U-9C-3 1 a2050642zu-9c_3.htm U-9C-3 Prepared by MERRILL CORPORATION
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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 March 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 March 31, 2001


Table of Contents

 
    
   Page
Item 1.   Organization Chart   1

Item 2.
 
Issuances and Renewals of Securities and Capital Contributions
 
7

Item 3.
 
Associated Transactions
 
7

Item 4.
 
Summary of Aggregate Investment
 
9

Item 5.
 
Other Investments
 
9

Item 6.
 
Financial Statements and Exhibits
 
10

SIGNATURE
 
11

Item 1.—ORGANIZATION CHART

Name of Reporting Company
   Energy or
Gas Related
Company
   Date of
Organization
   State of
Organization
   Percentage
Of Voting
Securities
Held
   Nature Of Business
Xcel Energy Inc. ("Xcel Energy")                    
  Xcel Energy Retail Holdings Inc.(a)                    
    Natural Station Equipment LLC   Energy related   January 1, 1999   DE   100%   Engages 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.   Energy related   August 20, 1993   MN   100%   Provides energy marketingand performance contracting services
    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%   Provides 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
      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 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
            Maine Energy Recovery Co.   Energy related   June 30, 1983   ME   16%   Owns waste-to-energy facility in Maine
            Pacific Orrington Energy Inc.(a)   Energy related   November 24, 1992   OR   100%   Holds general and limited partner interests in Orrington Waste LTD, Limited Partnership
              Orrington Waste LTD, Limited Partnership   Energy related   January 13, 1993   OR   17%   Provides waste disposal services to municipalities to 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.

1

          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 Partnership   Energy related       MA   9%   Owns Turner Falls cogeneration facility in 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
      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.
        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.
        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

2

        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 Partnership   Energy related   September 18, 1997   DE   95%   Limited partner to landfill gas collection system for 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
          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
        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

3

        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
        Northbrook Energy LLC   Energy related   November 4, 1994   DE   50%   Develops hydroelectric power projects in the US
        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
          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 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

4

        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
    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   12.5%   Storage facility of spent nuclear fuel in Utah
(a)
Directly and/or indirectly holds securities in energy-related companies.

LP: Limited Partner, GP: General Partner.

5


Narrative Description of Activities for Reporting Period

    Xcel Energy Cadence Inc.—Holds interest in 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.

    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.

    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 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.

    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 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.

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

    Ultra Power Technologies—Inactive entity previously involved in the testing of underground electric cable.

    Viking Gas Transmission Company—Gas transmission pipeline company.

    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 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.

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

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

6

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

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

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

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

Company Issuing security
   Type of security issued
   Principal amount of security
   Issue or renewal
   Cost of capital
   Person to whom security was issued
   Collateral given with security
   Consideration received for each security
Planergy Group   ST Debt   $ 4,931   Renewal   6.16 % Xcel Energy Retail   None   $ 4,931
Natural Station LLC   ST Debt     282   Renewal   6.16 % Xcel Energy Retail   None     282
Cadence Inc.   ST Debt     876   Renewal   6.16 % Xcel Energy Retail   None     876

CAPITAL CONTRIBUTIONS (in thousands of dollars):

Company Contributing Capital
   Company Receiving Capital
   Amount of Capital Contribution
NRG Energy Inc.   NEO San Bernardino LLC   $ 330
NRG Energy Inc.   Penobscot Energy Recovery Co.     31,185
NRG Energy Inc.   MM Biogas Power LLC     140

Item 3.—ASSOCIATED TRANSACTIONS

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

Reporting Company Rendering Services
   Associate Company Receiving Services
   Types of Services Rendered
   Direct Costs Charged
   Indirect Costs Charged
   Cost of Capital
   Total Amount Billed
Utility Engineering Corp.   PSCo   Engineering/Utility Professional Services   $ 6,457   $ —   $ —   $ 6,457
Utility Engineering Corp.   Southwestern Public Service Co.   Engineering/Utility Professional Services     1,122     —     —     1,122
Utility Engineering Corp.   Xcel Energy Services Inc.   Engineering/Utility Professional Services     262     —     —     262
Utility Engineering Corp.   NRG Energy, Inc.   Engineering/Utility Professional Services     45     —     —     45
Utility Engineering Corp.   Northern States Power Company   Engineering/Utility Professional Services     1,532     —     —     1,532
e prime Inc.   PSCo   Gas purchased     17,768     —     —     17,768
Viking Gas Transmission Co.   NSP-Minnesota   Gas transportation services     1,209     —     —     1,209
Viking Gas Transmission Co.   NSP-Wisconsin   Gas transportation services     653     —     —     653

7

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

Reporting Company Receiving Services
   Associate Company Rendering Services
   Types of Services Rendered
   Direct Costs Charged
   Indirect Costs Charged
   Cost Of Capital
   Total Amount Billed
Cadence Network Inc.   Xcel Energy Services Inc.   Administrative support; mgmt services   $ 6   $ 3   $ 1   $ 10
Planergy International Inc.   Xcel Energy Services Inc.   Administrative support; mgmt services     624     (97 )   181     708
Quixx Linden LP   Quixx Power Services   Power plant operating management fee and expenses     381     —     —     381
Quixx Linden LP   Quixx Corporation   Partnership management fee     25     —     —     25
Utility Engineering Corporation   Xcel Energy Services Inc.   Administrative support; mgmt services     3,545     1,976     173     5,694
Natural Station Equipment LLC   Xcel Energy Services Inc.   Administrative support; mgmt services     203     (67 )   67     203
e prime Inc.   Xcel Energy Services Inc.   Administrative support; mgmt services     1,233     602     15     1,850
e prime Inc.   PSCo   Gas transportation services     9     —     —     9
e prime Inc.   PSCo   Compressor—Usage     10     —     —     10
NRG Energy Inc.   Xcel Energy Services Inc.   Administrative support; mgmt services     491     10,773     23     11,287
NRG Thermal Services Inc.   Xcel Energy Services Inc.   Administrative support; mgmt services     3     —     —     3
Energy Masters International   Xcel Energy Services Inc.   Administrative support; mgmt services     275     1,615     34     1,924
Ultra Power Technologies Inc.   Xcel Energy Services Inc.   Administrative support; mgmt services     58     11     —     69
Viking Gas Transmission Co.   Xcel Energy Services Inc.   Administrative support; mgmt services     334     529     —     863

8

Item 4.—SUMMARY OF AGGREGATE INVESTMENT

Investments in energy-related companies:
   (in thousands)
    
    
  Total consolidated capitalization as of March 31, 2001   $ 15,083,392         Line 1
  Total capitalization multiplied by 15% (Line 1 multiplied by 0.15)     2,262,509         Line 2
  Greater of $50 million or line 2         $ 2,262,509   Line 3
  Total current aggregate investment:                
  (categorized by major line of energy-related business)                
    Energy management services (Category I)     89,112          
    Compressed natural gas services (Category III)     101          
    Brokering/Marketing services (Category V)     10,000          
    Utility engineering/construction services (Category VII)     6,330          
    Developing/Ownership QF's (Category VIII)*     785,379          
   
         
      Total current aggregate investment           890,922   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)         $ 1,371,587   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)     27,675          
   
         
      Total current aggregate investment           27,675    
         
   
*
Includes $781.9 million of aggregated investment by Xcel Energy in NRG Energy

Item 5.—OTHER INVESTMENTS (in thousands)

Major Line
of Energy-Related
Business (a)
   Other
Investment in Last
U-9C-3 Report
   Other
Investment in This
U-9C-3 Report
   Reason for Difference in
Other Investment
Brokering/Marketing services   27,199   $ 27,199    

Engineering and related services
 
11,463
 
 
11,463
 
 

Developing/Ownership QF's
 
85,713
 
 
85,713
 
 
(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.

9

Item 6.—FINANCIAL STATEMENTS AND EXHIBITS

    A. Financial Statements:

Exhibit A-1   Financial statements of Cadence Network Inc. for the quarter ended March 31, 2001—filed under confidential treatment pursuant to Rule 104(b).
Exhibit A-2   Consolidated financial statements of the Planergy International Inc. and subsidiaries for the quarter ended March 31, 2001—filed under confidential treatment pursuant to Rule 104(b).
Exhibit A-3   Financial statements of Quixx Linden LP for the quarter ended March 31, 2001—filed under confidential treatment pursuant to Rule 104(b).
Exhibit A-4   Confidential financial statements of Utility Engineering Corporation and subsidiaries for the quarter ended March 31, 2001—filed under confidential treatment pursuant to Rule 104(b).
Exhibit A-5   Financial statements of Natural Station Equipment LLC for the quarter ended March 31, 2001—filed under confidential treatment pursuant to Rule 104(b).
Exhibit A-6   Consolidated financial statements of e prime Inc. and subsidiaries for the quarter ended March 31, 2001—filed under confidential treatment pursuant to Rule 104(b).
Exhibit A-7   Financial statements of Johnstown Cogeneration Company LLC for the quarter ended March 31, 2001—filed under confidential treatment pursuant to Rule 104(b).
Exhibit A-8   Financial statements of Nuclear Management Company for the quarter ended March 31, 2001—filed under confidential treatment pursuant to Rule 104(b).
Exhibit A-9   Financial statements of Ultra Power Technologies for the quarter ended March 31, 2001—filed under confidential treatment pursuant to Rule 104(b).
Exhibit A-10   Financial statements of Viking Gas Transmission Company for the quarter ended March 31, 2001—filed under confidential treatment pursuant to Rule 104(b).
Exhibit A-11   Consolidated financial statements of NEO Corporation and subsidiaries for the quarter ended March 31, 2001—filed under confidential treatment pursuant to Rule 104(b).
Exhibit A-12   Consolidated financial statements of NRG Thermal Corporation and subsidiaries for the quarter ended March 31, 2001—filed under confidential treatment pursuant to Rule 104(b).
Exhibit A-13   Consolidated financial statements of NRG Power Marketing Inc. and subsidiaries for the quarter ended March 31, 2001—filed under confidential treatment pursuant to Rule 104(b).
Exhibit A-14   Consolidated financial statements of O'Brien Cogeneration Inc. II and subsidiaries for the quarter ended March 31, 2001—filed under confidential treatment pursuant to Rule 104(b).
Exhibit A-15   Consolidated financial statements of Graystone Corporation and subsidiaries for the quarter ended March 31, 2001—filed under confidential treatment pursuant to Rule 104(b).
Exhibit A-16   Consolidated financial statements of NRG Cadillac Inc. and subsidiaries for the quarter ended March 31, 2001—filed under confidential treatment pursuant to Rule 104(b).
Exhibit A-17   Consolidated financial statements of NRG PacGen Inc. and subsidiaries for the quarter ended March 31, 2001—filed under confidential treatment pursuant to Rule 104(b).

10


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

May 30, 2001
 
 
 
 

With the above signature, I also certify that the corresponding report on Form U-9C-3 for the first 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. Capital 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
 
 

11



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XCEL ENERGY INC. FORM U-9C-3 For the Quarter Ended March 31, 2001
Table of Contents
Narrative Description of Activities for Reporting Period
SIGNATURE