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 September 30, 2002

Xcel Energy Inc.
(Name of Registered Holding Company)

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

Inquiries concerning this Form U-9C-3
may be directed to either:

David E. Ripka
Vice President and Controller
Xcel Energy Inc.
414 Nicollet Mall
Minneapolis, MN 55401
(612) 330-2958

or

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

 

TABLE OF CONTENTS

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

Table of Contents

XCEL ENERGY INC.
FORM U-9C-3
For the Quarter Ended September 30, 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 %   Inactive entity previously engaged in natural gas
 
                                   distribution
   
Xcel Energy Cadence Inc. (a)
   Energy related   August 28, 1997   CO     100 %   Holds energy-related company
     
Cadence Network Inc.
   Energy related   September 3, 1997   DE     22.22 %   Energy management and consulting services; also
 
                                   brokering and marketing of energy commodities
   
Planergy International Inc. (a)
   Energy related   January 2, 1990   TX     100 %   Energy service to commercial and industrial customers
     
Planergy (Delaware) Inc. (a)
   Energy related   September, 26 1996   DE     100 %   No significant operations
       
Planergy Services Inc. (a)
   Energy related   July 30, 1987   DE     100 %   Industrial energy audits
       
Planergy Services of California Inc.
   Energy related   November 6, 1984   CA     100 %   No significant operations
       
Planergy Capital Associates Inc.
   Energy related   June 19, 1981   CA     100 %   No significant operations
       
Planergy Energy Services Corp.
   Energy related   July 30, 1987   DE     100 %   No significant operations
       
Planergy Services of Houston Inc.
   Energy related   July 30, 1987   DE     100 %   No significant operations
       
Planergy Services USA Inc.
   Energy related   July 30, 1987   DE     100 %   No significant operations
       
Planergy Services of Texas Inc.
   Energy related   July 30, 1987   DE     100 %   No significant operations
       
Planergy Midwest Inc.
   Energy related   December 7, 2000   DE     100 %   No significant operations
     
* Planergy New York Inc.
   Energy related   February 20, 1991   NY     100 %   Inactive
     
Planergy Inc. (a)
   Energy related   August 19, 1977   TX     100 %   Energy service company
       
Planergy Limited
   Energy related   May 13, 1997   Canada     100 %   Energy service company
     
Energy Masters International Inc. (a)
   Energy related   August 20, 1993   MN     100 %   Provides energy marketing and performance contracting
 
                                   services
       
EMI Performance Contracting, Inc.
   Energy related   June 18, 2001   DE     100 %   Provides energy conservation services

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

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Name of   Energy or                   Percentage   Nature
Reporting   Gas Related   Date of   State of   Of Voting   Of
Company   Company   Organization   Organization   Securities Held   Business
 
 
 
 
 
     
Maine Energy Recovery Co.
   Energy related   June 30, 1983   ME     16 %   Owns waste-to-energy facility in Maine
     
Pacific Orrington Energy Inc. (a)
   Energy related   November 24, 1992   OR     100 %   Holds general and limited partner interests in
       
            Orrington Waste LTD, Limited Partnership
       
Orrington Waste LTD,
   Energy related   January 13, 1993   OR     17 %   Provides waste disposal services to municipalities to
       
Limited Partnership
             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
   Energy related           MA     9 %   Owns Turner Falls cogeneration facility in
     
Partnership
                   Massachusetts
   
Pacific Generation Holdings Co.
   Energy related   January 12, 1995   OR     100 %   Domestic holding company for Pacific Generation Funding and Pacific Recycling Inc.
Graystone Corporation (a)
   Energy related   May 25, 1989   MN     100 %   General partner in Louisiana Energy Services LP
 
Le Paz Incorporated
   Energy related   June 1, 1990   MN     100 %   Limited partner in Louisiana Energy Services LP
NRG Cadillac Inc. (a)
   Energy related   April 15, 1997   DE     100 %   Domestic holding company in Cadillac Renewable Energy LLC
 
Cadillac Renewable Energy LLC
   Energy related   February 27, 1997   DE     100 %   Owns wood-fired electric generation plant in Mich

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

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Name of   Energy or                   Percentage   Nature
Reporting   Gas Related   Date of   State of   Of Voting   Of
Company   Company   Organization   Organization   Securities Held   Business
 
 
 
 
 
NEO 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
   Energy related   September 18, 1997   DE     95 %   Limited partner to landfill gas collection system for
 
Partnership
             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
     
MM Phoenix Energy LLC
   Energy related   January 20, 1998   DE     50 %   Landfill gas fueled power generation for project in
 
                                   Arizona

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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 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.
       
Northbrook Acquisition Corp.
   Energy related   December 23, 1994   DE     50 %   Domestic holding company in STS Hydropower

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Name of   Energy or                   Percentage   Nature
Reporting   Gas Related   Date of   State of   Of Voting   Of
Company   Company   Organization   Organization   Securities Held   Business
 
 
 
 
 
Northbrook 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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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)
   Energy related   November 19, 1999   MN     100 %   Owns 20% interest in Nuclear Management Co.
     
NSP Nuclear Corporation (a)
       
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     9.9 %   Storage facility of spent nuclear fuel in Utah

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

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Narrative Description of Activities for Reporting Period

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

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

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

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

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

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

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

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

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

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

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

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

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

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Narrative Description of Activities for Reporting Period (continued)

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

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

NRG Capital LLC — Sole member of construction revolver borrower.

Utility Engineering Corporation — Utility Engineering Corporation is engaged in engineering, design, construction management and other miscellaneous services. On January 1, 2000, UE acquired Quixx Corporation (“Quixx”) and its subsidiaries from NC Enterprises. Quixx’s primary business is investing in and developing cogeneration and energy-related projects. Quixx also holds water rights and certain other non-utility assets. Quixx currently has several subsidiaries, most of which hold interests in various energy-related investments.

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

e prime Inc.(“e prime”) — e prime provides energy related products and services (directly and through its subsidiaries) which include, but are not limited to, energy marketing and trading and energy consulting. Also, e prime owns Young Gas Storage Company, which has a 47.5% interest in Young Gas Storage Company Ltd.

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

Viking Gas Transmission Company — Gas transmission pipeline company.

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

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

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

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

                                         
Company   Type of   Principal     Issue   Cost     Person to   Collateral   Consideration  
Issuing   security   amount     or   of     whom security   given with   received for  
security   issued   of security     renewal   capital     was issued   security   each security  
 
 
   
 
   
 
 
 
Xcel Energy Retail   ST Debt   $ 15,247     Renewal     2.97%     Planergy International Inc.   None   $ 15,247  
Xcel Energy Retail   ST Debt     855     Renewal     2.97%     Cadence Network Inc.   None     855  
e prime Energy Marketing   ST Debt     5,612     Issue     2.97%     Xcel Energy Retail   None     5,612  
Quixx Corporation   ST Debt     48,550     Renewal     2.97%     Utility Engineering Corp.   None     48,550  
Quixx Corporation   ST Debt     850     Issue     2.97%     Utility Engineering Corp.   None     850  
Utility Engineering Corp.   ST Debt     175     Renewal     2.97%     Applied Power Associates   None     175  
Utility Engineering Corp.   ST Debt     388     Issue     2.97%     Applied Power Associates   None     388  
Utility Engineering Corp.   ST Debt     2,150     Renewal     2.97%     Proto-Power Corporation   None     2,150  
Utility Engineering Corp.   ST Debt     1,500     Renewal     2.97%     Universal Utility Services   None     1,500  
Utility Engineering Corp.   ST Debt     575     Renewal     2.97%     Precision Resource Co.   None     575  
Utility Engineering Corp.   ST Debt     58,500     Renewal     2.97%     Xcel Energy Wholesale Inc.   None     58,500  
Utility Engineering Corp.   ST Debt     5,800     Issue     2.97%     Xcel Energy Wholesale Inc.   None     5,800  
e prime, Inc.   ST Debt     500     Issue     2.97%     Xcel Energy Markets Inc.   None     500  
Xcel Energy Markets Inc.   ST Debt     9,900     Issue     2.97%     Viking Gas Transmission   None     9,900  
Texas-Ohio Pipeline Inc.   ST Debt     116     Renewal     2.97%     Xcel Energy Ventures Inc.   None     116  
XERS Inc.   ST Debt     2,695     Renewal     2.97%     Xcel Energy Retail   None     2,695  
XERS Inc.   ST Debt     2,645     Issue     2.97%     Xcel Energy Retail   None     2,645  

CAPITAL CONTRIBUTIONS (in thousands of dollars):

             
Company   Company   Amount of  
Contributing   Receiving   Capital  
Capital   Capital   Contribution  
 
 
 
NSP-Minnesota   Private Fuel Storage   $ 3,375  
NSP Nuclear Corporation   Nuclear Management Company, LLC   $ 25  

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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   $ 51,584     —   —   $ 51,584  
Utility Engineering Corp.   Southwestern Public Service Co.   Engineering/Utility Professional Services     9,005     —   —     9,005  
Utility Engineering Corp.   Xcel Energy Services Inc.   Engineering/Utility Professional Services     1,032     —   —     1,032  
Utility Engineering Corp.   Northern States Power Company   Engineering/Utility Professional Services     5,591     —   —     5,591  
Utility Engineering Corp.   Xcel International   Engineering/Utility Professional Services     228     —   —     228  
e prime Inc.   Southwestern Public Service Co.   Gas purchased     10,950     —   —     10,950  
e prime Inc.   Northern States Power Company   Gas purchased     2,665     —   —     2,665  
e prime Inc.   NRG Energy Inc.   Gas purchased     19,482     —   —     19,482  
Viking Gas Transmission Co.   NSP-Minnesota   Gas transportation services     1,257     —   —     1,257  
Viking Gas Transmission Co.   NSP-Wisconsin   Gas transportation services     600     —   —     600  

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Part II. — Transactions performed by associate companies on behalf of reporting 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
 
 
 
 
 
 
Cadence Network Inc.   Xcel Energy Services Inc.   Administrative support; mgmt. Services   $ 1   $ —   —   $ 1
Planergy International Inc.   Xcel Energy Services Inc.   Administrative support; mgmt services     110     194   6     310
Quixx Linden LP   Quixx Power Services   Power plant operating management fee and expenses     1,085     —   —     1,085
Quixx Linden LP   Quixx Corporation   Partnership management fee     75     —   —     75
Utility Engineering Corporation   Xcel Energy Services Inc.   Administrative support; mgmt services     663     996   112     1,771
e prime Inc.   Xcel Energy Services Inc.   Administrative support; mgmt services     644     228   3     875
e prime Inc.   PSCo   Gas transportation services     178     —   —     178
e prime Inc.   PSCo   Compressor-Usage     63               63
NRG Energy Inc.   Xcel Energy Services Inc.   Administrative support; mgmt services     1,511     3,306   3     4,820
XERS Inc.   Xcel Energy Services Inc.   Administrative support; mgmt services     1,962     60   1     2,023
Energy Masters International   Xcel Energy Services Inc.   Administrative support; mgmt services     298     —   —     298
e prime Energy Marketing Inc.   Xcel Energy Services Inc.   Administrative support; mgmt services     85     4   —     89
Viking Gas Transmission Co.   Xcel Energy Services Inc.   Administrative support; mgmt services     385     235   1     621
e prime Florida   Xcel Energy Services Inc.   Administrative support: mgmt services     1     —   —     1

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Item 4. — SUMMARY OF AGGREGATE INVESTMENT

                             
Investments in energy-related companies:   (in thousands)                  
 
                 
Total consolidated capitalization as of September 30, 2002
   $ 22,262,244             Line 1
Total capitalization multiplied by 15% (Line 1 multiplied by 0.15)
     3,339,337             Line 2
Greater of $50 million or line 2
           $ 3,339,337     Line 3
Total current aggregate investment:
                        
(categorized by major line of energy-related business)
 Energy management services (Category I)
     90,382                  
 
Compressed natural gas services (Category III)
     101                  
 
Brokering/Marketing services (Category V)
     337,319                  
 
Utility engineering/construction services (Category VII)
     171,832                  
 
Developing/Ownership QF’s (Category VIII)*
     2,470,551                  
 
  
                 
   
Total current aggregate investment
             3,070,185     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)
           $ 269,152     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)
     87,797          
 
  
         
   
Total current aggregate investment
           $ 87,797  
 
 
          
 

*Includes $2,467.1 million of aggregated investment by Xcel Energy in NRG Energy

(a)  Aggregate investment includes guarantees.

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Item 5. — OTHER INVESTMENTS (in thousands)

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

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

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Item 6. — FINANCIAL STATEMENTS AND EXHIBITS

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

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Item 6. — FINANCIAL STATEMENTS AND EXHIBITS (continued)

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

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SIGNATURE

     The undersigned registered holding company has duly caused this quarterly report to be signed on its behalf by the undersigned officer thereunto duly authorized pursuant to the requirements of the Public Utility Holding Company Act of 1935.

  Xcel Energy Inc.

  /s/ BENJAMIN G. FOWKE III

  Benjamin G. Fowke III
Vice President and
Treasurer

November 29, 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    
    Michigan Public Service Commission
Public Utility Commission of Texas   6545 Mercantile Way, Suite 7
1701 N. Congress Avenue   Lansing, MI 48911
Austin, Texas 78711    
    Arizona Corporation Commission
New Mexico Public Regulation Commission   1200 West Washington
224 E. Palace Avenue   Phoenix, AZ 85007
Santa Fe, NM 87503    
     
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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