| FORM U-12(I)-B (THREE-YEAR STATEMENT) | ||||||||
| EXHIBIT A | ||||||||
| EXHIBIT B | ||||||||
| EXHIBIT C | ||||||||
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.
Three year period ending December 31, 2004
FORM U-12(I)-B (THREE-YEAR STATEMENT)
STATEMENT PURSUANT TO SECTION 12(i) OF PUBLIC UTILITY HOLDING COMPANY ACT OF
1935 BY A PERSON REGULARLY EMPLOYED OR RETAINED BY A REGISTERED HOLDING
COMPANY OR A SUBSIDIARY THEREOF AND WHOSE EMPLOYMENT CONTEMPLATES
ONLY ROUTINE EXPENSES AS SPECIFIED IN RULE 71(b)
1. Name and business address of person filing statement.
See attached Exhibit A.
2. Names and business addresses of any persons through whom the undersigned proposes to act in matters included within the exemption provided by paragraph (b) of Rule U-71.
Not applicable.
3. Registered holding companies and subsidiary companies by which the undersigned is regularly employed or retained.
Xcel Energy Inc. and its subsidiaries. (See Exhibits).
4. Position or relationship in which the undersigned is employed or retained by each of the companies named in item 3, and brief description of nature of services to be rendered in each such position or relationship.
See attached Exhibit B.
In such capacity, the undersigned may participate in presenting, advocating, or opposing matters before the legislative bodies, regulatory commissions and officials specified in Section 12(i) of PUHCA, but the exact nature of such services or the relative time to be devoted thereto cannot presently be forecast with any degree of precision.
5.(a) Compensation received during the current year and estimated to be received over the next two calendar years by the undersigned or others, directly or indirectly, for services rendered by the undersigned, from each of the companies designated in item 3. (Use column (a) as supplementary statement only.)
See attached Exhibit C.
A portion thereof my be attributable to activities within the scope of Section 12 (i). During the calendar years 2003 and 2004, it is estimated that the undersigned will receive compensation comparable to that in 2002. The exact amount can not presently be forecasted with any degree of precision.
(b) Basis for compensation if other than salary.
See attached Exhibit C.
6. (TO BE ANSWERED IN SUPPLEMENTARY STATEMENT ONLY. SEE INSTRUCTIONS.) Expenses incurred by the undersigned or any person named in item 2, above, during the calendar year in connection with the activities described in item 4, above, and the source or sources of reimbursement for same.
(a) Total amount of routine expenses charged to client: $ _______________________________________
(b) Itemized list of all other expenses:
No other expenses
(Signed)
| Date: | May 21, 2002 | /s/ Wayne H. Brunetti | ||
| Wayne H. Brunetti | ||||
| Date: | May 21, 2002 | /s/ Gary R. Johnson | ||
| Gary R. Johnson | ||||
| Date: | May 21, 2002 | /s/ Michael C. Connelly | ||
| Michael C. Connelly | ||||
| Date: | May 21, 2002 | /s/ William Dudley | ||
| William Dudley | ||||
| Date: | May 21, 2002 | /s/ Paul E. Pender | ||
| Paul E. Pender | ||||
| Date: | May 21, 2002 | /s/ David E. Ripka | ||
| David E. Ripka | ||||
| Date: | May 21, 2002 | /s/ Scott Weatherby | ||
| Scott Weatherby | ||||
| Date: | May 21, 2002 | /s/ James N. Weidner | ||
| James N. Weidner | ||||
EXHIBIT A
Names, corporate affiliations and business addresses of individuals who may act during 2002, 2003 and 2004 in matters included within the exemption provided by paragraph (b) of Rule 71.
Xcel Energy Inc./Xcel Energy Services Inc.
| Name(s) | Business Address | |
| Wayne H. Brunetti | 800 Nicollet Mall, Minneapolis, Minnesota 55402 | |
| Gary R. Johnson | 800 Nicollet Mall, Minneapolis, Minnesota 55402 | |
| Michael C. Connelly | 800 Nicollet Mall, Minneapolis, Minnesota 55402 | |
| William Dudley | 800 Nicollet Mall, Minneapolis, Minnesota 55402 | |
| Paul E. Pender | 800 Nicollet Mall, Minneapolis, Minnesota 55402 | |
| David E. Ripka | 800 Nicollet Mall, Minneapolis, Minnesota 55402 | |
| Scott Weatherby | 800 Nicollet Mall, Minneapolis, Minnesota 55402 | |
| James N. Weidner | 800 Nicollet Mall, Minneapolis, Minnesota 55402 | |
Northern States Power Company (MN)
| Name(s) | Business Address | |
| Wayne H. Brunetti | 800 Nicollet Mall, Minneapolis, Minnesota 55402 | |
| Gary R. Johnson | 800 Nicollet Mall, Minneapolis, Minnesota 55402 | |
| Paul E. Pender | 800 Nicollet Mall, Minneapolis, Minnesota 55402 | |
| David E. Ripka | 800 Nicollet Mall, Minneapolis, Minnesota 55402 |
Northern States Power Company (WI)
| Name(s) | Business Address | |
| Wayne H. Brunetti | 800 Nicollet Mall, Minneapolis, Minnesota 55402 | |
| Gary R. Johnson | 800 Nicollet Mall, Minneapolis, Minnesota 55402 | |
| Paul E. Pender | 800 Nicollet Mall, Minneapolis, Minnesota 55402 | |
| David E. Ripka | 800 Nicollet Mall, Minneapolis, Minnesota 55402 |
Public Service Company of Colorado
| Name(s) | Business Address | |
| Wayne H. Brunetti | 800 Nicollet Mall, Minneapolis, Minnesota 55402 | |
| Gary R. Johnson | 800 Nicollet Mall, Minneapolis, Minnesota 55402 | |
| Paul E. Pender | 800 Nicollet Mall, Minneapolis, Minnesota 55402 | |
| David E. Ripka | 800 Nicollet Mall, Minneapolis, Minnesota 55402 |
Southwestern Public Service Company
| Name(s) | Business Address | |
| Wayne H. Brunetti | 800 Nicollet Mall, Minneapolis, Minnesota 55402 | |
| Gary R. Johnson | 800 Nicollet Mall, Minneapolis, Minnesota 55402 | |
| Paul E. Pender | 800 Nicollet Mall, Minneapolis, Minnesota 55402 | |
| David E. Ripka | 800 Nicollet Mall, Minneapolis, Minnesota 55402 |
Cheyenne Light, Fuel & Power Company
| Name(s) | Business Address | |
| Wayne H. Brunetti | 800 Nicollet Mall, Minneapolis, Minnesota 55402 | |
| Gary R. Johnson | 800 Nicollet Mall, Minneapolis, Minnesota 55402 | |
| Paul E. Pender | 800 Nicollet Mall, Minneapolis, Minnesota 55402 | |
| David E. Ripka | 800 Nicollet Mall, Minneapolis, Minnesota 55402 |
Black Mountain Gas Company
| Name(s) | Business Address | |
| Wayne H. Brunetti | 800 Nicollet Mall, Minneapolis, Minnesota 55402 | |
| Gary R. Johnson | 800 Nicollet Mall, Minneapolis, Minnesota 55402 | |
| Paul E. Pender | 800 Nicollet Mall, Minneapolis, Minnesota 55402 | |
| David E. Ripka | 800 Nicollet Mall, Minneapolis, Minnesota 55402 |
EXHIBIT B
Xcel Energy Inc.
| Name(s) | Position | |
| Wayne H. Brunetti | Chairman, President and Chief Executive Officer | |
| Gary R. Johnson | Vice President and General Counsel | |
| Michael C. Connelly | Deputy General Counsel | |
| William Dudley | Assistant General Counsel | |
| Paul E. Pender | Vice President and Treasurer | |
| David E. Ripka | Vice President and Controller | |
| Scott Weatherby | Accounting Services Controller | |
| James N. Weidner | Consultant |
Northern States Power Company (MN)
| Name(s) | Position | |
| Wayne H. Brunetti | Chairman, President and Chief Executive Officer | |
| Gary R. Johnson | Vice President and General Counsel | |
| Paul E. Pender | Vice President and Treasurer | |
| David E. Ripka | Vice President and Controller |
Northern States Power Company (WI)
| Name(s) | Position | |
| Wayne H. Brunetti | Director | |
| Gary R. Johnson | Vice President and General Counsel | |
| Paul E. Pender | Vice President and Treasurer | |
| David E. Ripka | Vice President and Controller |
Public Service Company of Colorado
| Name(s) | Position | |
| Wayne H. Brunetti | Chairman, President and Chief Executive Officer | |
| Gary R. Johnson | Vice President and General Counsel | |
| Paul E. Pender | Vice President and Treasurer | |
| David E. Ripka | Vice President and Controller |
Southwestern Public Service Company
| Name(s) | Position | |
| Wayne H. Brunetti | Director | |
| Gary R. Johnson | Vice President and General Counsel | |
| Paul E. Pender | Vice President and Treasurer | |
| David E. Ripka | Vice President and Controller |
Cheyenne Light, Fuel & Power Company
| Name(s) | Position | |
| Wayne H. Brunetti | Director | |
| Gary R. Johnson | Vice President and General Counsel | |
| Paul E. Pender | Vice President and Treasurer | |
| David E. Ripka | Vice President and Controller |
Black Mountain Gas Company
| Name(s) | Position | |
| Wayne H. Brunetti | Director | |
| Gary R. Johnson | Vice President and General Counsel | |
| Paul E. Pender | Vice President and Treasurer | |
| David E. Ripka | Vice President and Controller |
EXHIBIT C
| Name of Recipient | 2002 Base Salary (not to exceed) | Company from which Received | ||||||
Wayne H. Brunetti |
$ | 1,200,000 | Xcel Energy Services Inc. | |||||
Gary R. Johnson |
$ | 450,000 | Xcel Energy Services Inc. | |||||
Michael C. Connelly |
$ | 200,000 | Xcel Energy Services Inc. | |||||
William Dudley |
$ | 200,000 | Xcel Energy Services Inc. | |||||
Paul E. Pender |
$ | 250,000 | Xcel Energy Services Inc. | |||||
David E. Ripka |
$ | 250,000 | Xcel Energy Services Inc. | |||||
Scott Weatherby |
$ | 200,000 | Xcel Energy Services Inc. | |||||
James N. Weidner |
$ | 200,000 | Xcel Energy Services Inc. | |||||
In addition to the base salary, the foregoing may participate in certain employee benefit plans and may receive a bonus under an incentive compensation plan which could include awards of stock and/or stock options; however, the amount, if any, of such benefits cannot presently be predicted.