FILE NO. 70-10013
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
QUARTERLY FILING CERTIFICATE
PURSUANT TO ORDER GRANTING EXEMPTIONS
UNDER SECTION 3(b) TO
FOREIGN PUBLIC UTILITY COMPANIES
Release No 35-27497; File No. 70-10013
--------------------------------------------
DUKE ENERGY CORPORATION
526 S. Church Street
Charlotte, North Carolina 28202
(Name of the company filing this certificate and
address of its principal executive office)
---------------------------------------------
David L. Hauser
Senior Vice President and
Treasurer
Duke Energy Corporation
526 S. Church Street
Charlotte, North Carolina 28202
(Name and address of agent for service)
Please also submit copies of all correspondence to:
Robert T. Lucas III
Duke Energy Corporation
422 South Church Street
Charlotte, North Carolina 28201-1244
Adam Wenner, Esq.
Vinson & Elkins L.L.P.
The Willard Office Building
1455 Pennsylvania Avenue, N.W.
Washington, D.C. 20004-1008
By order issued March 8, 2002, the Commission granted the application of
Duke Energy Corporation ("Duke Energy") under section 3(b) of the Public Utility
Holding Company Act of 1935, as amended. The Commission's order required Duke
Energy to file, on a quarterly basis, a certificate containing certain
information regarding the capitalization and senior debt ratings of Duke Energy.
Pursuant to that requirement, Duke Energy hereby submits its certificate.
CERTIFICATE
-----------
The undersigned officer of Duke Energy Corporation hereby certifies as
follows:
1. The following table shows the Company's total capitalization as of
June 30, 2002
CAPITALIZATION (IN MILLIONS OF DOLLARS) 6/30/02
Notes Payable and Commercial Paper 2,673
Long-Term Debt (including current portion) 19,280
Guaranteed Preferred Beneficial Interests
in Subordinated Notes of DEC or Subsidiaries 1,407
Preferred and Preference Stock (including current portion) 247
Minority Interest 2,996
Total Common Stock Equity 14,737
-------
Total Capitalization 41,340
--------------------------------------------------------------------------------
2. As of June 30, 2002, the Company's senior unsecured debt ratings were
A1 from Moody's Investors Service, Inc., A+ from Standard & Poor's
Ratings Service, a division of McGraw-Hill, Inc. and A+ from Fitch
Ratings.
IN WITNESS WHEREOF, the undersigned has hereunto set his hand this 30th day
of August, 2002.
/s/ Myron L. Caldwell
---------------------------------
Myron L. Caldwell
Vice President, Corporate Finance
Respectfully submitted,
DUKE ENERGY CORPORATION
By: /s/ Robert T. Lucas III
--------------------------------
Robert T. Lucas III
Assistant Secretary
Dated: August 30, 2002
2