Duke Energy Corporation
FILE NO. 70-10013
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
QUARTERLY FILING CERTIFICATE
PURSUANT TO ORDER GRANTING EXEMPTIONS
UNDER SECTION 3(b) TO
FOREIGN PUBLIC UTILITY COMPANIES
Release No 35-27497; File No. 70-10013
DUKE ENERGY CORPORATION
526 S. Church Street
Charlotte, North Carolina
28202
(Name of the company filing this certificate and
address of its principal executive office)
David L. Hauser
Senior Vice President and
Treasurer
Duke Energy Corporation
526 S. Church Street
Charlotte, North Carolina 28202
(Name and address of agent for service)
Please also submit copies of all
correspondence to:
Robert T. Lucas III
Duke Energy Corporation
422 South Church Street
Charlotte, North Carolina 28201-1244
By order issued March 8, 2002, the Commission granted the application of Duke
Energy Corporation (“Duke Energy”) under section 3(b) of the Public Utility Holding Company Act of 1935, as amended. The Commission’s order required Duke Energy to file, on a quarterly basis, a certificate containing certain
information regarding the capitalization and senior debt ratings of Duke Energy. Pursuant to that requirement, Duke Energy hereby submits its certificate.
CERTIFICATE
The
undersigned officer of Duke Energy Corporation hereby certifies as follows:
| |
1. |
|
The following table shows the Company’s total capitalization as of September 30, 2002 |
| CAPITALIZATION (IN MILLIONS OF DOLLARS) |
|
|
9/30/02 |
| Notes Payable and Commercial Paper |
|
$ |
2,199 |
| Long-Term Debt (including current portion) |
|
|
20,670 |
| Guaranteed Preferred Beneficial Interests in Subordinated Notes of DEC or Subsidiaries |
|
|
1,408 |
| Preferred and Preference Stock (including current portion) |
|
|
172 |
| Minority Interest |
|
|
1,905 |
| Total Common Stock Equity |
|
|
14,129 |
| |
|
|
|
| Total Capitalization |
|
$ |
40,483 |
| |
2. |
|
As of September 30, 2002, the Company’s senior unsecured debt ratings were A1 from Moody’s Investors Service, Inc., A from Standard & Poor’s
Ratings Service, a division of McGraw-Hill, Inc. and A+ from Fitch Ratings. |
IN WITNESS
WHEREOF, the undersigned has hereunto set his hand this 22nd day of November, 2002.
| |
| |
| |
|
/s/ Myron L. Caldwell
|
| |
|
Myron L. Caldwell Vice President, Corporate Finance |
| Respectfully submitted, DUKE ENERGY CORPORATION |
| |
| By: |
|
/s/ Robert T. Lucas III
|
| |
|
Robert T. Lucas III Assistant Secretary |
Dated:
November 22, 2002
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