Xcel Energy Inc.
Table of Contents

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 June 30, 2002

Xcel Energy Inc.
(Name of Registered Holding Company)

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

Inquiries 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

Michael C. Connelly
Deputy General Counsel
Xcel Energy Inc.
800 Nicollet Mall
Minneapolis, MN 55402
(612) 215-4580

 

TABLE OF CONTENTS

Item 1. — ORGANIZATION CHART
Item 2. — ISSUANCES AND RENEWALS OF SECURITIES AND CAPITAL CONTRIBUTION
Item 3. — ASSOCIATED TRANSACTIONS
Item 4. — SUMMARY OF AGGREGATE INVESTMENT
Item 5. — OTHER INVESTMENTS (in thousands)
Item 6. — FINANCIAL STATEMENTS AND EXHIBITS
SIGNATURE

Table of Contents

XCEL ENERGY INC.
FORM U-9C-3
For the Quarter Ended June 30, 2002

Table of Contents

             
        Page
       
Item 1.   Organization Chart     1  
         
Item 2.   Issuances and Renewals of Securities and Capital Contributions     13  
         
Item 3.   Associated Transactions     14  
         
Item 4.   Summary of Aggregate Investment     16  
         
Item 5.   Other Investments     17  
         
Item 6.   Financial Statements and Exhibits     18  
         
SIGNATURE         20  

 

Table of Contents

Item 1. — ORGANIZATION CHART

                                                 
Name of   Energy or                   Percentage   Nature
Reporting   Gas Related   Date of   State of   Of Voting   Of
Company   Company   Organization   Organization   Securities Held   Business
 
 
 
 
 
Xcel Energy Inc. (Xcel Energy)
                                        
 
Xcel Energy Retail Holdings Inc. (a)
                                        
 
XERS Inc.
   Energy related   December 4, 2000   DE     100 %   Operates as a retailer of electric power in targeted
 
                                   U.S. markets. XERS functions as an intermediary
 
                                   between energy producers, resellers and end-users.
   
*Natural Station Equipment LLC
   Energy related   January 1, 1999   DE     100 %   Inactive entity previously engaged in natural gas
 
                                   distribution
   
Xcel Energy Cadence Inc. (a)
   Energy related   August 28, 1997   CO     100 %   Holds energy-related company
     
Cadence Network Inc.
   Energy related   September 3, 1997   DE     22.22 %   Energy management and consulting services; also
 
                                   brokering and marketing of energy commodities
   
Planergy International Inc. (a)
   Energy related   January 2, 1990   TX     100 %   Energy service to commercial and industrial customers
     
Planergy (Delaware) Inc. (a)
   Energy related   September, 26 1996   DE     100 %   No significant operations
       
Planergy Services Inc. (a)
   Energy related   July 30, 1987   DE     100 %   Industrial energy audits
       
Planergy Services of California Inc.
   Energy related   November 6, 1984   CA     100 %   No significant operations
       
Planergy Capital Associates Inc.
   Energy related   June 19, 1981   CA     100 %   No significant operations
       
Planergy Energy Services Corp.
   Energy related   July 30, 1987   DE     100 %   No significant operations
       
Planergy Services of Houston Inc.
   Energy related   July 30, 1987   DE     100 %   No significant operations
       
Planergy Services USA Inc.
   Energy related   July 30, 1987   DE     100 %   No significant operations
       
Planergy Services of Texas Inc.
   Energy related   July 30, 1987   DE     100 %   No significant operations
       
Planergy Midwest Inc.
   Energy related   December 7, 2000   DE     100 %   No significant operations
     
* Planergy New York Inc.
   Energy related   February 20, 1991   NY     100 %   Inactive
     
Planergy Inc. (a)
   Energy related   August 19, 1977   TX     100 %   Energy service company
       
Planergy Limited
   Energy related   May 13, 1997   Canada     100 %   Energy service company
     
Energy Masters International Inc. (a)
   Energy related   August 20, 1993   MN     100 %   Provides energy marketing and performance contracting
 
                                   services
       
EMI Performance Contracting, Inc.
   Energy related   June 18, 2001   DE     100 %   Provides energy conservation services

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Name of   Energy or                   Percentage   Nature
Reporting   Gas Related   Date of   State of   Of Voting   Of
Company   Company   Organization   Organization   Securities Held   Business
 
 
 
 
 
 
e prime Energy Marketing Inc.
   Energy related   March 3, 1997   CO   100%   Provides energy-related services
 
e prime Florida Inc.
   Energy related   October 18, 1999   CO   100%   Provides retail gas marketing services
 
* e prime Georgia Inc.
   Energy related   June 10, 1999   GA   100%   Inactive entity previously provided retail gas
 
                                   marketing services
Xcel Energy Ventures Inc. (a)
                                        
 
* Ultra Power Technologies
   Energy related   October 10, 1997   MN   100%   Inactive entity previously involved in the testing of
 
                                   underground electric cable.
 
Texas-Ohio Pipeline Inc.
   Energy related   June 22, 1990   TX   100%   Owns and operates gas pipeline
Xcel Energy Wholesale Group Inc. (a)
                                        
 
NRG Energy Inc. (a)
   Energy related   May 29, 1992   DE   100%   Develops, organizes, owns and operates non-regulated
 
                                   energy-related businesses
   
James River Cogeneration Co.
   Energy related   January 15, 2002   NC   50%   Owns the James River Station 110 MW facility in
 
                                   Virginia.
   
NRG Woodland Operations LLC
   Energy related   March 18, 2002   DE   100%   Operates facility in Woodland, CA.
   
NRG Power Marketing Inc.
   Energy related   August 18, 1997   DE   100%   Established to maximize the utilization and return of
 
                                   NRG's generation assets and to mitigate the risk
 
                                   associated with those assets.
     
NRG New Jersey Energy Sales LLC
   Energy related   March 22, 2002   DE   100%   Energy marketer in New Jersey.
   
NRG PacGen Inc. (a)
   Energy related   October 28, 1997   DE   100%   Owns interests in cogeneration and competitive power
 
                                   producing projects.
     
Pacific Generation Company (a)
   Energy related   August 3, 1984   OR   100%   Domestic holding company acquired by NRG; also a
 
                                   limited partner in Camas Power Boiler Limited
 
                                   Partnership
       
Camas Power Boiler Limited Partnership
   Energy related   February 6, 1990   OR   100%   Owns waste-wood fired steam boiler in Camas paper mill in Washington
       
Camas Power Boiler Inc.
   Energy related   February 6, 1990   OR   100%   General partner in Camas Boiler Limited Partnership
       
ESOCO Crockett Inc.
   Energy related   December 9, 1992   OR   100%   Operates Crockett cogeneration facility in California
       
Energy National Inc. (a)
   Energy related   September 13, 1984   UT   100%   Holding company
       
Pacific Generation Resources Company
   Energy related   November 21, 1991   OR   100%   Domestic holding company which holds limited partner interest in Long Island Cogeneration
       
Penobscot Energy Recovery Company
   Energy related   August 15, 1985   ME   35.68%   Owns waste-to-energy facility in Orrington, Maine

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Name of   Energy or                   Percentage   Nature
Reporting   Gas Related   Date of   State of   Of Voting   Of
Company   Company   Organization   Organization   Securities Held   Business
 
 
 
 
 
     
Maine Energy Recovery Co.
   Energy related   June 30, 1983   ME   16%   Owns waste-to-energy facility in Maine
     
Pacific Orrington Energy
                                   Holds general and limited partner interests in
     
   Inc. (a)
   Energy related   November 24, 1992   OR   100%   Orrington Waste LTD, Limited Partnership
       
Orrington Waste LTD,
                                   Provides waste disposal services to municipalities to
       
Limited Partnership
   Energy related   January 13, 1993   OR   17%   be delivered to waste disposal operators in Maine
     
ESOCO Inc. (a)
   Energy related   February 1, 1989   UT   100%   Domestic holding company for individual ESOCO O&M
 
                                   companies
       
ESOCO Orrington Inc.
   Energy related   February 1, 1989   UT   100%   Operates Penobscot Energy Recovery Company in Maine
   
Pacific Crockett Holdings Inc.
   Energy related   February 14, 1991   OR   100%   Domestic holding company for Pacific Crockett Energy
 
                                   Inc.
   
ENI Crockett Limited Partnership (a)
   Energy related   April 10, 1995   OR   100%   Limited partner in Crockett Cogeneration, a
 
                                   California Limited Partnership
     
Pacific Crockett Energy Inc.
   Energy related   February 6, 1997   UT   100%   General partner in Crockett Cogeneration, a
 
                                   California Limited Partnership
   
ONSITE Energy Inc. (a)
   Energy related   January 22, 1986   OR   100%   Domestic holding company of ONSITE Soledad Inc. and
 
                                   ONSITE Marianas Corporation; also indirectly holds
 
                                   general partner interest in Mt. Poso project and
 
                                   limited partner interest in Turner Falls project
     
Pacific-Mt. Poso Corporation
   Energy related   June 8, 1997   OR   100%   General partner in Mt. Poso Cogeneration Company, a
 
                                   California Limited Partnership
     
Turner Falls Limited
                                   Owns Turner Falls cogeneration facility in
     
Partnership
   Energy related           MA   9%   Massachusetts
   
Pacific Generation Holdings Co.
   Energy related   January 12, 1995   OR   100%   Domestic holding company for Pacific Generation
 
                                   Funding and Pacific Recycling Inc.
Graystone Corporation (a)
   Energy related   May 25, 1989   MN   100%   General partner in Louisiana Energy Services LP
 
Le Paz Incorporated
   Energy related   June 1, 1990   MN   100%   Limited partner in Louisiana Energy Services LP
NRG Cadillac Inc. (a)
   Energy related   April 15, 1997   DE   100%   Domestic holding company in Cadillac Renewable Energy
 
                                   LLC
 
Cadillac Renewable Energy LLC
   Energy related   February 27, 1997   DE   100%   Owns wood-fired electric generation plant in Mich

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Name of   Energy or                   Percentage   Nature
Reporting   Gas Related   Date of   State of   Of Voting   Of
Company   Company   Organization   Organization   Securities Held   Business
 
 
 
 
 
O’Brien Cogeneration Inc II
   Energy related   December 31, 1985   DE   100%   Owns and/or operates cogeneration facilities.
NEO Corporation (NEO) (a)
   Energy related   May 27, 1993   MN   100%   Develops, owns and operates landfill gas,
 
                                   hydroelectric and small cogeneration projects in the
 
                                   U.S.  
 
NM Colton Genco LLC
   Energy related   March 18, 2002   DE   50%   Owns and operates landfill gas fueled electric
 
                                   generating facility on Colton landfill.
 
NM Mid Valley Genco LLC
   Energy related   March 18, 2002   DE   50%   Owns and operates landfill gas fueled electric
 
                                   generating facility on Mid Valley landfill.
 
NM Milliken Genco LLC
   Energy related   March 18, 2002   DE   50%   Owns and operates landfill gas fueled electric
 
                                   generating facility on Milliken landfill.
 
NEO Fresh Kills LLC (a)
   Energy related   December 20, 2001   DE   100%   50% owner of Fresh Gas LLC
   
Fresh Gas LLC
   Energy related   December 20, 2001   DE   50%   Owner of gas collection system in Fresh Kills, NY
 
NEO Chester-Gen LLC
   Energy related   July 13, 2000   DE   100%   Owns 3.4 MW cogeneration facility at Crozer Chester
 
                                   Hospital in Chester, Pennsylvania
 
NEO Freehold-Gen LLC
   Energy related   July 13, 2000   DE   100%   Formed to acquire landfill gas project
 
NEO Toledo-Gen LLC
   Energy related   July 13, 2000   DE   100%   Owns 1.0 MW cogeneration facility at Riverside
 
                                   Hospital in Toledo, Ohio
 
NEO Landfill Gas Holdings Inc.
   Energy related   April 8, 1996   DE   100%   Domestic holding company-provides O&M services for
 
                                   landfill gas projects
 
Four Hills LLC
   Energy related   August 19, 1996   DE   50%   Landfill gas collection system for Nashua project in
 
                                   New Hampshire
 
NEO Burnsville LLC
   Energy related   October 25, 1996   DE   100%   Landfill gas collection system for Edward Kraemer
 
                                   landfill in Minnesota
 
NEO Corona LLC
   Energy related   January 8, 1997   DE   100%   Landfill gas collection system for O'Brien project in
 
                                   California
 
NEO Erie LLC
   Energy related   August 17, 1999   DE   100%   Landfill gas collection system for project in Denver
 
NEO Ft Smith LLC
   Energy related   October 14, 1997   DE   100%   Landfill gas collection system for project in Arkansas
 
NEO Hackensack LLC
   Energy related   January 6, 1997   DE   100%   Landfill gas collection system for
 
                                   HMDC/Balefill/Kingsland
 
NEO Martinez LLC
   Energy related   August 18, 1999   DE   100%   Landfill gas collection system for project in
 
                                   California
 
NEO Nashville LLC
   Energy related   June 20, 1997   DE   100%   Landfill gas collection system for project in Tenn.

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Name of   Energy or                   Percentage   Nature
Reporting   Gas Related   Date of   State of   Of Voting   Of
Company   Company   Organization   Organization   Securities Held   Business
 
 
 
 
 
 
NEO Northern Tier LLC
   Energy related   March 11, 1997   DE   100%   Landfill gas collection system for project in
 
 
                                   Pennsylvania
 
NEO Phoenix LLC
   Energy related   January 4, 1996   DE   100%   Landfill gas collection system for project in Arizona
 
NEO Prima Deshecha LLC
   Energy related   January 16, 1997   DE   100%   Landfill gas collection system for project in Orange
 
 
                                   County, California
 
NEO Riverside LLC
   Energy related   December 19, 1996   DE   100%   Landfill gas collection system for project in
 
 
                                   California
 
NEO SKB LLC
   Energy related   October 14, 1997   DE   100%   Landfill gas collection system for project in
 
 
                                   Pennsylvania
 
NEO Tajiguas LLC
   Energy related   December 5, 1995   DE   100%   Landfill gas collection system for project in Santa
 
 
                                   Barbara, California
 
NEO Woodville LLC
   Energy related   February 11, 1998   DE   100%   Landfill gas collection system for project in
 
 
                                   California
 
NEO El Sobrante LLC
   Energy related   February 10, 2000   DE   100%   Landfill gas collection system
 
NEO Tri-Cities LLC
   Energy related   February 10, 2000   DE   100%   Landfill gas collection system for project in
 
 
                                   Fremont, California
 
NEO Montauk Genco Management LLC
   Energy related   August 21, 2001   DE   100%   Manager of NEO-Montauk Genco LLC
 
NEO Montauk Genco LLC
   Energy related   August 17, 2001   DE   50%   Owner of landfill gas fueled power generation
 
NEO San Bernardino LLC (a)
   Energy related   June 26, 1998   DE   100%   Landfill gas collection system for project in
 
 
                                   California
   
San Bernardino Landfill Gas Limited
                                   Limited partner to landfill gas collection system for
   
Partnership
   Energy related   September 18, 1997   DE   95%   project in California
 
NEO MESI LLC (a)
   Energy related   October 12, 1999   DE   100%   Holding company for project company in the business
 
 
                                   of producing and selling synthetic fuel from Ken West
 
 
                                   terminal in Catlettsburg, Boyd County Kentucky on the Big Sandy River
   
MESI Fuel Station #1 LLC
   Energy related   October 28, 1999   DE   50%   Owns synthetic coal processing facility in Kentucky
 
NEO ECO 11 LLC
   Energy related   May 9, 2000   DE   100%   Formed to acquire landfill gas project
 
Minnesota Methane II LLC (a)
   Energy related   April 8, 1997   DE   50%   Owns and operates original 3 NEO/Ziegler landfill gas
 
 
                                   projects
   
MM Burnsville Energy LLC
   Energy related   October 14, 1997   DE   50%   Landfill gas fueled power generation for Edward
 
 
                                   Kraemer landfill in Minnesota

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Name of   Energy or                   Percentage   Nature
Reporting   Gas Related   Date of   State of   Of Voting   Of
Company   Company   Organization   Organization   Securities Held   Business
 
 
 
 
 
 
Suncook Energy LLC
   Energy related   October 14, 1997   DE   50%   Landfill gas fueled power generation for Nashua
 
                                   project in New Hampshire
 
Landfill Power LLC
   Energy related   May 2, 1994   WY   50%   Owns and operates Flying Cloud landfill gas fueled
 
                                   power generation facility in Minnesota
Minnesota Methane LLC
   Energy related   September 21, 1998   WY   50%   Owns and operates 18 landfill gas projects in the U.S.
MM Albany Energy LLC
   Energy related   January 8, 1997   DE   50%   Landfill gas fueled power generation for project in
 
                                   New York
MM Biogas Power LLC
   Energy related   April 8, 1996   DE   50%   Domestic holding company-owns 100% interest in
 
                                   landfill gas fueled power generation projects not yet
 
                                   financed
MM Corona Energy LLC
   Energy related   January 8, 1997   DE   50%   Landfill gas fueled power generation for O'Brien
 
                                   projects in California
MM Cuyahoga Energy LLC
   Energy related   June 18, 1997   DE   50%   Landfill gas fueled power generation project in Ohio
MM Erie Power LLC
   Energy related   August 17, 1999   DE   50%   Landfill gas fueled power generation for project in
 
                                   Denver, Colorado
MM Hackensack Energy LLC
   Energy related   April 8, 1997   DE   50%   Landfill gas fueled power generation for
 
                                   HMDC/Balefill/Kingsland O'Brien project in New Jersey
MM Hartford Energy LLC
   Energy related   May 16, 1997   DE   50%   Landfill gas fueled power generation for project in
 
                                   Connecticut
MM Lopez Energy LLC
   Energy related   December 13, 1996   DE   50%   Landfill gas fueled power generation for Lopez Canyon
 
                                   project in Los Angeles, California
MM Lowell Energy LLC
   Energy related   January 8, 1997   DE   50%   Landfill gas fueled power generation for project in
 
                                   Massachusetts
MM Martinez Energy LLC
   Energy related   August 17, 1999   DE   50%   Landfill gas fueled power generation for project in
 
                                   California
MM Nashville Energy LLC
   Energy related   June 20, 1997   DE   50%   Landfill gas fueled power generation for project in
 
                                   Tennessee
MM Northern Tier Energy LLC
   Energy related   March 11, 1997   DE   50%   Landfill gas fueled power generation for project in
 
                                   Pennsylvania
MM Phoenix Energy LLC
   Energy related   January 20, 1998   DE   50%   Landfill gas fueled power generation for project in
 
                                   Arizona
MM Prima Deshecha Energy LLC
   Energy related   January 8, 1997   DE   50%   Landfill gas fueled power generation for project in
 
                                   Orange County, California

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Name of   Energy or                   Percentage   Nature
Reporting   Gas Related   Date of   State of   Of Voting   Of
Company   Company   Organization   Organization   Securities Held   Business
 
 
 
 
 
   
MM Prince William Energy LLC
   Energy related   June 18, 1997   DE   50%   Landfill gas fueled power generation for project in
 
                                   Virginia
   
MM Riverside LLC
   Energy related   December 19, 1996   DE   50%   Landfill gas fueled power generation for project in
 
                                   California
   
MM San Diego LLC
   Energy related   January 8, 1997   DE   50%   Landfill gas fueled power generation for Miramar
 
                                   project in California
   
MM SKB Energy LLC
   Energy related   June 20, 1997   DE   50%   Landfill gas fueled power generation for project in
 
                                   Pennsylvania
   
MM Spokane Energy LLC
   Energy related   January 8, 1997   DE   50%   Landfill gas fueled power generation for project in
 
                                   Washington
   
MM Tacoma LLC
   Energy related   December 19, 1996   DE   50%   Landfill gas fueled power generation for project in
 
                                   Washington
   
MM Tajiguas Energy LLC
   Energy related   January 20, 1998   DE   50%   Landfill gas fueled power generation for project in
 
                                   California
   
MM Taunton Energy LLC
   Energy related   January 8, 1997   DE   50%   Landfill gas fueled power generation for project in
 
                                   Massachusetts
   
MM Tomoka Farms Energy LLC
   Energy related   March 11, 1997   DE   50%   Landfill gas fueled power generation for project in
 
                                   Florida
   
MM Tri-Cities Energy LLC
   Energy related   February 10, 2000   DE   50%   Landfill gas power generation in Fremont, CA
   
MM Tulare Energy LLC
   Energy related   May 16, 1997   DE   50%   Landfill gas fueled power generation for Visalia
 
                                   project in California
   
MM West Covina LLC
   Energy related   December 4, 1995   DE   50%   Landfill gas fueled power generation for BKK project
 
                                   in California
   
MM Woodville Energy LLC
   Energy related   February 11, 1998   DE   50%   Landfill gas fueled power generation for project in
 
                                   California
   
MM Yolo Power LLC
   Energy related   February 14, 1996   DE   50%   Landfill gas fueled power generation for Visalia
 
                                   project in California
   
MMSB Transco Holdings LLC
   Energy related   December 30, 1998   DE   50%   Transport landfill gas for resale
   
NEO Landfill Gas Inc.
   Energy related   April 8, 1996   DE   100%   Domestic holding company-holds 99% interest in
 
                                   landfill gas collection system projects.
   
Northbrook Acquisition Corp.
   Energy related   December 23, 1994   DE   50%   Domestic holding company in STS Hydropower
   
Northbrook Carolina Hydro LLC
   Energy related   October 5, 1995   DE   50%   Owns and operates hydroelectric power plants in North
 
                                   Carolina and South Carolina

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Name of   Energy or                   Percentage   Nature
Reporting   Gas Related   Date of   State of   Of Voting   Of
Company   Company   Organization   Organization   Securities Held   Business
 
 
 
 
 
   
Northbrook Energy LLC
   Energy related   November 4, 1994   DE   50%   Develops hydroelectric power projects in the U.S.
   
Northbrook New York LLC
   Energy related   June 21, 1999   DE   30%   Holds interest in Northbrook Acquisition Corp
   
O’Brien Biogas (Mazzaro) Inc
   Energy related   February 26, 1990   DE   50%   Landfill gas collection system for project in
 
                                   Pennsylvania
   
O’Brien Biogas IV LLC
   Energy related   July 8, 1997   DE   50%   Landfill gas fueled power generation for Edgeboro
 
                                   project in New Jersey
   
O’Brien Standby Power Energy Inc
   Energy related   December 6, 1988   DE   50%   Landfill gas fueled power generation for SKB project
 
                                   in Pennsylvania
   
STS Hydropower LTD (a)
   Energy related   August 11, 1987   MI   50%   Owns and operates hydroelectric projects in
 
                                   California, Colorado, Michigan, Virginia and Wash.
     
NEO Albany LLC
   Energy related   September 12, 1995   DE   100%   Landfill gas collection system for project in NY
     
NEO Cuyahoga LLC
   Energy related   October 31, 1996   DE   100%   Landfill gas collection system for project in Ohio
     
NEO Edgeboro LLC
   Energy related   January 6, 1997   DE   100%   Landfill gas collection system for O'Brien project in
 
                                   New Jersey
     
NEO Fitchburg LLC
   Energy related   January 16, 1997   DE   100%   Landfill gas collection system for project in
 
                                   Massachusetts
     
NEO Hartford LLC
   Energy related   October 13, 1995   DE   100%   Landfill gas collection system for project in
 
                                   Connecticut
     
NEO Lopez Canyon LLC
   Energy related   January 4, 1996   DE   100%   Landfill gas collection system for project in
 
                                   California
     
NEO Lowell LLC
   Energy related   January 16, 1997   DE   100%   Landfill gas collection system for project in
 
                                   Massachusetts
     
NEO Prince William LLC
   Energy related   October 30, 1996   DE   100%   Landfill gas collection system for project in Virginia
     
NEO San Diego LLC
   Energy related   October 12, 1995   DE   100%   Landfill gas collection system for Miramar project in
 
                                   California
     
NEO Spokane LLC
   Energy related   November 22, 1995   DE   100%   Landfill gas collection system for project in
 
                                   Washington
     
NEO Tacoma LLC
   Energy related   December 5, 1995   DE   100%   Landfill gas collection system for project in
 
                                   Washington
     
NEO Taunton LLC
   Energy related   January 16, 1997   DE   100%   Landfill gas collection system for project in
 
                                   Massachusetts
     
NEO Tomoka Farms LLC
   Energy related   December 5, 1995   DE   100%   Landfill gas collection system of Volusia project in
 
                                   Florida

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Name of   Energy or                   Percentage   Nature
Reporting   Gas Related   Date of   State of   Of Voting   Of
Company   Company   Organization   Organization   Securities Held   Business
 
 
 
 
 
   
NEO Tulare LLC
   Energy related   December 5, 1995   DE   100%   Landfill gas collection system for Visalia project in
 
                                   California
   
NEO West Covina LLC
   Energy related   July 16, 1997   DE   100%   Landfill gas collection system for BKK project in
 
                                   California
   
NEO Yolo LLC
   Energy related   December 23, 1996   DE   100%   Landfill gas collection system for project in
 
                                   California
NRG Thermal Corporation (a)
   Energy related   October 25, 1999   DE   100%   Provides district heating and cooling systems in
 
                                   several cities in the U.S.
 
NRG Energy Center Smyrna LLC
   Energy related   December 20, 2001   DE   100%   Operator of 45 MW plant located in Smyrna, Delaware.
 
NRG Energy Center Minneapolis LLC
   Energy related   October 27, 1999   DE   100%   Owns and operates the district heating and cooling
 
                                   system serving customers in the downtown Minneapolis
 
                                   area
 
NRG Energy Center San Diego LLC
   Energy related   October 27, 1999   DE   100%   Formed to own and operate San Diego Power & Cooling,
 
                                   a chilled water plant serving customers in downtown
 
                                   San Diego area
 
NRG Energy Center Rock Tenn LLC
   Energy related   October 27, 1999   DE   100%   Owns assets in connection with the sale of steam to
 
                                   Rock-Tenn Corporation in St. Paul
 
NRG Energy Center Grand Forks LLC
   Energy related   October 27, 1999   DE   100%   Owns assets in connection with a contract to provide
 
                                   steam at the Grand Forks Air Force Base
 
NRG Energy Center Paxton Inc.
   Energy related   April 25, 2000   DE   100%   Formed to own interest in cogeneration facility and
 
                                   sell steam to NRG Energy Center Harrisburg Inc.
 
NRG Energy Center Washco LLC
   Energy related   October 27, 1999   DE   100%   Owns assets in connection with the sale of steam to
 
                                   Anderson Corporation and the State of Minnesota
 
                                   Correctional Facility
 
NRG Energy Center Dover LLC
   Energy related   July 12, 2000   DE   100%   Own 18 MW cogeneration facility and 80 MW expansion
 
                                   project in Dover, Delaware
 
NRG Thermal Services Inc.
   Energy related   July 5, 2000   DE   100%   This entity formed to hold the chiller plant assets
 
                                   and diesel services business for NRG Energy Center
 
                                   Harrisburg Inc.
 
NRG Energy Center Pittsburgh LLC
   Energy related   October 27, 1999   DE   100%   Formed to 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
   Energy related   July 30, 1991   DE   48.09%   Provides district heating and cooling services in
 
                                   California
NRG Capital LLC (a)
   Energy related   April 9, 2001   DE   100%   Sole member of construction revolver borrower

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Name of   Energy or                   Percentage   Nature
Reporting   Gas Related   Date of   State of   Of Voting   Of
Company   Company   Organization   Organization   Securities Held   Business
 
 
 
 
 
       
NRG Finance Company I LLC (a)
   Energy related   February 6, 2001   DE   100%   Borrower under proposed construction revolver
       
NRG Turbines LLC
   Energy related   August 15, 2001   DE   100%   Owner for financing purposes of certain turbines
 
                                   prior to their assignment to project companies
   
Utility Engineering Corporation (UE) (a)
   Energy related   August 14, 1985   TX   100%   Holds energy-related companies and is engaged in
 
                                   engineering, design and construction management, and
 
                                   invests in developing cogeneration and energy-related
 
                                   projects
     
Quixx Corporation (a)
   Energy related   August 14, 1985   TX   100%   Invests in developing cogeneration and energy-related
 
                                   projects
       
Quixxlin Corporation (a)
   Energy related   July 16, 1997   DE   100%   Owns .5% general partnership interest in Quixx Linden
       
Quixx Linden (GP)
   Energy related   June 25, 1996   TX   0.50%   Owns and operates gas-fired cogeneration facility
       
Quixx Linden (LP)
   Energy related   June 25, 1996   TX   49.5%   Owns and operates gas-fired cogeneration facility
Xcel Energy Markets Holdings Inc. (a)
                                   Holding company for subsidiaries providing energy
 
                                   marketing services
   
e prime Inc. (a)
   Energy related   January 30,1995   CO   100%   Holds energy-related companies and engages in energy
 
                                   marketing, trading and providing energy services
     
Young Gas Storage Company (a)
   Energy related   July 6, 1993   DE   100%   Hold energy-related company
       
Young Gas Storage Company Ltd.
   Energy related   June 30, 1993   CO   47.5%   Owns & operates underground gas storage facilities
     
Johnstown Cogeneration Company LLC
   Energy related   February 8, 1996   CO   50%   Operates cogeneration facility
   
Viking Gas Transmission Company
   Gas related   February 2, 1988   DE   100%   Natural gas transmission
 
NSP-Minnesota (a)
                                        
   
NSP Nuclear Corporation (a)
   Energy related   November 19, 1999   MN   100%   Owns 20% interest in Nuclear Management Co.
     
Nuclear Management Company LLC
   Energy related   February 26, 1999   WI   20%   Nuclear operating company that manages several
 
                                   nuclear plants for 5 different utilities.
   
Private Fuel Storage LLC
   Energy related   September 6, 1995   DE   15.6%   Storage facility of spent nuclear fuel in Utah

(a)  Directly and/or indirectly holds securities in energy/gas related companies.
# — new entity
* — inactive entity
LP: Limited Partner, GP: General Partner.

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Narrative Description of Activities for Reporting Period

XERS Inc. — XERS, a nonregulated subsidiary of Xcel Energy, operates as a retailer of electric power in targeted U.S. markets. XERS functions as an intermediary between energy producers, resellers and end-users and is exposed to the business risks involved with these operations. Therefore, XERS enters into fixed or full requirements contracts ranging from one month to several years.

Cadence Network Inc. — Cadence Network Inc. provides a single source for both energy management services and products designed to lower energy costs for national companies that operate at multiple locations.

Planergy International Inc. and subsidiaries — Planergy International Inc. consists of operating subsidiaries providing energy management, consulting and demand side management services to industrial, commercial, utility and municipal customers.

e prime Energy Marketing Inc. — e prime Energy Marketing Inc. provides energy related products and services, which include natural gas marketing and trading.

e prime Florida Inc. — e prime Florida Inc. provides energy related products and services.

Texas-Ohio Pipeline Inc. — Small pipeline company that connects two major interstate pipelines.

James River Cogeneration Co. — Owns the James River Station 110 MW facility in Virginia.

NRG Woodland Operations LLC — Operates a facility in Woodland, CA.

NRG Power Marketing Inc. — Established to maximize the utilization and return of NRG’s generation assets and to mitigate the risk associated with those assets. NRG Power Marketing purchases and markets energy and energy related commodities including electricity, natural gas, oil, coal and emission allowances.

NRG PacGen Inc. — Owns interests in cogeneration and competitive power producing projects.

Graystone Corporation — General partner in Louisiana Energy Services LP which provides uranium enrichment services.

NRG Cadillac Inc. — Owns 50 percent of Cadillac Renewable Energy LLC. Which owns a 38 MW wood fired plant located in Cadillac, Michigan.

O’Brien Cogeneration Inc. II — Owns and/or operates cogeneration facilities.

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Narrative Description of Activities for Reporting Period (continued)

NEO Corporation — Develops, owns and operates landfill gas, hydroelectric and small cogeneration projects in the U.S.

NRG Thermal Corporation — Provides district heating and cooling systems in several cities in the U.S.

NRG Capital LLC — Sole member of construction revolver borrower.

Utility Engineering Corporation — Utility Engineering Corporation is engaged in engineering, design, construction management and other miscellaneous services. On January 1, 2000, UE acquired Quixx Corporation (“Quixx”) and its subsidiaries from NC Enterprises. 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 currently has several subsidiaries, most of which hold interests in various energy-related investments.

Quixx Linden LP — Quixx Linden LP owns a 23 Mw natural gas fired cogeneration facility in Linden, New Jersey. Quixxlin Corporation, a wholly-owned subsidiary of Quixx, holds a 0.5% general partnership interest in this partnership. Quixx also directly holds a 49.5% limited partnership interest in Quixx Linden, L.P.

e prime Inc. (“e prime”) — 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 Company, which has a 47.5% interest in Young Gas Storage Company Ltd.

Johnstown Cogeneration Company LLC (“Johnstown”) — Johnstown is an electric cogeneration facility which e prime owns a 50% general partnership interest.

Viking Gas Transmission Company — Gas transmission pipeline company.

Nuclear Management Company — Nuclear operating company that manages several nuclear plants for 5 different utilities.

Private Fuel Storage LLC — Storage facility of spent nuclear fuel in Utah.

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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   $ 15,247     Renewal     2.63%     Planergy International Inc.   None   $ 15,247  
Xcel Energy Retail   ST Debt     826     Renewal     2.63%     Cadence Network Inc.   None     826  
Xcel Energy Retail   ST Debt     29     Issue     2.63%     Cadence Network Inc.   None     29  
Xcel Energy Retail   ST Debt     50     Renewal     2.63%     e prime Energy Marketing   None     50  
Xcel Energy Retail   ST Debt     2,300     Issue     2.63%     e prime Energy Marketing   None     2,300  
Quixx Corporation   ST Debt     45,900     Renewal     2.63%     Utility Engineering Corp.   None     45,900  
Quixx Corporation   ST Debt     2,650     Issue     2.63%     Utility Engineering Corp.   None     2,650  
Utility Engineering Corp.   ST Debt     175     Renewal     2.63%     Applied Power Associates   None     175  
Utility Engineering Corp.   ST Debt     1,150     Renewal     2.63%     Proto-Power Corporation   None     1,150  
Utility Engineering Corp.   ST Debt     1,000     Issue     2.63%     Proto-Power Corporation   None     1,000  
Utility Engineering Corp.   ST Debt     750     Renewal     2.63%     Universal Utility Services   None     750  
Utility Engineering Corp.   ST Debt     750     Issue     2.63%     Universal Utility Services   None     750  
Utility Engineering Corp.   ST Debt     775     Renewal     2.63%     Precision Resource Co.   None     775  
Utility Engineering Corp.   ST Debt     58,500     Renewal     2.63%     Xcel Energy Wholesale Inc.   None     58,500  
Xcel Energy Markets Inc.   ST Debt     2,387     Issue     2.63%     e prime, Inc.   None     2,387  
Viking Gas Transmission   ST Debt     6,650     Renewal     2.63%     Xcel Energy Markets Inc.   None     6,650  
Texas-Ohio Pipeline Inc.   ST Debt     152     Renewal     2.63%     Xcel Energy Ventures Inc.   None     152  
XERS Inc.   ST Debt     1,843     Renewal     2.63%     Xcel Energy Retail   None     1,843  
XERS Inc.   ST Debt     852     Issue     2.63%     Xcel Energy Retail   None     852  

CAPITAL CONTRIBUTIONS (in thousands of dollars):

             
Company   Company   Amount of
Contributing   Receiving   Capital
Capital   Capital   Contribution
 
 
NSP-Minnesota   Private Fuel Storage   $ 1,504
NSP Nuclear Corporation   Nuclear Management Company, LLC   $ 500

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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.   PSCo   Engineering/Utility Professional Services   $ 33,250     —   —   $ 33,250  
Utility Engineering Corp.   Southwestern Public Service Co.   Engineering/Utility Professional Services     4,474     —   —     4,474  
Utility Engineering Corp.   Xcel Energy Services Inc.   Engineering/Utility Professional Services     731     —   —     731  
Utility Engineering Corp.   Northern States Power Company   Engineering/Utility Professional Services     3,904     —   —     3,904  
Utility Engineering Corp.   Xcel International   Engineering/Utility Professional Services     149     —   —     149  
e prime Inc.   Southwestern Public Service Co.   Gas purchased     5,432     —   —     5,432  
e prime Inc.   Northern States Power Company   Gas purchased     2,665     —   —     2,665  
e prime Inc.   NRG Energy Inc.   Gas purchased     8,828     —   —     8,828  
Viking Gas Transmission Co.   NSP-Minnesota   Gas transportation services     258     —   —     258  
Viking Gas Transmission Co.   NSP-Wisconsin   Gas transportation services     418     —   —     418  

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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
 
 
 
 
 
 
Cadence Network Inc.   Xcel Energy Services Inc.   Administrative support; mgmt. Services   $ 1   $      —   —   $ 1  
Planergy International Inc.   Xcel Energy Services Inc.   Administrative support; mgmt services     85     159   —     244  
Quixx Linden LP   Quixx Power Services   Power plant operating management fee and expenses     754     —   —     754  
Quixx Linden LP   Quixx Corporation   Partnership management fee     50     —   —     50  
Utility Engineering Corporation   Xcel Energy Services Inc.   Administrative support; mgmt services     459     657   107     1,223  
e prime Inc.   Xcel Energy Services Inc.   Administrative support; mgmt services     461     169   1     631  
e prime Inc.   PSCo   Gas transportation services     124     —   —     124  
e prime Inc.   PSCo   Compressor — Usage     46     —   —     46  
NRG Energy Inc.   Xcel Energy Services Inc.   Administrative support; mgmt services     885     2,377   —     3,262  
XERS Inc.   Xcel Energy Services Inc.   Administrative support; mgmt services     1,302     55   —     1,357  
Energy Masters International   Xcel Energy Services Inc.   Administrative support; mgmt services     237     —   —     237  
e prime Energy Marketing Inc.   Xcel Energy Services Inc.   Administrative support; mgmt services     51     3   —     54  
Viking Gas Transmission Co.   Xcel Energy Services Inc.   Administrative support; mgmt services     310     170   —     480  
e prime Florida   Xcel Energy Services Inc.   Administrative support: mgmt services     1     —   —     1  

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Item 4. — SUMMARY OF AGGREGATE INVESTMENT

                               
Investments in energy-related companies:   (in thousands)                
 
               
Total consolidated capitalization as of June 30, 2002
   $ 17,198,423             Line 1
Total capitalization multiplied by 15% (Line 1 multiplied by 0.15)
     2,579,763             Line 2
Greater of $50 million or line 2
           $ 2,579,763     Line 3
Total current aggregate investment:
                        
(categorized by major line of energy-related business)
                        
 
Energy management services (Category I)
     89,807                  
 
Compressed natural gas services (Category III)
     101                  
 
Brokering/Marketing services (Category V)
     17,021                  
 
Utility engineering/construction services (Category VII)
     6,330                  
 
Developing/Ownership QF’s (Category VIII)*
     1,936,051                  
 
  
                 
   
Total current aggregate investment
             2,049,310     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)
           $ 530,453     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 $1,932.6 million of aggregated investment by Xcel Energy in NRG Energy

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Item 5. — OTHER INVESTMENTS (in thousands)

                         
Major Line   Other   Other   Reason
of Energy-Related   Investment in Last   Investment in This   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.

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Item 6. — FINANCIAL STATEMENTS AND EXHIBITS

A.   Financial Statements:

    Exhibit A-1 Financial statements of XERS, Inc. for the three months ended June 30, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
    Exhibit A-2 Financial statements of Cadence Network Inc. for the three months ended June 30, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
    Exhibit A-3 Consolidated financial statements of Planergy International Inc. and subsidiaries for the three months ended June 30, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
    Exhibit A-4 Financial statements of e prime Energy Marketing Inc. for the three months ended June 30, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
    Exhibit A-5 Financial statements of e prime Florida Inc. for the three months ended June 30, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
    Exhibit A-6 Financial statements of Texas-Ohio Pipeline Inc. for the three months ended June 30, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
    Exhibit A-7 Consolidated financial statements of James River Cogeneration Co. and subsidiaries for the three months ended June 30, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
    Exhibit A-8 Financial statements of NRG Woodland Operations LLC for the three months ended June 30, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
    Exhibit A-9 Consolidated financial statements of NRG Power Marketing Inc. and subsidiaries for the three months ended June 30, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
    Exhibit A-10 Consolidated financial statements of NRG PacGen Inc. and subsidiaries for the three months ended June 30, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
    Exhibit A-11 Consolidated financial statements of Graystone Corporation and subsidiaries for the three months ended June 30, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
    Exhibit A-12 Consolidated financial statements of NRG Cadillac Inc. and subsidiaries for the three months ended June 30, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
    Exhibit A-13 Consolidated financial statements of O’Brien Cogeneration Inc. II and subsidiaries for the three months ended June 30, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
    Exhibit A-14 Consolidated financial statements of NEO Corporation and subsidiaries for the three months ended June 30, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
    Exhibit A-15 Consolidated financial statements of NRG Thermal Corporation and subsidiaries for the three months ended June 30, 2002 — filed under confidential treatment pursuant to Rule 104(b).

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Item 6. — FINANCIAL STATEMENTS AND EXHIBITS (continued)

    Exhibit A-16 Consolidated financial statements of NRG Capital LLC and subsidiaries for the three months ended June 30, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
    Exhibit A-17 Confidential financial statements of Utility Engineering Corporation and subsidiaries for the three months ended June 30, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
    Exhibit A-18 Financial statements of Quixx Linden LP for the three months ended June 30, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
    Exhibit A-19 Consolidated financial statements of e prime Inc. and subsidiaries for the three months ended June 30, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
    Exhibit A-20 Financial statements of Johnstown Cogeneration Company LLC for the three months ended June 30, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
    Exhibit A-21 Financial statements of Viking Gas Transmission Company for the three months ended June 30, 2002 — filed under confidential treatment pursuant to Rule 104(b).

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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.
     
    /s/ Richard C. Kelly
   
    Richard C. Kelly
    Vice President and
    Chief Financial Officer

August 29, 2002

With the above signature, I also certify that the corresponding report on Form U-9C-3 for the second quarter of 2002 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   South Dakota Public Utilities Commission
1580 Logan Street   500 E. Capitol Ave.
Denver, CO 80203   Pierre, SD 57501
     
Public Service Commission of Wyoming   Public Service Commission of Wisconsin
Hansen Building, Suite 300   610 North Whitney Way
2515 Warren Avenue   Madison, WI 53707
Cheyenne, WY 82002    
     
Public Utility Commission of Texas   Michigan Public Service Commission
1701 N. Congress Avenue   6545 Mercantile Way, Suite 7
Austin, Texas 78711   Lansing, MI 48911
     
New Mexico Public Regulation Commission   Arizona Corporation Commission
224 E. Palace Avenue   1200 West Washington
Santa Fe, NM 87503   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    

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