Quarterly Report for 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 March 31, 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

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

 

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 March 31, 2002

Table of Contents

                 
            Page  
           
 
    Item 1.   Organization Chart     1  
                 
    Item 2.   Issuances and Renewals of Securities and Capital Contributions     14  
                 
    Item 3.   Associated Transactions     15  
                 
    Item 4.   Summary of Aggregate Investment     17  
                 
    Item 5.   Other Investments     18  
                 
    Item 6.   Financial Statements and Exhibits     19  
                 
    SIGNATURE         21  

 

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%     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. (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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Table of Contents

                               
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%     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   96.7%     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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Table of Contents

                               
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 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.
 
   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

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Table of Contents

                               
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

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Table of Contents

                               
Name of   Energy or           Percentage     Nature
Reporting   Gas Related   Date of   State of   Of Voting     Of
Company   Company   Organization   Organization   Securities Held     Business
 
 
 
 
   
 
   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
 
  
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 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

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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 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

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Table of Contents

                               
Name of   Energy or           Percentage     Nature
Reporting   Gas Related   Date of   State of   Of Voting     Of
Company   Company   Organization   Organization   Securities Held     Business
 
 
 
 
   
 
   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
 
   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.

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Table of Contents

                               
Name of   Energy or           Percentage     Nature
Reporting   Gas Related   Date of   State of   Of Voting     Of
Company   Company   Organization   Organization   Securities Held     Business
 
 
 
 
   
 
 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 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

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Table of Contents

                               
Name of   Energy or           Percentage     Nature
Reporting   Gas Related   Date of   State of   Of Voting     Of
Company   Company   Organization   Organization   Securities Held     Business
 
 
 
 
   
 
   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 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.

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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 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
       
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

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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
 
 
 
 
   
   
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/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 newly formed 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.

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.

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.

e prime Georgia Inc. — e prime Georgia 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   $ 21,031   Renewal   2.62%   Planergy International Inc.   None   $ 21,031
Xcel Energy Retail   ST Debt     5,250   Issue   2.62%   Planergy International Inc.   None     5,250
Xcel Energy Retail   ST Debt     826   Renewal   2.62%   Cadence Network Inc.   None     826
Xcel Energy Retail   ST Debt     50   Renewal   2.62%   e prime Energy Marketing   None     50
Quixx Corporation   ST Debt     45,300   Renewal   2.62%   Utility Engineering Corp.   None     45,300
Quixx Corporation   ST Debt     600   Issue   2.62%   Utility Engineering Corp.   None     600
Utility Engineering Corp.   ST Debt     225   Renewal   2.62%   Applied Power Associates   None     225
Utility Engineering Corp.   ST Debt     1,150   Renewal   2.62%   Proto-Power Corporation   None     1,150
Utility Engineering Corp.   ST Debt     750   Renewal   2.62%   Universal Utility Services   None     750
Utility Engineering Corp.   ST Debt     775   Renewal   2.62%   Precision Resource Co.   None     775
Utility Engineering Corp.   ST Debt     69,000   Renewal   2.62%   Xcel Energy Wholesale Inc.   None     69,000
Utility Engineering Corp.   ST Debt     3,000   Issue   2.62%   Xcel Energy Wholesale Inc.   None     3,000
e prime inc   ST Debt     4,380   Issue   2.62%   Xcel Energy Markets Inc.   None     4,380
Viking Gas Transmission   ST Debt     5,475   Renewal   2.62%   Xcel Energy Markets Inc.   None     5,475
Viking Gas Transmission   ST Debt     4,200   Issue   2.62%   Xcel Energy Markets Inc.   None     4,200
Texas-Ohio Pipeline Inc.   ST Debt     153   Renewal   2.62%   Xcel Energy Ventures Inc.   None     153
XERS Inc.   ST Debt     1,843   Issue   2.62%   Xcel Energy Retail   None     1,843
Xcel Energy Inc.   ST Debt     300,000   Issue   2.62%   NRG Energy Inc.   None     300,000

CAPITAL CONTRIBUTIONS (in thousands of dollars):

             
Company   Company   Amount of
Contributing   Receiving   Capital
Capital   Capital   Contribution
 
 
NSP Nuclear Corporation   Nuclear Management Company   $   585
Xcel Energy Retail   XERS Inc.   $   3,032

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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   $14,050   -   -   $14,050
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   352   -   -   352
Utility Engineering Corp.   Northern States Power Company   Engineering/Utility Professional Services   1,922   -   -   1,922
Utility Engineering Corp.   Xcel International   Engineering/Utility Professional Services   78   -   -   78
e prime Inc.   Southwestern Public Service Co.   Gas purchased   241   -   -   241
e prime Inc.   Northern States Power Company   Gas purchased   2,665   -   -   2,665
e prime Inc.   NRG Energy Inc.   Gas purchased   2,368   -   -   2,368
Viking Gas Transmission Co.   NSP-Minnesota   Gas transportation services   10   -   -   10

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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     35     78     -     113  
Quixx Linden LP   Quixx Power Services   Power plant operating management fee and expenses     380     -     -     380  
Quixx Linden LP   Quixx Corporation   Partnership management fee     25     -     -     25  
Utility Engineering Corporation   Xcel Energy Services Inc.   Administrative support; mgmt services     146     297     48     491  
e prime Inc.   Xcel Energy Services Inc.   Administrative support; mgmt services     205     82     -     287  
e prime Inc.   PSCo   Gas transportation services     45     -     -     45  
e prime Inc.   PSCo   Compressor — Usage     23     -     -     23  
NRG Energy Inc.   Xcel Energy Services Inc.   Administrative support; mgmt services     453     908     -     1,361  
XERS Inc.   Xcel Energy Services Inc.   Administrative support; mgmt services     859     19     -     878  
Energy Masters International   Xcel Energy Services Inc.   Administrative support; mgmt services     165     -     -     165  
e prime Energy Marketing Inc.   Xcel Energy Services Inc.   Administrative support; mgmt services     29     1     -     30  
Viking Gas Transmission Co.   Xcel Energy Services Inc.   Administrative support; mgmt services     74     82     -     156  

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Item 4. — SUMMARY OF AGGREGATE INVESTMENT

                         
Investments in energy-related companies:   (in thousands)              
 
             
Total consolidated capitalization as of March 31, 2002
   $ 20,171,954         Line 1
Total capitalization multiplied by 15% (Line 1 multiplied by 0.15)
     3,025,793         Line 2
Greater of $50 million or line 2
         $ 3,025,793   Line 3
Total current aggregate investment:
                    
(categorized by major line of energy-related business)
                    
 
Energy management services (Category I)
     89,774              
 
Compressed natural gas services (Category III)
     101              
 
Brokering/Marketing services (Category V)
     17,000              
 
Utility engineering/construction services (Category VII)
     6,330              
 
Developing/Ownership QF’s (Category VIII)*
     1,085,379              
 
  
             
   
Total current aggregate investment
           1,198,584   Line 4
 
        
       
Difference between the greater of $50 million or 15% of capitalization and the total aggregate investment of the registered holding company system
         $ 1,827,209   Line 5
 
        
       
(line 3 less line 4)
                    
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 $1,081.9 million of aggregated investment by Xcel Energy in NRG Energy

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Item 5. — OTHER INVESTMENTS (in thousands)

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

 

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

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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 March 31, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
  Exhibit A-2 Financial statements of Natural Station Equipment LLC for the three months ended March 31, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
  Exhibit A-3 Financial statements of Cadence Network Inc. for the three months ended March 31, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
  Exhibit A-4 Consolidated financial statements of Planergy International Inc. and subsidiaries for the three months ended March 31, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
  Exhibit A-5 Financial statements of e prime Energy Marketing Inc. for the three months ended March 31, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
  Exhibit A-6 Financial statements of e prime Florida Inc. for the three months ended March 31, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
  Exhibit A-7 Financial statements of e prime Georgia Inc. for the three months ended March 31, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
  Exhibit A-8 Financial statements of Texas-Ohio Pipeline Inc. for the three months ended March 31, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
  Exhibit A-9 Consolidated financial statements of James River Cogeneration Co. and subsidiaries for the three months ended March 31, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
  Exhibit A-10 Consolidated financial statements of NRG Power Marketing Inc. and subsidiaries for the three months ended March 31, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
  Exhibit A-11 Consolidated financial statements of NRG PacGen Inc. and subsidiaries for the three months ended March 31, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
  Exhibit A-12 Consolidated financial statements of Graystone Corporation and subsidiaries for the three months ended March 31, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
  Exhibit A-13 Consolidated financial statements of NRG Cadillac Inc. and subsidiaries for the three months ended March 31, 2002 — 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 three months ended March 31, 2002 - filed under confidential treatment pursuant to Rule 104(b).
 
  Exhibit A-15 Consolidated financial statements of NEO Corporation and subsidiaries for the three months ended March 31, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
  Exhibit A-16 Consolidated financial statements of NRG Thermal Corporation and subsidiaries for the three months ended March 31, 2002 — filed under confidential treatment pursuant to Rule 104(b).

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Item 6. — FINANCIAL STATEMENTS AND EXHIBITS (continued)

  Exhibit A-17 Consolidated financial statements of NRG Capital LLC and subsidiaries for the three months ended March 31, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
  Exhibit A-18 Confidential financial statements of Utility Engineering Corporation and subsidiaries for the three months ended March 31, 2002 - filed under confidential treatment pursuant to Rule 104(b).
 
  Exhibit A-19 Financial statements of Quixx Linden LP for the three months ended March 31, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
  Exhibit A-20 Consolidated financial statements of e prime Inc. and subsidiaries for the three months ended March 31, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
  Exhibit A-21 Financial statements of Johnstown Cogeneration Company LLC for the three months ended March 31, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
  Exhibit A-22 Financial statements of Viking Gas Transmission Company for the three months ended March 31, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
  Exhibit A-23 Financial statements of Nuclear Management Company for the three months ended March 31, 2002 — filed under confidential treatment pursuant to Rule 104(b).
 
  Exhibit A-24 Financial statements of Private Fuel Storage LLC for the three months ended March 31, 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.
     
    By /s/ David E. Ripka
   
    David E. Ripka
    Vice President and Controller

May 30, 2002

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