United States
Securities and Exchange Commission
Washington, D.C. 20549
FORM U-9C-3
QUARTERLY REPORT PURSUANT TO RULE 58
For the Quarterly Period Ending September 30, 2002
National Fuel Gas Company
(Name of Registered Holding Company)
10 Lafayette Square
Buffalo, New York 14203
(Name of Principal Executive Officer)
Inquiries concerning this Form U-9C-3 may be directed to:
James R. Peterson
Assistant Secretary
National Fuel Gas Company
Suite 1500
10 Lafayette Square
Buffalo, New York 14203
(716) 857-7702
ITEM 1 - ORGANIZATION CHART
Name of Reporting Co. Energy or Gas Related Date of Organization State of Organization Percentage of Voting Securities Nature of Business Held
Omitted for the fourth fiscal quarter pursuant to Instructions for Item 1.
ITEM 2 - ISSUANCE OF SECURITIES AND CAPITAL CONTRIBUTIONS
Principal Person to Consideration
Amount of Whom Security Was Collateral Given Received for
Company Issuing Stock Type of Security Issued Security Issue or Renewal Cost of Capital Issued With Security Each Security
SIP No transactions this quarter
DirectLink No transactions this quarter
Niagara No transactions this quarter
Upstate Note $ 100,000 Issue* N/A National Fuel Gas N/A $ 100,000
$ 100,000 Issue* Company $ 100,000
$6,100,000 Issue* $6,100,000
$ 600,000 Issue* $ 600,000
$ 100,000 Issue* $ 100,000
Roystone No transactions this quarter
Seneca Energy No transactions this quarter
Model City No transactions this quarter
* Represents an increase in
the daily principal balance of borrowings from the National Fuel Gas Company
System Money Pool as compared with the balance from preceding day. For the
quarter, the outstanding balance increased by $6,100,000.
Company Contributing Capital Company Receiving Capital Amount of Capital Contribution
No capital contributions this quarter
ITEM 3 - ASSOCIATE TRANSACTIONS
PART 1 - TRANSACTIONS PERFORMED BY REPORTING COMPANY ON BEHALF OF ASSOCIATE COMPANIES
Reporting Co. Rendering Associate Co. Types of Services Direct Costs Indirect Costs Cost of
Services Receiving Services Rendered Charged Charged Capital Total Amount Billed
Roystone National Fuel Gas Natural gas processing $43,793* $0 $0 $43,793
Supply Corporation
* Represents payments made by National Fuel Gas Supply Corporation ("Supply") to Roystone pursuant to a gas processing agreement.
PART 2 - TRANSACTIONS PERFORMED BY ASSOCIATE COMPANIES ON BEHALF OF REPORTING COMPANY
Associate Co. Reporting Co. Types of Services Direct Costs Indirect Cost of Capital Total Amount Billed
Rendering Services Receiving Services Rendered Charged Costs
Charged
Supply SIP Managerial, $1,875 $0 $0 $1,875
financial, legal
and other similar
services.
Seneca Resources Upstate Managerial, $0 $0 $0 $0
Corporation financial and
other similar
services.
National Fuel Upstate Managerial $0 $0 $0 $0
Resources, Inc. services.
Power Seneca Energy Accounting $2,500 $0 $0 $2,500
services.
Power Model City Accounting $2,500 $0 $0 $2,500
services.
Power Model City Sales brokerage $0 $0 $0 $0
and
administrative
services.
___________________________________
Upstate also may have purchased regulated interstate natural gas transportation and storage services from its associate, Supply, pursuant to Supply’s FERC gas tariff, but such services are “exempted transactions” pursuant to Rule 81 under the Public Utility Holding Company Act of 1935 (17 CFR Sec. 250.81).
ITEM 4 - SUMMARY OF AGGREGATE INVESTMENT
| Investments in Energy-Related Companies: |
| Confidential Treatment requested pursuant to Rule 104(b) |
| Investments in Gas-Related Companies: |
| Confidential Treatment requested pursuant to Rule 104(b) |
ITEM 5 - OTHER INVESTMENTS
| Major Line of Energy-Related Business | Other Investment in last U-9C-3 Report | Other Investment in This U-9C-3 Report | Reason For Difference in Other Investment |
| NONE |
ITEM 6 - FINANCIAL STATEMENTS AND EXHIBITS
A. Financial Statements:
| Balance Sheet for SIP | Confidential treatment requested pursuant to Rule 104(b) | ||
| Income Statement for SIP | Confidential treatment requested pursuant to Rule 104(b) | ||
| Balance Sheet for Niagara | Confidential treatment requested pursuant to Rule 104(b) | ||
| Income Statement of Niagara | Confidential treatment requested pursuant to Rule 104(b) | ||
| Balance Sheet for DirectLink | Confidential treatment requested pursuant to Rule 104(b) | ||
| Income Statement for DirectLink | Confidential treatment requested pursuant to Rule 104(b) | ||
| Balance Sheet for Upstate | Confidential treatment requested pursuant to Rule 104(b) | ||
| Income Statement for Upstate | Confidential treatment requested pursuant to Rule 104(b) | ||
| Balance Sheet for Roystone | Confidential treatment requested pursuant to Rule 104(b) | ||
| Income Statement for Roystone | Confidential treatment requested pursuant to Rule 104(b) | ||
| Balance Sheet for Seneca Energy | Confidential treatment requested pursuant to Rule 104(b) | ||
| Income Statement for Seneca Energy | Confidential treatment requested pursuant to Rule 104(b) | ||
| Balance Sheet for Model City | Confidential treatment requested pursuant to Rule 104(b) | ||
| Income Statement for Model City | Confidential treatment requested pursuant to Rule 104(b) |
B. Exhibits:
|
Certificate stating that a copy of the report for the previous quarter has been filed with interested state commissions: EXHIBIT A |
Pursuant to the requirements of the Public Utility Holding Company Act of 1935, National Fuel Gas Company has duly caused this report to be signed and authorized on its behalf by the undersigned.
Dated: December 3, 2002| NATIONAL FUEL GAS COMPANY | |
| By: /s/ James R. Peterson | |
| James R. Peterson | |
| Assistant Secretary | |
NATIONAL FUEL GAS COMPANY
CERTIFICATE
The undersigned certifies that he is the duly designated and acting Assistant Secretary of National Fuel Gas Company, a New Jersey Corporation, and that the report on Form U-9C-3 for the previous quarter was filed with National Fuel Gas Company's interested State Commissions whose names and addresses are listed below:
State of New York Public Service Commission
3 Empire State Plaza
Albany, New York 12223-1350
Pennsylvania Public Utility Commission
P.O. Box 3265
North Office Building
Harrisburg, Pennsylvania 17120
IN WITNESS WHEREOF, I have hereunto set my hand as of the 3rd day of December, 2002.
| /s/ James R. Peterson | |
| James R. Peterson | |
| Assistant Secretary | |