRANT OR ANY SUCH SUBSIDIARY COMPANY IS THE SUBJECT, INCLUDING THE NAMES OF THE PARTIES AND THE COURT IN WHICH SUCH LITIGATION IS PENDING:
(1) PROCEEDINGS TO ENFORCE OR TO RESTRAIN ENFORCEMENT OF ANY ORDER OF A STATE COMMISSION OR OTHER GOVERNMENTAL AGENCY;
(2) PROCEEDINGS INVOLVING ANY FRANCHISE CLAIMED BY ANY SUCH COMPANY;
(3) PROCEEDINGS BETWEEN ANY SUCH COMPANY AND ANY HOLDER, IN HIS CAPACITY AS SUCH, IF ANY FUNDED INDEBTEDNESS OR CAPITAL STOCK ISSUED, OR GUARANTEED BY SUCH COMPANY, OR BETWEEN ANY SUCH COMPANY AND ANY OFFICER THEREOF;
(4) PROCEEDINGS IN WHICH ANY SUCH COMPANY SUES IN ITS CAPACITY AS OWNER OF CAPITAL STOCK OR FUNDED INDEBTEDNESS ISSUED OR GUARANTEED BY ANY OTHER COMPANY;
(5) EACH OTHER PROCEEDING IN WHICH THE MATTER IN CONTROVERSY, EXCLUSIVE OF INTEREST AND COSTS, EXCEEDS AN AMOUNT EQUAL TO 2% OF THE DEBIT ACCOUNTS SHOWN ON THE MOST RECENT BALANCE SHEET OF SUCH COMPANY.
A SUMMARY OF LITIGATION MEETING THE DESCRIPTION ABOVE AND OTHER MATERIAL MATTERS ARE DESCRIBED BELOW.
ON DEC. 11, 1998, A GAS EXPLOSION IN ST. CLOUD, MINN., KILLED FOUR PEOPLE, INCLUDING TWO NORTHERN STATES POWER COMPANY-MINNESOTA (NSP-MINNESOTA) EMPLOYEES, INJURED APPROXIMATELY 14 PEOPLE AND DAMAGED SEVERAL BUILDINGS. NSP-MINNESOTA IS A SIGNIFICANT SUBSIDIARY OF XCEL ENERGY INC. THE ACCIDENT OCCURRED AS A CREW FROM CABLE CONSTRUCTORS INC. (CCI) WAS INSTALLING FIBER OPTIC CABLE FOR SEREN. SEREN IS A SUBSIDIARY OF XCEL ENERGY INC. SEREN, CCI AND SIRTI, AN ARCHITECTURE/ENGINEERING FIRM RETAINED BY SEREN, ARE NAMED AS DEFENDANTS IN TEN LAWSUITS RELATING TO THE EXPLOSION. NSP-MINNESOTA IS A DEFENDANT IN EIGHT OF THE LAWSUITS. NSP-MINNESOTA AND SEREN DENY ANY LIABILITY FOR THIS ACCIDENT. NSP-MINNESOTA HAS A SELF-INSURED RETENTION DEDUCTIBLE OF $2 MILLION WITH GENERAL LIABILITY COVERAGE LIMITS OF $185 MILLION. SEREN'S PRIMARY INSURANCE COVERAGE IS $1 MILLION AND ITS SECONDARY INSURANCE COVERAGE IS $185 MILLION. THE ULTIMATE COST TO XCEL ENERGY INC., NSP-MINNESOTA AND SEREN, IF ANY, IS UNKNOWN AT THIS TIME.
IN APRIL 1997, A FIRE DAMAGED SEVERAL BUILDINGS IN DOWNTOWN GRAND FORKS, N. D., DURING A FLOOD IN THE CITY. ON JULY 23, 1998, THE ST. PAUL MERCURY INSURANCE CO. COMMENCED A LAWSUIT AGAINST NSP-MINNESOTA FOR DAMAGES IN EXCESS OF $15 MILLION. NSP-MINNESOTA IS A SIGNIFICANT SUBSIDIARY OF XCEL ENERGY INC. THE SUIT WAS FILED IN THE DISTRICT COURT IN GRAND FORKS COUNTY IN
NORTH DAKOTA. THE INSURANCE COMPANY ALLEGED THE FIRE WAS ELECTRICAL IN ORIGIN AND THAT NSP-MINNESOTA WAS LEGALLY RESPONSIBLE FOR THE FIRE BECAUSE IT FAILED TO SHUT OFF ELECTRICAL POWER TO DOWNTOWN GRAND FORKS DURING THE FLOOD AND PRIOR TO THE FIRE. SEVEN ADDITIONAL LAWSUITS WERE FILED AGAINST NSP-MINNESOTA BY INSURANCE COMPANIES WHICH INSURED BUSINESSES DAMAGED BY THE FIRE. ONE ADDITIONAL LAWSUIT FILED BY THE FIRST NATIONAL BANK OF GRAND FORKS IS VENUED IN FEDERAL COURT. THE TOTAL OF DAMAGES BEING SOUGHT BY ALL THESE LAWSUITS IS IN EXCESS OF $30 MILLION. NSP-MINNESOTA DENIED ANY LIABILITY, ASSERTING THAT IT WAS NOT LEGALLY RESPONSIBLE FOR THIS UNFORESEEABLE EVENT. TRIAL CONCERNING THE STATE COURT LAWSUITS COMMENCED ON AUG. 1, 2000, AND CONCLUDED ON SEPT. 7, 2000. ON SEPT. 8, 2000, AFTER DELIBERATING FOR ONLY ONE HOUR, A JURY RETURNED A DEFENSE VERDICT IN FAVOR OF NSP-MINNESOTA. IT IS UNKNOWN WHETHER THE PLAINTIFFS WILL APPEAL. NSP-MINNESOTA HAS A SELF-INSURED RETENTION DEDUCTIBLE OF $2 MILLION, WITH GENERAL LIABILITY INSURANCE COVERAGE LIMITS OF $150 MILLION. THE ULTIMATE COST TO XCEL ENERGY AND NSP-MINNESOTA, IF ANY, IS UNKNOWN AT THIS TIME.
ON SEPT. 25, 2000, NORTHERN STATES POWER COMPANY-WISCONSIN (NSP-W) WAS SERVED WITH A COMPLAINT BY SVEN A. JOHNSON. NSP-W IS A SIGNIFICANT SUBSIDIARY OF XCEL ENERGY INC. MR. JOHNSON ALLEGES THAT HE SUFFERED PERSONAL INJURY AS A RESULT OF RUTS CREATED ON HIS PROPERTY BY NSP-W WHILE NSP-W WAS REPAIRING A POWER LINE LOCATED ADJACENT TO HIS PROPERTY. MR. JOHNSON ALLEGES THAT AS A RESULT OF HIS PERSONAL INJURY HE HAS SUSTAINED DAMAGES OF APPROXIMATELY $371 MILLION. NSP-W BELIEVES THE CLAIM IS DEFENSIBLE AND ANY DAMAGES OR COSTS RESULTING FROM THE ACTION WILL NOT BE MATERIAL.
ON JUNE 8, 1998, NSP FILED A COMPLAINT IN THE COURT OF FEDERAL CLAIMS AGAINST THE DEPARTMENT OF ENERGY (DOE) REQUESTING DAMAGES IN EXCESS OF $1 BILLION FOR THE DOE'S PARTIAL BREACH OF THE STANDARD CONTRACT. NSP REQUESTED DAMAGES CONSISTING OF THE COSTS OF STORAGE OF SPENT NUCLEAR FUEL AT THE PRAIRIE ISLAND NUCLEAR GENERATING PLANT, ANTICIPATED COSTS RELATED TO THE PRIVATE FUEL STORAGE, LLC AND COSTS RELATING TO THE 1994 STATE LEGISLATION LIMITING THE NUMBER OF CASKS THAT CAN BE USED TO STORE SPENT NUCLEAR FUEL AT PRAIRIE ISLAND. ON APRIL 6, 1999, THE COURT OF FEDERAL CLAIMS DISMISSED NSP'S COMPLAINT. ON MAY 20, 1999, NSP FILED A NOTICE OF APPEALS WITH THE FEDERAL CIRCUIT AND ON JULY 20, 1999, NSP FILED ITS INITIAL BRIEF ON APPEAL. THE DEPARTMENT OF JUSTICE, REPRESENTING THE UNITED STATES, FILED ITS INITIAL BRIEF ON OCT. 29, 1999. NO DATE HAS BEEN SET FOR ORAL ARGUMENT. A DECISION IS EXPECTED IN MID-2000.
ON AUG. 7, 1998, A GROUP OF RESIDENTIAL AND COMMERCIAL CUSTOMERS BROUGHT A CLASS ACTION LAWSUIT AGAINST THE DOE IN THE FEDERAL DISTRICT COURT IN MINNEAPOLIS, MINN. THE SUIT DEMANDS THE RETURN OF MONIES PAID BY CUSTOMERS INTO THE NUCLEAR WASTE FUND AND OTHER DAMAGES, BASED ON THE FAILURE OF THE DOE TO MEETS ITS UNCONDITIONAL OBLIGATION TO ACCEPT SPENT NUCLEAR FUEL BY JAN. 31, 1998. NSP IS NAMED AS NOMINAL DEFENDANT BECAUSE NSP HAS THE CONTRACT WITH THE DOE UNDER WHICH PAYMENTS ARE MADE INTO THE FUND. ON DEC. 23, 1999, THE COURT DISMISSED THE CLASS ACTION SUIT. THE MATTER IS CURRENTLY ON APPEAL.
NSP RECORDED A CHARGE OF $35 MILLION (BEFORE TAX), OR APPROXIMATELY 14 CENTS PER SHARE, IN THE SECOND QUARTER OF 1999 AS A RESULT OF A MINNESOTA PUBLIC UTILITIES COMMISSION (MPUC) DISALLOWANCE OF RATE RECOVERY OF ACCRUED 1998 CONSERVATION PROGRAM INCENTIVES. NSP HAS APPEALED THE MPUC DECISION TO THE MINNESOTA COURT OF APPEALS.
IN 1997, NSP WAS SERVED WITH A SUMMONS AND COMPLAINT ON BEHALF OF THE OWNERS OF SCHACHTNER FARMS LOCATED IN DEER PARK, WIS. THE COMPLAINT ALLEGED THAT STRAY VOLTAGE FROM NSP'S SYSTEM HARMED THEIR DAIRY HERD, RESULTING IN LOST MILK PRODUCTION, INJURY TO THE DAIRY HERD, LOST PROFITS AND INCREASED VETERINARY EXPENSES. ON NOV. 23, 1999, THE JURY RETURNED A VERDICT FINDING NSP NEGLIGENT AND AWARDING SCHACHTNER FARMS $850,000 FOR ECONOMIC DAMAGES AND $200,000 FOR INCONVENIENCE, ANNOYANCE AND LOSS OF USE AND ENJOYMENT OF THEIR PROPERTY PLUS COSTS AND INTEREST. THE COURT TREBLED THE DAMAGES BECAUSE THE JURY FOUND THAT NSP WAS WILLFUL, WANTON OR RECKLESS IN ITS FAILURE TO PROVIDE ADEQUATE SERVICE TO THE FARM. NSP HAS APPEALED THE DECISION TO THE COURT OF APPEALS, THIRD DISTRICT, OF THE STATE OF WISCONSIN. NSP-W ANTICIPATES THAT INSURANCE WILL INDEMNIFY IT FOR ALL DAMAGES AND COSTS SUBJECT TO APPLICABLE INSURANCE POLICY DEDUCTIBLES.
PSRI, A SUBSIDIARY OF PUBLIC SERVICE COMPANY OF COLORADO, OWNS AND MANAGES PERMANENT LIFE INSURANCE POLICIES ON CERTAIN PAST AND PRESENT EMPLOYEES. PUBLIC SERVICE COMPANY OF COLORADO IS A SIGNIFICANT SUBSIDIARY. THESE CORPORATE OWNED LIFE INSURANCE (COLI) POLICIES WERE ENTERED INTO PRIOR TO JUNE 20, 1986. SINCE 1986, CONGRESS HAS PASSED VARIOUS LEGISLATION TO PHASE OUT THE TAX BENEFITS ASSOCIATED WITH CERTAIN COLI POLICIES, HOWEVER, PSRI'S POLICIES HAVE BEEN GRANDFATHERED UNDER THIS LEGISLATION. IN AUG. 1998, THE UNITED STATES INTERNAL REVENUE SERVICE (IRS) ISSUED A NOTICE OF PROPOSED ADJUSTMENT PROPOSING TO DISALLOW THE 1993 AND 1994 DEDUCTIONS OF INTEREST EXPENSE RELATED TO POLICY LOANS ON THE COLI POLICIES. IN MARCH 2000, THE IRS AMENDED ITS ORIGINAL ADJUSTMENT TO ALSO DISALLOW THE INTEREST DEDUCTIONS TAKEN IN TAX YEARS 1995 THROUGH 1997. THE TOTAL DISALLOWANCE OF INTEREST EXPENSE DEDUCTIONS FOR THE FIVE YEARS AS PROPOSED BY THE IRS IS APPROXIMATELY $175 MILLION. A REQUEST FOR TECHNICAL ADVICE FROM THE IRS NATIONAL OFFICE WITH RESPECT TO THE PROPOSED ADJUSTMENT IS PENDING. PSRI IS VIGOROUSLY CONTESTING THIS ISSUE. PSRI HAS NOT RECORDED ANY PROVISION FOR INCOME TAX OR INTEREST EXPENSE RELATED TO THIS MATTER AND HAS CONTINUED TO TAKE DEDUCTIONS FOR INTEREST EXPENSE RELATED TO POLICY LOANS ON ITS INCOME TAX RETURNS FOR SUBSEQUENT YEARS.
ON OR ABOUT JULY 12, 1999, FORTISTAR CAPITAL, INC. COMMENCED AN ACTION AGAINST NRG ENERGY, INC. IN STATE COURT IN MINNESOTA SEEKING DAMAGES IN EXCESS OF $400 MILLION AND AN ORDER RESTRAINING NRG FROM CONSUMMATING THE ACQUISITION OF NIAGARA MOHAWK POWER CORPORATION'S OSWEGO GENERATING STATION. FORTISTAR'S MOTION FOR A TEMPORARY RESTRAINING ORDER WAS DENIED AND A TEMPORARY INJUNCTION HEARING WAS HELD ON SEPT. 27, 1999. THE ACQUISITION OF THE OSWEGO GENERATING STATION WAS CLOSED ON OCT. 22, 1999, FOLLOWING NOTIFICATION TO THE COURT OF THE CLOSING DATE. NRG IS VIGOROUSLY DEFENDING ITSELF IN THE SUIT AND BELIEVES FORTISTAR'S CLAIM TO BE WITHOUT MERIT. NRG HAS ASSERTED NUMEROUS COUNTERCLAIMS AGAINST FORTISTAR.
EXHIBIT A. Furnish a corporate chart showing graphically relationships existing between the registrant and all subsidiary companies thereof as of the same date as the information furnished in the answer to Item 8. The chart should show the percentage of each class voting securities of each subsidiary owned by the registrant and by each subsidiary company.
------------------------------------------------------------------------------- EXHIBIT ------------------------------------------------------------------------------- A-1 XCEL ENERGY SUBSIDIARIES ------------------------------------------------------------------------------- A-2 UTILITY ENGINEERING SUBSIDIARIES ------------------------------------------------------------------------------- A-3 PLANERGY SUBSIDIARIES ------------------------------------------------------------------------------- A-4 E PRIME SUBSIDIARIES ------------------------------------------------------------------------------- A-5 NEO CORP. LEGAL ENTITIES ------------------------------------------------------------------------------- A-6 NRG UK HOLDING CO. STRUCTURE ------------------------------------------------------------------------------- A-7 NRG FOREIGN DEVELOPMENT CO.'S ------------------------------------------------------------------------------- A-8 NRG AUSTRALIAN O&M CO.'S ------------------------------------------------------------------------------- A-9 NRG CANADA ------------------------------------------------------------------------------- A-10 NRG CZECH/TURKEY ------------------------------------------------------------------------------- A-11 NRG CAYMANS ------------------------------------------------------------------------------- A-12 NRG AUSTRALIA ------------------------------------------------------------------------------- A-13 NRG TOSLI ------------------------------------------------------------------------------- A-14 NRG GERMANY ------------------------------------------------------------------------------- A-15 NRG DORMANT CO.'S ------------------------------------------------------------------------------- A-16 NRG DOMESTIC HOLDING CO. STRUCTURE ------------------------------------------------------------------------------- A-17 NRG PACGEN HOLDING CO. STRUCTURE ------------------------------------------------------------------------------- |
EXHIBIT B. With respect to the registrant and each subsidiary company thereof, furnish a copy of the charter, articles of incorporation, trust agreement, voting trust agreement, or other fundamental document of organization, and a copy of its by-laws, rules and regulations, or other instruments corresponding thereto. If such documents do not set forth fully the rights, priorities and preferences of the holders of each class of capital stock described in the answer to Item 8(b) and those of the holders of any warrants, options or other securities described in the answer to Item 8(d), and of any limitations on such rights, there shall also be included the text appearing on each certificate or a copy of each resolution or other document establishing or defining such rights and limitations. The text of each such document shall be in the amended form effective at the date of filing the registration statement or shall be accompanied by copies of any amendments to it then in effect.
NAME OF COMPANY ARTICLES OF INCORPORATION BYLAWS
---------------------------------------------------------------------------------------------------------------------
Xcel Energy Inc. ("Xcel Energy") B-1 B-2
---------------------------------------------------------------------------------------------------------------------
1480 Welton, Inc. B-98 B-98
---------------------------------------------------------------------------------------------------------------------
BCH Energy, Ltd. Partnership B-85 (Ltd Partnership Agreement)
---------------------------------------------------------------------------------------------------------------------
Bear Energy Corp. B-76 B-76
---------------------------------------------------------------------------------------------------------------------
Black Mountain Gas Company B-3 B-4
---------------------------------------------------------------------------------------------------------------------
Borger Energy Associates, L.P. B-79 (Ltd Partnership Agreement)
---------------------------------------------------------------------------------------------------------------------
Borger Funding Corporation B-61 B-61
---------------------------------------------------------------------------------------------------------------------
Cadence Network, Inc. B-121 B-121
---------------------------------------------------------------------------------------------------------------------
Cambodia Power Company B-76 B-76
---------------------------------------------------------------------------------------------------------------------
Carolina Energy, Ltd. Partnership B-72 (Ltd Partnership Agreement)
---------------------------------------------------------------------------------------------------------------------
Cheyenne Light, Fuel and Power Co. B-71 B-71
---------------------------------------------------------------------------------------------------------------------
Chippewa & Flambeau Improvement Co. B-5 B-6
---------------------------------------------------------------------------------------------------------------------
Clearwater Investments, Inc. B-7 B-8
---------------------------------------------------------------------------------------------------------------------
Cogeneration Capital Associates, B-109 B-109
Inc.
---------------------------------------------------------------------------------------------------------------------
CPC Ltd. Partnership B-82 (Ltd. Partnership Agreement)
---------------------------------------------------------------------------------------------------------------------
Denver City Energy Associates LP B-81 (Ltd Partnership Agreement)
---------------------------------------------------------------------------------------------------------------------
Ditch and Water Companies B-99 B-99
---------------------------------------------------------------------------------------------------------------------
Dragon Energy Corp. B-80 (Memorandum of Association) B-80 (Articles of Association)
---------------------------------------------------------------------------------------------------------------------
e prime (belize) Ltd. B-107 (Memorandum of Association) B-107 (Articles of Association)
---------------------------------------------------------------------------------------------------------------------
e prime Florida, Inc. B-106 B-106
---------------------------------------------------------------------------------------------------------------------
e prime Georgia, Inc. B-105 B-105
---------------------------------------------------------------------------------------------------------------------
e prime, inc. B-102 B-102
---------------------------------------------------------------------------------------------------------------------
e prime Energy Marketing, Inc. B-122 B-122
---------------------------------------------------------------------------------------------------------------------
Eloigne Company ("Eloigne") B-9 B-10
---------------------------------------------------------------------------------------------------------------------
Energy Masters International, Inc. B-11 B-12
---------------------------------------------------------------------------------------------------------------------
ep3, LP B-128 (Certificate of Ltd. B-128 (Ltd. Partnership Agreement)
Partnership)
---------------------------------------------------------------------------------------------------------------------
First Midwest Auto Park, Inc. B-13 B-14
---------------------------------------------------------------------------------------------------------------------
Front Range Energy Associates, LLC B-59 (Certificate of Formation)
---------------------------------------------------------------------------------------------------------------------
Fuel Resources Development Co. B-129 B-129
---------------------------------------------------------------------------------------------------------------------
Green and Clear Lakes Company B-97 B-97
---------------------------------------------------------------------------------------------------------------------
Guardian Pipeline, L.L.C. B-15 (Certificate of Formation) B-16 (LLC Agreement)
---------------------------------------------------------------------------------------------------------------------
Johnstown Cogeneration, LLC Unable to locate
---------------------------------------------------------------------------------------------------------------------
KES Jamaica, LP B-73
---------------------------------------------------------------------------------------------------------------------
KES Montego, Inc. B-66 B-66
---------------------------------------------------------------------------------------------------------------------
Natrogas, Incorporated ("Natrogas") B-17 B-18
---------------------------------------------------------------------------------------------------------------------
Natural Station Equipment, LLC B-70 (Certificate of Formation)
---------------------------------------------------------------------------------------------------------------------
NCE Communications, Inc. B-93 B-93
---------------------------------------------------------------------------------------------------------------------
New Century-Cadence, Inc. B-91 B-91
---------------------------------------------------------------------------------------------------------------------
North America Energy, Inc. B-19 B-20
---------------------------------------------------------------------------------------------------------------------
Northern Power Wisconsin Corp. B-21 B-22
---------------------------------------------------------------------------------------------------------------------
NSP B-50 B-51
---------------------------------------------------------------------------------------------------------------------
NSP-W B-23 B-24
---------------------------------------------------------------------------------------------------------------------
NRG Energy, Inc. B-126 B-126
---------------------------------------------------------------------------------------------------------------------
NSP Energy Marketing, Inc. B-25 None
---------------------------------------------------------------------------------------------------------------------
NSP Financing I B-26 (Cert of Business Trust B-27 (Declaration of Trust)
Registration)
---------------------------------------------------------------------------------------------------------------------
105
|
---------------------------------------------------------------------------------------------------------------------
NSP Lands, Inc. B-28 B-29
---------------------------------------------------------------------------------------------------------------------
NSP Nuclear Corporation B-30 B-31
---------------------------------------------------------------------------------------------------------------------
Nuclear Management Company, LLC B-32 (Articles of Organization) B-33 (Assignment Agreement)
---------------------------------------------------------------------------------------------------------------------
P.S.R. Investments, Inc. B-95 B-95
---------------------------------------------------------------------------------------------------------------------
Planergy (Delaware), Inc. B-110 B-110
---------------------------------------------------------------------------------------------------------------------
Planergy Energy Services Corp. PGE B-119 B-119
#1
---------------------------------------------------------------------------------------------------------------------
Planergy Ltd. B-118 (Articles of Continuance) B-118
---------------------------------------------------------------------------------------------------------------------
Planergy New York, Inc. B-117 B-117
---------------------------------------------------------------------------------------------------------------------
Planergy Power II, Inc1. B-116 B-116
---------------------------------------------------------------------------------------------------------------------
Planergy Services of CA, Inc. PGE #2 B-115 B-115
---------------------------------------------------------------------------------------------------------------------
Planergy Services of Houston, Inc. B-114 B-114
---------------------------------------------------------------------------------------------------------------------
Planergy Services of Texas, Inc. B-113 B-113
---------------------------------------------------------------------------------------------------------------------
Planergy Services USA, Inc. B-112 B-112
---------------------------------------------------------------------------------------------------------------------
Planergy Services, Inc. B-111 B-111
---------------------------------------------------------------------------------------------------------------------
Planergy, Inc. B-108 B-108
---------------------------------------------------------------------------------------------------------------------
Precision Resource Company B-101 B-101
---------------------------------------------------------------------------------------------------------------------
Private Fuel Storage L.L.C. B-58 (Certificate of Formation) None
---------------------------------------------------------------------------------------------------------------------
PS Colorado Credit Corporation B-96 B-96
---------------------------------------------------------------------------------------------------------------------
Public Service Company of Colorado B-88 B-88
---------------------------------------------------------------------------------------------------------------------
Quixx Borger Cogen, Inc. B-65 B-65
---------------------------------------------------------------------------------------------------------------------
Quixx Carolina, Inc. B-64 B-64
---------------------------------------------------------------------------------------------------------------------
Quixx Corporation B-60 B-60
---------------------------------------------------------------------------------------------------------------------
Quixx Jamaica, Inc. B-63 B-63
---------------------------------------------------------------------------------------------------------------------
Quixx Linden, L.P. B-83 (Certificate of Ltd Partnership) B-83 (Ltd Partnership Agreement)
---------------------------------------------------------------------------------------------------------------------
Quixx Louisville, LLC B-74 (LLC Agreement)
---------------------------------------------------------------------------------------------------------------------
Quixx Mountain Holdings, LLC B-87 (Certificate of Formation)
---------------------------------------------------------------------------------------------------------------------
Quixx Mustang Station, Inc. B-62 B-62
---------------------------------------------------------------------------------------------------------------------
Quixx Power Services, Inc. B-69 B-69
---------------------------------------------------------------------------------------------------------------------
Quixx Resources, Inc. B-78 B-78
---------------------------------------------------------------------------------------------------------------------
Quixx WPP94, Inc. B-68 B-68
---------------------------------------------------------------------------------------------------------------------
Quixx WRR, LP B-86 (Certificate of Ltd Partnership) B-86 (Ltd Partnership Agreement)
---------------------------------------------------------------------------------------------------------------------
Quixxlin Corporation B-67 B-67
---------------------------------------------------------------------------------------------------------------------
Reddy Kilowatt Corporation B-52 B-34
---------------------------------------------------------------------------------------------------------------------
Safe Haven Homes, LLC B-35 (Certificate of Formation) B-36 (LLC Agreement)
---------------------------------------------------------------------------------------------------------------------
Seren Innovations, Inc. B-37 B-38
---------------------------------------------------------------------------------------------------------------------
Southwestern Public Service Company B-77 B-77
---------------------------------------------------------------------------------------------------------------------
Texas-Ohio Pipeline, Inc. B-103 B-103
---------------------------------------------------------------------------------------------------------------------
The Planergy Group, Inc. B-120 B-120
---------------------------------------------------------------------------------------------------------------------
Ultra Power Technologies, Inc. B-39 B-40
---------------------------------------------------------------------------------------------------------------------
United Power and Land Co. (UP&L) B-41 B-42
---------------------------------------------------------------------------------------------------------------------
Universal Utility Services LLC B-123 (Articles of Organization) B-123 (Regulations)
---------------------------------------------------------------------------------------------------------------------
USA-Planergy LLC Unable to locate
---------------------------------------------------------------------------------------------------------------------
Utility Engineering Corporation B-100 B-100
("UEC")
---------------------------------------------------------------------------------------------------------------------
Viking Gas Transmission Company B-43 B-44
---------------------------------------------------------------------------------------------------------------------
WestGas InterState, Inc. B-89 B-89
---------------------------------------------------------------------------------------------------------------------
Windpower Partners 1994, LP B-84 (Ltd Partnership Agreement)
---------------------------------------------------------------------------------------------------------------------
WYCO Development LLC B-124 (Articles of Organization)
---------------------------------------------------------------------------------------------------------------------
Xcel Energy Communications Group B-45 B-46
Inc.
---------------------------------------------------------------------------------------------------------------------
Xcel Energy International Inc. B-94 B-94
---------------------------------------------------------------------------------------------------------------------
Xcel Energy Markets Group Inc. B-47 B-48
---------------------------------------------------------------------------------------------------------------------
Xcel Energy Retail Service Group B-49 B-53
Inc.
---------------------------------------------------------------------------------------------------------------------
Xcel Energy Services Inc. B-75 B-75
---------------------------------------------------------------------------------------------------------------------
Xcel Energy Ventures Inc. B-54 B-55
---------------------------------------------------------------------------------------------------------------------
Xcel Energy Wholesale Group Inc. B-56 B-57
---------------------------------------------------------------------------------------------------------------------
Xcel Energy WYCO Inc. B-90 B-90
---------------------------------------------------------------------------------------------------------------------
Xcel Energy-Centrus Inc. B-92 B-92
---------------------------------------------------------------------------------------------------------------------
Xcel Energy O&M Services Inc. B-125 B-125
---------------------------------------------------------------------------------------------------------------------
Young Gas Storage Company B-104 B-104
---------------------------------------------------------------------------------------------------------------------
Young Gas Storage Company, Ltd. B-130 (Ltd Partnership Agreement)
---------------------------------------------------------------------------------------------------------------------
|
DOCUMENTS FOR NRG'S SUBSIDIARIES ARE ATTACHED AS EXHIBIT B-127.
EXHIBIT C. (a) WITH RESPECT TO EACH CLASS OF FUNDED DEBT SHOWN IN THE ANSWERS
TO ITEM 8(a) AND 8(c), SUBMIT A COPY OF THE INDENTURE OR OTHER
FUNDAMENTAL DOCUMENT DEFINING THE RIGHTS OF THE HOLDERS OF
SUCH SECURITY, AND A COPY OF EACH CONTRACT OR OTHER INSTRUMENT
EVIDENCING THE LIABILITY OF THE REGISTRANT OR A SUBSIDIARY
COMPANY THEREOF AS ENDORSER OR GUARANTOR OF SUCH SECURITY.
INCLUDE A COPY OF EACH AMENDMENT OF SUCH DOCUMENT AND OF EACH
SUPPLEMENTAL AGREEMENT, EXECUTED IN CONNECTION THEREWITH. IF
THERE HAVE BEEN ANY CHANGES OF TRUSTEES THEREUNDER, SUCH
CHANGES, UNLESS OTHERWISE SHOWN, SHOULD BE INDICATED BY NOTES
ON THE APPROPRIATE DOCUMENTS. NO SUCH INDENTURE OR OTHER
DOCUMENT NEED BE FILED IN CONNECTION WITH ANY SUCH ISSUE IF
THE TOTAL AMOUNT OF SECURITIES THAT ARE NOW, OR MAY AT ANY
TIME HEREAFTER, BE ISSUED AND OUTSTANDING THEREUNDER DOES NOT
EXCEED EITHER $1,000,000 OR AN AMOUNT EQUAL TO 10% OF THE
TOTAL OF THE DEBIT ACCOUNTS SHOWN ON THE MOST RECENT BALANCE
SHEET OF THE REGISTRANT OR SUBSIDIARY COMPANY WHICH ISSUED OR
GUARANTEED SUCH SECURITIES OR WHICH IS THE OWNER OF PROPERTY
SUBJECT TO THE LIEN OF SUCH SECURITIES, WHICHEVER OF SAID SUMS
IS THE LESSER.
|
-----------------------------------------------------------------------------------------------------------------------
NAME OF OBLIGOR TITLE OF ISSUE
-----------------------------------------------------------------------------------------------------------------------
PSCO 6.240% DUE 11/27/00 SECURED MTN, SERIES B (FCTB) NOTE A
-----------------------------------------------------------------------------------------------------------------------
PSCO 6.240% DUE 11/27/00 SECURED MTN, SERIES B (FCTB) NOTE A
-----------------------------------------------------------------------------------------------------------------------
PSCO 6.000% DUE 01/01/01FIRST COLLATERAL TRUST, SR. 2 NOTE A
-----------------------------------------------------------------------------------------------------------------------
PSCO 6.600% DUE 02/01/01 SECURED MTN, SERIES B (FCTB) NOTE A
-----------------------------------------------------------------------------------------------------------------------
PSCO 6.600% DUE 02/01/01 SECURED MTN, SERIES B (FCTB) NOTE A
-----------------------------------------------------------------------------------------------------------------------
PSCO 9.250% DUE 03/27/01 SECURED MTN, SERIES A (FMB) NOTE A
-----------------------------------------------------------------------------------------------------------------------
PSCO 7.280% DUE 10/22/02 SECURED MTN, SERIES A (FMB) NOTE A
-----------------------------------------------------------------------------------------------------------------------
PSCO 7.280% DUE 10/22/02 SECURED MTN, SERIES A (FMB) NOTE A
-----------------------------------------------------------------------------------------------------------------------
PSCO 7.650% DUE 10/30/02 SECURED MTN, SERIES A (FMB) NOTE A
-----------------------------------------------------------------------------------------------------------------------
PSCO 6.000% DUE 04/15/03 FIRST COLLATERAL TRUST SR 6 NOTE A
-----------------------------------------------------------------------------------------------------------------------
PSCO 6.450% DUE 11/25/03 SECURED MTN, SERIES B (FCTB) NOTE A
-----------------------------------------------------------------------------------------------------------------------
PSCO 6.450% DUE 11/25/03 SECURED MTN, SERIES B (FCTB) NOTE A
-----------------------------------------------------------------------------------------------------------------------
PSCO 6.900% DUE 02/02/04 SECURED MTN, SERIES B (FCTB) NOTE A
-----------------------------------------------------------------------------------------------------------------------
PSCO 6.900% DUE 02/02/04 SECURED MTN, SERIES B (FCTB) NOTE A
-----------------------------------------------------------------------------------------------------------------------
PSCO 8.125% DUE 03/01/04 FIRST MORTGAGE BONDS NOTE A
-----------------------------------------------------------------------------------------------------------------------
PSCO 6.375% DUE 11/01/05 FIRST COLLATERAL TRUST SR 1 NOTE A
-----------------------------------------------------------------------------------------------------------------------
PSCO 7.125% DUE 06/01/06 FIRST COLLATERAL TRUST SR 3 NOTE A
-----------------------------------------------------------------------------------------------------------------------
PSCO 7.110% DUE 03/05/07 SECURED MTN SERIES B (FCTB) NOTE A
-----------------------------------------------------------------------------------------------------------------------
PSCO 5.625% DUE 04/01/08 POLLUTION CTRL. REFUNDING REV BONDS SR G NOTE A
-----------------------------------------------------------------------------------------------------------------------
PSCO 5.500% DUE 06/01/12 POLLUTION CTRL REFUNDING REV BONDS SR H NOTE A
(MORGAN CTY) (FMB)
-----------------------------------------------------------------------------------------------------------------------
PSCO 5.875% DUE 04/01/14 POLLUTION CTRL REFUNDING REV BONDS SR G NOTE A
(ADAMS CTY) (FMB)
-----------------------------------------------------------------------------------------------------------------------
PSCO 9.875% DUE 07/01/20 FIRST MORTGAGE BONDS NOTE A
-----------------------------------------------------------------------------------------------------------------------
PSCO 8.750% DUE 03/01/22 FIRST MORTGAGE BONDS NOTE A
-----------------------------------------------------------------------------------------------------------------------
PSCO 7.250% DUE 01/01/24 FIRST COLLATERAL TRUST SR 2 NOTE A
-----------------------------------------------------------------------------------------------------------------------
CHEYENNE 7.875% DUE 04/01/03 FIRST MORTGAGE BONDS C-28, C-29
-----------------------------------------------------------------------------------------------------------------------
CHEYENNE ADJ RATE DUE 09/01/21 IND DVMT REV REFUNDING BONDS SR 1997-B C-28, C-30
(LARAMIE CTY)
-----------------------------------------------------------------------------------------------------------------------
CHEYENNE 7.500% DUE 01/01/24 FIRST MORTGAGE BONDS (144A) C-28, C-31
-----------------------------------------------------------------------------------------------------------------------
CHEYENNE ADJ RATE DUE 03/01/27 IND DVMT REV REFUNDING BONDS SR 1997-A C-28, C-32
(LARAMIE CTY)
-----------------------------------------------------------------------------------------------------------------------
1480 WELTON INC 13.250% DUE 10/01/16 SECURED NOTES C-27
-----------------------------------------------------------------------------------------------------------------------
NSP-MINNESOTA 6.375% DUE 04/01/03 FIRST MORTGAGE BONDS NOTE B-4.42
-----------------------------------------------------------------------------------------------------------------------
NSP-MINNESOTA 6.125% DUE 12/01/05 FIRST MORTGAGE BONDS NOTE B-4.43
-----------------------------------------------------------------------------------------------------------------------
NSP-MINNESOTA 7.875% DUE 10/01/01 FIRST MORTGAGE BONDS NOTE B-4.45
-----------------------------------------------------------------------------------------------------------------------
NSP-MINNESOTA 7.125% DUE 07/01/25 FIRST MORTGAGE BONDS NOTE B-4.46
-----------------------------------------------------------------------------------------------------------------------
NSP-MINNESOTA 6.500% DUE 03/01/28 FIRST MORTGAGE BONDS NOTE B-4.48
-----------------------------------------------------------------------------------------------------------------------
NSP-MINNESOTA 5.875% DUE 03/01/03 FIRST MORTGAGE BONDS NOTE B-4.48
-----------------------------------------------------------------------------------------------------------------------
NSP-MINNESOTA ADJ RATE DUE 03/01/11 FMB POLLUTION CTRL SR J NOTE B-4.38
-----------------------------------------------------------------------------------------------------------------------
107
|
-----------------------------------------------------------------------------------------------------------------------
NSP-MINNESOTA ADJ RATE DUE 03/01/11 FMB POLLUTION CTRL SR K NOTE B-4.38
-----------------------------------------------------------------------------------------------------------------------
NSP-MINNESOTA ADJ RATE DUE 03/01/11 FMB POLLUTION CTRL SR L NOTE B-4.38
-----------------------------------------------------------------------------------------------------------------------
NSP-MINNESOTA ADJ RATE DUE VARIOUS FMB RAMSEY/WASHINGTON RDF NOTE B-4.49
-----------------------------------------------------------------------------------------------------------------------
NSP-MINNESOTA ADJ RATE DUE VARIOUS FMB ANOKA RDF NOTE B-4.50
-----------------------------------------------------------------------------------------------------------------------
NSP-MINNESOTA ADJ RATE DUE 03/01/19 FMB POLLUTION CTRL SR N NOTE B-4.47
-----------------------------------------------------------------------------------------------------------------------
NSP-MINNESOTA ADJ RATE DUE 09/01/19 FMB POLLUTION CTRL SR O NOTE B-4.47
-----------------------------------------------------------------------------------------------------------------------
NSP-MINNESOTA ADJ RATE DUE 09/01/19 FMB POLLUTION CTRL SR P NOTE B-4.47
-----------------------------------------------------------------------------------------------------------------------
NSP-MINNESOTA 5.750% DUE 12/01/00 FIRST MORTGAGE BONDS NOTE B-4.43
-----------------------------------------------------------------------------------------------------------------------
NSP-W 7.250% DUE 02/28/23 FIRST MORTGAGE BONDS NOTE B-4.61
-----------------------------------------------------------------------------------------------------------------------
NSP-W 5.750% DUE 09/30/03 FIRST MORTGAGE BONDS NOTE B-4.62
-----------------------------------------------------------------------------------------------------------------------
NSP-W 7.375% DUE 11/30/26 FIRST MORTGAGE BONDS NOTE B-4.63
-----------------------------------------------------------------------------------------------------------------------
COBEE NON-INTEREST BEARING CONSTRUCTION LOAN < $1MM - NOT INCLUDED
-----------------------------------------------------------------------------------------------------------------------
NRG SAN DIEGO PROMISSORY NOTE DUE JUNE 25, 2003 C-34
-----------------------------------------------------------------------------------------------------------------------
PITTSBURGH DUE 2002-2004, 10.31-10.73% C-35
THERMAL LP
-----------------------------------------------------------------------------------------------------------------------
SAN FRANCISCO DUE OCT. 5, 2004 10.61% C-36
THERMAL LP
-----------------------------------------------------------------------------------------------------------------------
NRG ENERGY, INC. SR. NOTES DUE FEB. 1, 2006, 7.625% C-37
-----------------------------------------------------------------------------------------------------------------------
NRG ENERGY, INC. SR. NOTES DUE DUE JUNE 15, 2007, 7.50% NOTE D
-----------------------------------------------------------------------------------------------------------------------
CAMAS POWER UNSECURED TERM LOAN DUE JUNE 30, 2007, 7.65% C-38
BOILER LP
-----------------------------------------------------------------------------------------------------------------------
CAMAS POWER REVENUE BONDS DUE AUG. 1, 2007, 4.65% C-39
BOILER LP
-----------------------------------------------------------------------------------------------------------------------
NEO VARIOUS DEBT DUE 2005-2008, 9.35% C-40
-----------------------------------------------------------------------------------------------------------------------
NRG ENERGY, INC. SR. NOTES DUE JUNE 1, 2009, 7.50% NOTE E
-----------------------------------------------------------------------------------------------------------------------
NRG ENERGY SR. SECURED NOTES DUE JUNE 15, 2013, 7.31% C-41
CENTER, INC.
-----------------------------------------------------------------------------------------------------------------------
NRG ENERGY, INC. SR. NOTES DUE NOV. 1, 2013, 8% NOTE F
-----------------------------------------------------------------------------------------------------------------------
CROCKETT CORP. LLP DUE DEC. 31, 2014, 8.13% C-42
-----------------------------------------------------------------------------------------------------------------------
STERLING TERM LOAN DUE JUNE 30, 2019, 7.86%-LIBOR + 1.31% C-43
LUXEMBOURG #3
-----------------------------------------------------------------------------------------------------------------------
NRG NORTHEAST SR. BONDS DUE DEC. 15, 2004, 8.065% NOTE G
GENERATING LLC
-----------------------------------------------------------------------------------------------------------------------
NRG NORTHEAST SR. BONDS DUE JUNE 15, 2015, 8.842% NOTE G
GENERATING LLC
-----------------------------------------------------------------------------------------------------------------------
NRG NORTHEAST SR. BONDS DUE DEC. 15, 2024, 9.292% NOTE G
GENERATING LLC
-----------------------------------------------------------------------------------------------------------------------
NRG SOUTH CENTRAL SR. BONDS DUE MARCH 15, 2015 8.962% NOTE H
LLC
-----------------------------------------------------------------------------------------------------------------------
NRG SOUTH CENTRAL SR. BONDS DUE SEPT. 15, 2024, 9.479% NOTE H
LLC
-----------------------------------------------------------------------------------------------------------------------
NRG ENERGY, INC. ROARS DUE MARCH 15, 2005 7.97% NOTE I
-----------------------------------------------------------------------------------------------------------------------
ELOIGNE INDENTURE OF TRUST - FOUR COURTS APARTMENTS C-1
-----------------------------------------------------------------------------------------------------------------------
ELOIGNE LOAN AGREEMENT - FOUR COURTS APARTMENTS C-2
-----------------------------------------------------------------------------------------------------------------------
ELOIGNE ASSIGNMENT AND SECURITY AGREEMENT - FOUR COURTS APARTMENTS C-3
-----------------------------------------------------------------------------------------------------------------------
ELOIGNE INDENTURE OF TRUST - COTTAGES OF VADNAIS HEIGHTS C-4
-----------------------------------------------------------------------------------------------------------------------
ELOIGNE LOAN AGREEMENT - COTTAGES OF VADNAIS HEIGHTS C-5
-----------------------------------------------------------------------------------------------------------------------
ELOIGNE ASSIGNMENT AND SECURITY AGREEMENT - COTTAGES OF VADNAIS HEIGHTS C-6
-----------------------------------------------------------------------------------------------------------------------
ELOIGNE LOAN AGREEMENT - POLYNESIAN VILLAGE APARTMENTS C-7
-----------------------------------------------------------------------------------------------------------------------
ELOIGNE ASSIGNMENT AND SECURITY AGREEMENT - POLYNESIAN VILLAGE APARTMENTS C-8
-----------------------------------------------------------------------------------------------------------------------
ELOIGNE INDENTURE OF TRUST - DRIFTWOOD APARTMENTS C-9
-----------------------------------------------------------------------------------------------------------------------
ELOIGNE LOAN AGREEMENT - DRIFTWOOD APARTMENTS C-10
-----------------------------------------------------------------------------------------------------------------------
ELOIGNE ASSIGNMENT AND SECURITY AGREEMENT - DRIFTWOOD APARTMENTS C-11
-----------------------------------------------------------------------------------------------------------------------
ELOIGNE INDENTURE OF TRUST - POLYNESIAN VILLAGE APARTMENTS C-12
-----------------------------------------------------------------------------------------------------------------------
ELOIGNE INDENTURE OF TRUST - OAKDALE VILLAGE APARTMENTS C-13
-----------------------------------------------------------------------------------------------------------------------
ELOIGNE LOAN AGREEMENT - OAKDALE VILLAGE APARTMENTS C-14
-----------------------------------------------------------------------------------------------------------------------
ELOIGNE ASSIGNMENT AND SECURITY AGREEMENT - OAKDALE VILLAGE APARTMENTS C-15
-----------------------------------------------------------------------------------------------------------------------
ELOIGNE NEGOTIABLE PROMISSORY NOTE - NDH CAPITAL CORP. A C-16
-----------------------------------------------------------------------------------------------------------------------
ELOIGNE NEGOTIABLE PROMISSORY NOTE - NDH CAPITAL CORP. B C-17
-----------------------------------------------------------------------------------------------------------------------
ELOIGNE NEGOTIABLE PROMISSORY NOTE - NDH CAPITAL CORP. C C-18
-----------------------------------------------------------------------------------------------------------------------
ELOIGNE MORTGAGE NOTE - BRICKSTONE TOWNHOMES C-19
-----------------------------------------------------------------------------------------------------------------------
ELOIGNE MORTGAGE NOTE - FAIRVIEW RIDGE APARTMENTS C-20
-----------------------------------------------------------------------------------------------------------------------
ELOIGNE MULTIFAMILY NOTE - WILLOW PONDS APARTMENTS C-21
-----------------------------------------------------------------------------------------------------------------------
ELOIGNE LOAN AGREEMENT - PRAIRIE VILLAGE APARTMENTS C-22
-----------------------------------------------------------------------------------------------------------------------
108
|
----------------------------------------------------------------------------------------------------------------------- ELOIGNE LOAN AGREEMENT - MARSH RUN APARTMENTS C-23 ----------------------------------------------------------------------------------------------------------------------- ELOIGNE MULTIFAMILY NOTE - GROVELAND APARTMENTS C-24 ----------------------------------------------------------------------------------------------------------------------- ELOIGNE NOTE - MAPLE CREST APARTMENTS C-25 ----------------------------------------------------------------------------------------------------------------------- ELOIGNE NOTE - ST. CROIX APARTMENTS C-26 ----------------------------------------------------------------------------------------------------------------------- ENERGY MASTERS U.S. BANK LOAN C-33 INT'L INC. ----------------------------------------------------------------------------------------------------------------------- |
A. TRUST INDENTURES AND SUPPLEMENTAL TRUST INDENTURES FOR PSCO'S FUNDED DEBT
ARE INCORPORATED BY REFERENCE TO PSCO'S ANNUAL REPORT ON FORM 10-K FOR THE
YEAR ENDED DEC. 31, 1999, FILE NO. 1-3280, WHICH IS ATTACHED AS EXHIBIT
F-4.
B. TRUST INDENTURES AND SUPPLEMENTAL TRUST INDENTURES FOR NSP-MINNESOTA'S AND
NSP-W FUNDED DEBT ARE INCORPORATED BY REFERENCE TO NSP-MINNESOTA'S
A FORM 10 FILED OCT. 5, 2000. THE NUMBER REFERENCES TO THE EXHIBITS IN THE
FORM 10.
C. LOAN DOCUMENTATION IS INCLUDED WITH THIS DOCUMENT AS AN EXHIBIT.
D. LOAN DOCUMENTS ARE INCORPORATED BY REFERENCE TO NRG ENERGY'S FORM S-1,
FILE NO. 333-33397.
E. LOAN DOCUMENTS ARE INCORPORATED BY REFERENCE TO NRG ENERGY'S FORM 8-K
DATED MAY 25, 1999.
F. LOAN DOCUMENTS ARE INCORPORATED BY REFERENCE TO NRG ENERGY'S FORM 8-K
DATED NOV. 16, 1999.
G. LOAN DOCUMENTS ARE INCORPORATED BY REFERENCE TO NRG ENERGY'S FORM S-4,
FILE NO. 333-42638.
H. LOAN DOCUMENTS ARE INCORPORATED BY REFERENCE TO NRG ENERGY'S FORM S-4,
FILE NO. 333-48900.
I. LOAN DOCUMENTS ARE INCORPORATED BY REFERENCE TO NRG ENERGY'S FORM S-1,
FILE NO. 333-35096.
(b) AS TO EACH OUTSTANDING AND UNCOMPLETED CONTRACT OR AGREEMENT ENTERED INTO BY REGISTRANT OR ANY SUBSIDIARY COMPANY THEREOF RELATING TO THE ACQUISITION OF ANY SECURITIES, UTILITY ASSETS (AS DEFINED IN SECTION 2(a)(18) OF THE ACT), OR ANY OTHER INTEREST IN ANY BUSINESS, SUBMIT A COPY OF SUCH CONTRACT OR AGREEMENT AND SUBMIT DETAILS OF ANY SUPPLEMENTARY UNDERSTANDINGS OR ARRANGEMENTS THAT WILL ASSIST IN SECURING AN UNDERSTANDING OF SUCH TRANSACTIONS.
NONE
EXHIBIT D. A CONSOLIDATING STATEMENT OF INCOME AND SURPLUS OF THE REGISTRANT
AND ITS SUBSIDIARY COMPANIES FOR ITS LAST FISCAL YEAR ENDING PRIOR
TO THE DATE OF FILING THIS REGISTRATION STATEMENT, TOGETHER WITH A
CONSOLIDATING BALANCE SHEET OF THE REGISTRANT AND ITS SUBSIDIARY
COMPANIES AS OF THE CLOSE OF SUCH FISCAL YEAR.
EXHIBIT D-1: CONSOLIDATING INCOME STATEMENT
EXHIBIT D-2: CONSOLIDATING BALANCE SHEET
|
EXHIBIT E. FOR EACH PUBLIC UTILITY COMPANY AND NATURAL GAS PRODUCING AND PIPE
LINE PROPERTY IN THE HOLDING COMPANY SYSTEM OF THE REGISTRANT,
FURNISH THE FOLLOWING MAPS (PROPERTIES OF ASSOCIATE COMPANIES
OPERATING IN CONTIGUOUS OR NEARBY AREAS MAY BE SHOWN ON THE SAME
MAP, PROVIDED PROPERTY AND SERVICE AREAS OF EACH COMPANY ARE SHOWN
DISTINCTIVELY).
(1) MAP SHOWING SERVICE AREA IN WHICH ELECTRIC SERVICE IS
FURNISHED, INDICATING THE NAMES OF THE COMPANIES SERVING
CONTIGUOUS AREAS;
(2) ELECTRIC SYSTEM MAP SHOWING LOCATION OF ELECTRIC PROPERTY
(EXCLUSIVE OF LOCAL DISTRIBUTION LINES) OWNED AND/OR
OPERATED, AND INFORMATION AS FOLLOWS:
(a) GENERATING PLANTS-KIND AND CAPACITY;
(b) TRANSMISSION LINES-VOLTAGE, NUMBER OF CIRCUITS, KIND IF
SUPPORTS, KIND AND SIZE OF CONDUCTORS;
(c) TRANSMISSION SUBSTATIONS-CAPACITY;
(d) DISTRIBUTION SUBSTATIONS-CAPACITY;
|
INFORMATION RELATING TO 2(a) THROUGH 2(d) IS ALSO PUBLISHED IN THE UTILITIES' FERC FORM 1'S FILED AS EXHIBITS G-1,2,4,5, AND 6 TO THIS U5B.
GENERATING PLANTS: PAGES 402-411
TRANSMISSION LINE STATISTICS: PAGES 422-423
TRANSMISSION AND DISTRIBUTION SUBSTATIONS: PAGES 426-7
(e) POINTS OF INTERCONNECTION WITH ALL OTHER ELECTRIC UTILITY COMPANIES AND WITH ALL ELECTRICAL ENTERPRISES OPERATED BY MUNICIPAL OR GOVERNMENTAL AGENCIES, GIVING NAMES OF SUCH COMPANIES AND ENTERPRISES;
(3) MAP SHOWING SERVICE AREA IN WHICH GAS SERVICE IS FURNISHED, INDICATING THE NAMES OF COMPANIES SERVING CONTIGUOUS AREAS;
(4) GAS SYSTEM MAP SHOWING LOCATION OF GAS PROPERTY (EXCLUSIVE OF LOW PRESSURE LOCAL DISTRIBUTION LINES) OWNED AND/OR OPERATED, AND INFORMATION AS FOLLOWS:
A VIKING GAS SYSTEM MAP IS ALSO PUBLISHED IN ITS FERC FORM 2, FILED AS EXHIBIT G-3, ON PAGE 522.
(a) GENERATING PLANTS-KIND AND DAILY CAPACITY;
(b) HOLDERS-KIND AND CAPACITY;
(c) COMPRESSOR STATIONS-CAPACITY IN HORSEPOWER;
VIKING GAS COMPRESSOR STATION DATA IS ALSO PUBLISHED IN ITS FERC FORM 2, FILED AS EXHIBIT G-3, ON PAGES 508-9.
(d) TRANSMISSION PIPE LINES-SIZE, APPROXIMATE AVERAGE TRANSMISSION PRESSURE AND THE ESTIMATED DAILY DELIVERY CAPACITY OF THE SYSTEM;
(e) POINTS OF INTERCONNECTION WITH ALL OTHER PRIVATE AND PUBLIC GAS UTILITIES, PIPE LINES OR PRODUCING ENTERPRISES, GIVING NAMES OF SUCH COMPANIES AND OTHER ENTERPRISES;
(f) GENERAL LOCATION AND OUTLINE OF GAS PRODUCING AND RESERVE AREAS AND DIAGRAMATIC LOCATION OF GATHERING LINES.
(THE MAPS SHOULD SUITABLY INDICATE ALL PROPERTIES OWNED BY THE COMPANY AND LEASED TO OTHERS, AND ALSO ALL PROPERTIES LEASED FROM OTHERS AND OPERATED BY THE COMPANY.)
WHERE CLARITY WILL NOT BE SACRIFICED, THE INFORMATION CALLED
FOR UNDER (1) AND (2) MAY BE SHOWN ON ONE MAP AND THAT UNDER
(3) AND (4) ON ANOTHER MAP.
ALL MAPS SHOULD BE IN BLACK AND WHITE, AS OF A SPECIFIED RECENT DATE AND DRAWN APPROXIMATELY TO SCALE. IN ORDER THAT THE GEOGRAPHICAL RELATIONS MAY BE CLEAR, INDICATE THE BOUNDARIES OF STATES AND PRINCIPAL POLITICAL SUBDIVISIONS AND LOCATIONS OF THE MORE IMPORTANT MUNICIPALITIES IN THE REGION; PROVIDED THAT ALL MAPS SHALL BE FILED IN PAPER UNDER COVER OF FORM SE (SECTION 529.603) IF SUBMITTED BY AN ELECTRONIC FILER.
---------------------------------------------------------------------------------------------------------------------- EXHIBIT MAP OF: ---------------------------------------------------------------------------------------------------------------------- E-1 NSP-MINNESOTA'S ELECTRIC TRANSMISSION SYSTEM IN THE MINNEAPOLIS-ST. PAUL METROPOLITAN AREA ---------------------------------------------------------------------------------------------------------------------- E-2 PSCO'S ELECTRIC GENERATING PLANTS ---------------------------------------------------------------------------------------------------------------------- E-3 ELECTRIC TRANSMISSION SYSTEM IN COLORADO ---------------------------------------------------------------------------------------------------------------------- E-4 NSP-MINNESOTA AND NSP-W'S ELECTRIC TRANSMISSION SYSTEM AND ELECTRIC GENERATING PLANTS ---------------------------------------------------------------------------------------------------------------------- E-5 PSCO'S GAS SERVICE TERRITORY AND DISTRIBUTION SYSTEM ---------------------------------------------------------------------------------------------------------------------- E-6 NSP-MINNESOTA'S ELECTRIC TRANSMISSION SYSTEM AND ELECTRIC GENERATING PLANTS ---------------------------------------------------------------------------------------------------------------------- E-7 PSCO'S ELECTRIC SERVICE TERRITORY ---------------------------------------------------------------------------------------------------------------------- E-8 ELECTRIC SERVICE TERRITORIES IN COLORADO ---------------------------------------------------------------------------------------------------------------------- E-9 PSCO'S ELECTRIC TRANSMISSION SYSTEM IN THE DENVER METROPOLITAN AREA ---------------------------------------------------------------------------------------------------------------------- E-10 PSCO'S ELECTRIC TRANSMISSION AND SERVICE AREA IN COLORADO ---------------------------------------------------------------------------------------------------------------------- E-11 XCEL'S COMBINED SERVICE TERRITORY ---------------------------------------------------------------------------------------------------------------------- E-12 VIKING'S SERVICE TERRITORY AND TRANSMISSION SYSTEM ---------------------------------------------------------------------------------------------------------------------- E-13 SPS' ELECTRIC TRANSMISSION SYSTEM ---------------------------------------------------------------------------------------------------------------------- E-14 SPS' ELECTRIC TRANSMISSION SYSTEM AND ELECTRIC GENERATING PLANTS ---------------------------------------------------------------------------------------------------------------------- E-15 CLF&P GAS SERVICE TERRITORY AND GAS TRANSMISSION LINES (3 PAGES) ---------------------------------------------------------------------------------------------------------------------- E-16 CLF&P ELECTRIC SUBSTATIONS ---------------------------------------------------------------------------------------------------------------------- |
EXHIBIT F. FURNISH AN ACCURATE COPY OF EACH ANNUAL REPORT FOR THE LAST FISCAL
YEAR ENDING PRIOR TO THE DATE OF THE FILING OF THIS REGISTRATION
STATEMENT, WHICH THE REGISTRANT AND EACH SUBSIDIARY COMPANY
THEREOF HAS PREVIOUSLY SUBMITTED TO ITS STOCKHOLDERS. FOR
COMPANIES FOR WHICH NO REPORTS ARE SUBMITTED THE REASON FOR
OMISSION SHOULD BE INDICATED; PROVIDED THAT ELECTRONIC FILERS
SHALL SUBMIT SUCH REPORTS IN PAPER FORMAT ONLY UNDER COVER OF FORM
SE (SECTION 259.603).
|
------------------------------------------------------------------------
EXHIBIT
------------------------------------------------------------------------
F-1 1999 FORM 10-K FOR NSP-MINNESOTA (FILE NO. 1-3034)
------------------------------------------------------------------------
F-2 1999 FORM 10-K FOR NSP-W (FILE NO. 10-3140)
------------------------------------------------------------------------
F-3 1999 FORM 10-K FOR NRG ENERGY, INC. (FILE NO. 001-15891)
------------------------------------------------------------------------
F-4 1999 FORM 10-K COMBINED FOR:
------------------------------------------------------------------------
PSCO (FILE NO. 1-3280)
------------------------------------------------------------------------
SPS (FILE NO.1-3789)
------------------------------------------------------------------------
NCE (FILE NO. 1-12927)
------------------------------------------------------------------------
|
EXHIBIT G. FURNISH A COPY OF EACH ANNUAL REPORT WHICH THE REGISTRANT AND EACH
PUBLIC UTILITY SUBSIDIARY COMPANY THEREOF SHALL HAVE FILED WITH
ANY STATE COMMISSION HAVING JURISDICTION TO REGULATE PUBLIC
UTILITY COMPANIES FOR THE LAST FISCAL YEAR ENDING PRIOR TO THE
DATE OF FILING THIS REGISTRATION STATEMENT. IF ANY SUCH COMPANY
SHALL HAVE FILED SIMILAR REPORTS WITH MORE THAN ONE SUCH STATE
COMMISSION, THE REGISTRANT NEED FILE A COPY OF ONLY ONE OF SUCH
REPORTS PROVIDED THAT NOTATION IS MADE OF SUCH FACT, GIVING THE
NAMES OF THE DIFFERENT COMMISSIONS WITH WHICH SUCH REPORT WAS
FILED, AND SETTING FORTH ANY DIFFERENCES BETWEEN THE COPY
SUBMITTED AND THE COPIES FILED WITH SUCH OTHER COMMISSIONS. IN THE
EVENT ANY COMPANY SUBMITS AN ANNUAL REPORT TO THE FEDERAL POWER
COMMISSION BUT NOT TO A STATE COMMISSION, A COPY OF SUCH REPORT
SHOULD BE FURNISHED. IN THE CASE OF A REGISTRANT OR ANY PUBLIC
UTILITY SUBSIDIARY COMPANY FOR WHICH NO REPORT IS APPENDED THE
REASONS FOR SUCH OMISSION SHOULD BE INDICATED SUCH AS "NO SUCH
REPORTS REQUIRED OR FILED;" PROVIDED THAT ELECTRONIC FILERS SHALL
SUBMIT SUCH REPORTS IN PAPER FORMAT ONLY UNDER COVER OF FORM SE
(SECTION 259.603).
|
----------------------------------------------------------------------------------------------------------------------
EXHIBIT
----------------------------------------------------------------------------------------------------------------------
G-1 1999 FERC FORM 1 FOR NSP-MINNESOTA
----------------------------------------------------------------------------------------------------------------------
G-2 1999 FERC FORM 1 FOR NSP-W
----------------------------------------------------------------------------------------------------------------------
G-3 1999 FERC FORM 2 FOR VIKING
----------------------------------------------------------------------------------------------------------------------
G-4 1999 FERC FORM 1-F FOR CHEYENNE AND ANNUAL REPORT TO THE PUBLIC SERVICE COMMISSION OF WYOMING
----------------------------------------------------------------------------------------------------------------------
G-5 1999 FERC FORM 1 FOR SPS
----------------------------------------------------------------------------------------------------------------------
G-6 1999 FERC FORM 1 FOR PSCO
----------------------------------------------------------------------------------------------------------------------
G-7 1999 PRIVATE UTILITY ANNUAL REPORT OF NSP-W TO THE PUBLIC SERVICE COMMISSION OF WISCONSIN
----------------------------------------------------------------------------------------------------------------------
G-8 1999 GAS JURISDICTIONAL ANNUAL REPORT TO THE MINNESOTA DEPT. OF COMMERCE BY NSP-MINNESOTA
----------------------------------------------------------------------------------------------------------------------
G-9 1999 ELECTRIC JURISDICTIONAL ANNUAL REPORT TO THE MINNESOTA DEPT. OF COMMERCE BY NSP-MINNESOTA
----------------------------------------------------------------------------------------------------------------------
G-10 1999 ANNUAL REPORT OF NSP-MINNESOTA TO THE NORTH DAKOTA PUBLIC SERVICE COMMISSION
----------------------------------------------------------------------------------------------------------------------
G-11 1999 ANNUAL REPORT OF NSP-W TO THE MICHIGAN PUBLIC SERVICE COMMISSION (GAS)
----------------------------------------------------------------------------------------------------------------------
G-12 1999 ANNUAL REPORT OF NSP-W TO THE MICHIGAN PUBLIC SERVICE COMMISSION (ELECTRIC)
----------------------------------------------------------------------------------------------------------------------
G-13 1999 ANNUAL REPORTS OF SPS TO THE NEW MEXICO PUBLIC REGULATION COMMISSION
----------------------------------------------------------------------------------------------------------------------
G-14 1999 ANNUAL REPORT OF SPS TO THE PUBLIC UTILITY COMMISSION OF TEXAS
----------------------------------------------------------------------------------------------------------------------
G-15 1999 ANNUAL REPORT OF PSCO TO THE PUBLIC UTILITIES COMMISSION OF COLORADO
----------------------------------------------------------------------------------------------------------------------
G-16 1999 FERC FORM 2-A FOR WESTGAS INTERSTATE, INC.
----------------------------------------------------------------------------------------------------------------------
G-17 1999 ELECTRIC KANSAS SUPPLEMENTAL 1999 ANNUAL REPORT TO THE STATE OF KANSAS STATE CORPORATION
COMMISSION BY SPS
----------------------------------------------------------------------------------------------------------------------
G-18 1999 SUPPLEMENTAL REPORT OF SPS TO THE OKLAHOMA CORPORATION COMMISSION
----------------------------------------------------------------------------------------------------------------------
|
EXHIBIT H. TYPICAL FORMS OF SERVICE, SALES OR CONSTRUCTION CONTRACTS DESCRIBED IN ANSWER TO ITEM 18.
THE FOLLOWING AGREEMENTS ARE THE TYPICAL FORM AGREEMENTS BETWEEN ASSOCIATE COMPANIES.
EXHIBIT H-1. FORM SERVICES AGREEMENT FOR UTILITY COMPANIES.
EXHIBIT H-2. FORM SERVICES AGREEMENT FOR NON-UTILITY COMPANIES.
EXHIBIT H-3. NSP AND NRG. THIS IS A TYPICAL SERVICES AGREEMENT THAT ALLOWS FOR CERTAIN ENGINEERING SERVICES TO BE PROVIDED BY NSP OPERATING COMPANY TO AFFILIATES. THIS TYPE OF AGREEMENT WILL REMAIN IN PLACE SO THAT CERTAIN INCIDENTAL SERVICES OF NSP OPERATING COMPANY CAN BE SHARED WITH ASSOCIATE COMPANIES PURSUANT TO SEC RULE 87. ADMINISTRATIVE SERVICES PERFORMED BY NSP IN THE PAST WILL BE PROVIDED BY XCEL ENERGY SERVICES, INC. THE SERVICES WILL BE PROVIDED AT COST.
EXHIBIT H-4. AGREEMENT BETWEEN NSP AND UTILITY ENGINEERING (UE). NSP ENTERED AN AGREEMENT WITH UE BY WHICH IT CAN TAKE ENGINEERING AND PROJECT MANAGEMENT SERVICE FROM UE.
EXHIBIT H-5. AGREEMENT BETWEEN NSP-W AND UTILITY ENGINEERING (UE). NSP-W ENTERED AN AGREEMENT WITH UE BY WHICH IT CAN TAKE ENGINEERING AND PROJECT MANAGEMENT SERVICE FROM UE
EXHIBIT H-6. PUBLIC SERVICE OF COLORADO ("PSCO") AND UTILITY ENGINEERING. PSCO ENTERED AN AGREEMENT WITH UE BY WHICH IT CAN TAKE ENGINEERING AND PROJECT MANAGEMENT SERVICE FROM UE.
EXHIBIT H-7. SOUTHWESTERN PUBLIC SERVICE COMPANY ("SPS") AND UTILITY ENGINEERING. SPS ENTERED AN AGREEMENT WITH UE BY WHICH IT CAN TAKE ENGINEERING AND PROJECT MANAGEMENT SERVICES FROM UE.
EXHIBIT H-8. SERVICES AGREEMENT BETWEEN NSP-W AND NSP LANDS, INC. THIS IS A TYPICAL SERVICES AGREEMENT THAT ALLOWS FOR CERTAIN OPERATIIJNG COMPANY LEVEL SERVICES (SUCH AS SURVEYING) SERVICES TO BE PROVIDED BY NSP-W OPERATING COMPANY TO AFFILIATES. THIS TYPE OF AGREEMENT WILL REMAIN IN PLACE SO THAT CERTAIN INCIDENTAL SERVICES OF NSP OPERATING COMPANY CAN BE SHARED WITH ASSOCIATE COMPANIES PURSUANT TO SEC RULE 87. ADMINISTRATIVE SERVICES PERFORMED BY NSP IN THE PAST WILL BE PROVIDED BY XCEL ENERGY SERVICES, INC. THE SERVICES WILL BE PROVIDED AT COST.
This registration statement comprises:
(a) Pages numbered 1 to 119, consecutively.
(b) The following Exhibits:
SIGNATURE
Pursuant to the requirements of the Public Utility Holding Company Act of 1935, the registrant has caused this registration statement to be duly signed on its behalf in the city of Minneapolis and State of Minnesota, on the 15th day of November, 2000.
VERIFICATION
State of Minnesota
County of Hennepin ss.
The undersigned being duly sworn deposes and says that he has duly executed the attached registration statement dated Nov. 15, 2000, for and on behalf of Xcel Energy Inc.; that he is the Vice President and General Counsel of such company and that all action by stockholders, directors, and other bodies necessary to authorize deponent to execute and file such instrument has been taken. Deponent further says that he is familiar with such instrument and the contents thereof, and that the facts therein set forth are true to the best of his knowledge, information and belief.
Subscribed and sworn to before me, a Notary Public (Title of Officer) this 15th day of Nov, 2000.
(OFFICIAL SEAL)
My commission expires 1/31/05.
/s/ Joyce A. Gasca |