Xcel Energy Inc Quarterly Report U-9C-3
 

U.S. SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM U-9C-3

QUARTERLY REPORT PURSUANT TO RULE 58 OF
THE PUBLIC UTILITY HOLDING COMPANY ACT OF 1935

For the quarterly period ended December 31, 2001

Xcel Energy Inc.
(Name of Registered Holding Company)

800 Nicollet Mall, Minneapolis, Minnesota 55402
(Address of Principal Executives Offices)

Inquires concerning this Form U-9C-3
may be directed to either:

David E. Ripka
Vice President and Controller
Xcel Energy Inc.
414 Nicollet Mall
Minneapolis, MN 55401
(612) 330-2958

or

Scott Wilensky
Associate General Counsel
Xcel Energy Inc.
800 Nicollet Mall
Minneapolis, MN 55402
(612) 215-4590

 

 

XCEL ENERGY INC.
FORM U-9C-3
For the Quarter Ended December 31, 2001

Table of Contents

         
    Page
   
Item 1.  Organization Chart     1  
 
Item 2.  Issuances and Renewals of Securities and Capital Contributions     1  
 
Item 3.  Associated Transactions     2  
 
Item 4.  Summary of Aggregate Investment     4  
 
Item 5.  Other Investments     5  
 
Item 6.  Financial Statements and Exhibits     5  
 
SIGNATURE     6  

 

 

Item 1. — ORGANIZATION CHART

Omitted for the Fourth Quarter pursuant to instructions in “Item 1”.

Item 2. — ISSUANCES AND RENEWALS OF SECURITIES AND CAPITAL CONTRIBUTION

ISSUANCES AND RENEWALS OF SECURITIES (in thousands of dollars):

                                         
Company   Type of   Principal   Issue   Cost   Person to   Collateral   Consideration
Issuing   security   amount   or   of   whom security   given with   received for
security   issued   of security   renewal   capital   was issued   security   each security
 
 
 
 
 
 
 
Xcel Energy Retail   ST Debt   $   2,215   Issue     2.84%     XERS Inc.   None   $   2,215
Xcel Energy Retail   ST Debt       21,031   Renewal     2.84%     Planergy International Inc.   None       21,031
Utility Engineering Corp.   ST Debt       67,000   Renewal     2.84%     Xcel Energy Wholesale   None       67,000
Utility Engineering Corp.   ST Debt       2,000   Issue     2.84%     Xcel Energy Wholesale   None       2,000
Xcel Energy Retail   ST Debt       3,825   Renewal     2.84%     e prime Energy Marketing   None       3,825
Quixx Corporation   ST Debt       37,050   Renewal     2.84%     Utility Engineering Corp.   None       37,050
Quixx Corporation   ST Debt       8,250   Issue     2.84%     Utility Engineering Corp.   None       8,250
Utility Engineering Corp.   ST Debt       800   Renewal     2.84%     Applied Power Associates   None       800
Utility Engineering Corp.   ST Debt       1,150   Renewal     2.84%     Proto-Power Corporation   None       1,150
Utility Engineering Corp.   ST Debt       1,750   Renewal     2.84%     Universal Utility Services   None       1,750
Utility Engineering Corp.   ST Debt       775   Renewal     2.84%     Precision Resource Co.   None       775
Xcel Energy Markets Inc.   ST Debt       9,700   Renewal     2.84%     e prime inc   None       9,700
Xcel Energy Markets Inc.   ST Debt       13,200   Issue     2.84%     e prime inc   None       13,200
Viking Gas Transmission   ST Debt       2,147   Renewal     2.84%     Xcel Energy Markets Inc.   None       2,147
Viking Gas Transmission   ST Debt       3,328   Issue     2.84%     Xcel Energy Markets Inc.   None       3,328
Texas-Ohio Pipeline Inc.   ST Debt       154   Renewal     2.84%     Xcel Energy Ventures Inc.   None       154

CAPITAL CONTRIBUTIONS (in thousands of dollars):

             
Company   Company   Amount of
Contributing   Receiving   Capital
Capital   Capital   Contribution
 
 
Xcel Energy Markets Holdings Inc.   Viking Gas Transmission Company   $   122

1

 

Item 3. — ASSOCIATED TRANSACTIONS

Part I. – Transactions performed by reporting companies on behalf of associate companies (in thousands of dollars).

                                 
Reporting Company   Associate Company       Direct   Indirect   Cost   Total
Rendering   Receiving       Costs   Costs   of   Amount
Services   Services   Types of Services Rendered   Charged   Charged   Capital   Billed
 
 
 
 
 
 
Utility Engineering Corp.   Southwestern Public Service Co.   Engineering/Utility Professional Services   $   8,141   —   —   $   8,141
Utility Engineering Corp.   PSCo   Engineering/Utility Professional Services       69,316   —   —       69,316
Utility Engineering Corp.   Xcel Energy Services   Engineering/Utility Professional Services       1,425   —   —       1,425
Utility Engineering Corp.   Xcel International   Engineering/Utility Professional Services       112   —   —       112
Utility Engineering Corp.   Northern States Power Company   Engineering/Utility Professional Services       6,716   —   —       6,716
Utility Engineering Corp.   NRG Energy   Engineering/Utility Professional Services       181   —   —       181
e prime inc   Northern States Power Company   Gas purchased       3,490   —   —       3,490
e prime inc   PSCo   Gas purchased       1,644   —   —       1,644
e prime inc   Southwestern Public Service Co.   Gas purchased       24,342   —   —       24,342
e prime inc   NRG Energy Inc.   Gas purchased       10,259   —   —       10,259
e prime inc   e prime Energy Marketing Inc.   Gas purchased       48,739   —   —       48,739
e prime Energy Marketing Inc.   e prime inc   Gas marketing and trading services       1,930   —   —       1,930
Viking Gas Transmission Co.   NSP-Minnesota   Gas transportation services       4,028     —       4,028
Viking Gas Transmission Co.   NSP-Wisconsin   Gas transportation services       1,658   —   —       1,658

2

 

Part II. – Transactions performed by associate companies on behalf of reporting companies (in thousands of dollars).

                                         
Reporting   Associate                                    
Company   Company   Types of   Direct   Indirect   Cost   Total
Receiving   Rendering   Services   Costs   Costs   Of   Amount
Services   Services   Rendered   Charged   Charged   Capital   Billed
 
 
 
 
 
 
Planergy International Inc.   Xcel Energy Services Inc.   Administrative support; mgmt services   $   596   $   155   $   225   $   976
Quixx Linden LP   Quixx Power Services   Power plant operating management fee and expenses       1,490       —       —       1,490
Quixx Linden LP   Quixx Corporation   Partnership management fee       100       —       —       100
Utility Engineering Corporation   Xcel Energy Services Inc.   Administrative support; mgmt services       2,660       1,350       102       4,112
Natural Station Equipment LLC   Xcel Energy Services Inc.   Administrative support; mgmt services       51       (51)       —       —
e prime Inc.   Xcel Energy Services Inc.   Administrative support; mgmt services       890       402       8       1,300
e prime Inc.   PSCo   Gas transportation services       199       —       —       199
e prime Inc.   PSCo   Compressor – Usage       74       —       —       74
XERS Inc.   Xcel Energy Services Inc.   Administrative support; mgmt services       1,779       70       3       1,852
NRG Energy Inc.   Xcel Energy Services Inc.   Administrative support; mgmt services       818       6,005       9       6,832
Energy Masters International   Xcel Energy Services Inc.   Administrative support; mgmt services       687       547       1       1,235
Ultra Power Technologies Inc.   Xcel Energy Services Inc.   Administrative support; mgmt services       28       4       —       32
Viking Gas Transmission Co.   Xcel Energy Services Inc.   Administrative support; mgmt services       347       427       1       775

3

 

Item 4. — SUMMARY OF AGGREGATE INVESTMENT

                             
Investments in energy-related companies:   (in thousands)                  
 
                 
Total consolidated capitalization as of December 31, 2001
   $ 19,593,520             Line 1
Total capitalization multiplied by 15% (Line 1 multiplied by 0.15)
     2,939,028             Line 2
Greater of $50 million or line 2
           $ 2,939,028     Line 3
Total current aggregate investment:
                        
(categorized by major line of energy-related business)
Energy management services (Category I)
     89,188                  
 
Compressed natural gas services (Category III)
     101                  
 
Brokering/Marketing services (Category V)
     13,732                  
 
Utility engineering/construction services (Category VII)
     6,330                  
 
Developing/Ownership QF’s (Category VIII)*
     785,379                  
 
  
                 
   
Total current aggregate investment
             894,730     Line 4
 
          
         
Difference between the greater of $50 million or 15% of capitalization and the total aggregate investment of the registered holding company system (line 3 less line 4)
           $ 2,044,298     Line 5
 
          
         
                   
Investments in gas-related companies:   (in thousands)
  
Total current aggregate investment:
                
(categorized by major line of gas-related business)
Section 2(a) gas-related activities (Category I)
   27,797        
 
  
       
 
Total current aggregate investment
           $ 27,797  
 
          
 

            * Includes $781.9 million of aggregated investment by Xcel Energy in NRG Energy

4

 

Item 5. — OTHER INVESTMENTS (in thousands)

                         
Major Line   Other   Other        
of Energy-Related   Investment in Last   Investment in This   Reason for Difference in
Business(a)   U-9C-3 Report   U-9C-3 Report   Other Investment
 
 
 
Brokering/Marketing services
   $   27,199   $   27,199     N/A  
Engineering and related services
   $   11,463   $   11,463     N/A  
Developing/Ownership QF’s
   $   85,713   $   85,713     N/A  

(a)   Investments for these reporting companies, prior to March 23, 1997, were excluded from aggregate investments in Items 4. These reporting companies’ investments were subsidiaries, directly or indirectly, of Xcel Energy Inc.

Item 6. – FINANCIAL STATEMENTS AND EXHIBITS

A. Financial Statements:

Omitted for the Fourth Quarter pursuant to instructions for “Item 6”.

B. Exhibits:

None.

5

 

SIGNATURE

     The undersigned registered holding company has duly caused this quarterly report to be signed on its behalf by the undersigned officer thereunto duly authorized pursuant to the requirements of the Public Utility Holding Company Act of 1935.

   
  Xcel Energy Inc.
 
  By /s/ David E. Ripka
David E. Ripka
Vice President and Controller

March 29, 2002

With the above signature, I also certify that the corresponding report on Form U-9C-3 for the fourth quarter of 2001 was filed with Xcel Energy Inc.’s interested state commissions whose names and addresses are listed below.

     
Public Utilities Commission of the State of Colorado
1580 Logan Street
Denver, CO 80203		   South Dakota Public Utilities Commission
500 E. Capitol Ave.
Pierre, SD 57501
 
Public Service Commission of Wyoming
Hansen Building, Suite 300
2515 Warren Avenue
Cheyenne, WY 82002		   Public Service Commission of Wisconsin
610 North Whitney Way
Madison, WI 53707
 
Public Utility Commission of Texas
1701 N. Congress Avenue
Austin, Texas 78711		   Michigan Public Service Commission
6545 Mercantile Way, Suite 7
Lansing, MI 48911
 
New Mexico Public Regulation Commission
224 E. Palace Avenue
Santa Fe, NM 87503		   Arizona Corporation Commission
1200 West Washington
Phoenix, AZ 85007
 
Kansas Corporation Commission
1500 SW Arrowhead Road
Topeka, KS 66604		    
 
Oklahoma Corporation Commission
2101 N. Lincoln Blvd., Suite 130
Oklahoma City, OK 73105		    
 
Minnesota Public Utilities Commission
121 E. 7th Place, Suite 350
St. Paul, MN 55101		    
 
North Dakota Public Service Commission
600 East Blvd.
Bismarck, ND 58505		    

6