State Street Bank & Trust Co – ‘U-3A3-1’ on 3/29/05

On:  Tuesday, 3/29/05, at 9:23am ET   ·   Accession #:  93748-5-114   ·   File #:  34-00083

in

this entire Filing. an “Entity” Search.

Show

Documents searched

and

each “hit”. the 1st “hit”.

↓↑Hints

Twelve-Month Statement by a Bank Claiming Exemption   —   Form U-3A3-1
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: U-3A3-1     Twelve-Month Statement by a Bank Claiming              6±    24K 
                          Exemption                                              

Document Table of Contents

Form U-3A3-1                                                                    
(As adopted December 29, 1950)                                                  

SECURITIES AND EXCHANGE COMMISSION                                              
Washington, D.C.                                                                

FORM U-3A3-1                                                                    

TWELVE-MONTH STATEMENT BY BANK CLAIMING EXEMPTION AS A                          
HOLDING COMPANY, OR EXEMPTION FROM SECTION 9(a)(2) OF THE                       
PUBLIC UTILITY HOLDING COMPANY ACT OF 1935 UNDER RULE 3 OF                      
THE GENERAL RULES AND REGULATIONS UNDER THE ACT                                 

(Note:  No statement on this form need to be filed unless an answer             
other than "None" is required under items 1 or 2.)                              

Statement for 12-month period ending February 28, 2005                          

Name of Bank:  State Street Bank and Trust Company                              
(subsidiary of State Street Corporation)                                
Address:            225 Franklin Street, Boston, MA  02110                      

Organized in the year 1792 under the laws of MASSACHUSETTS and subject          
to regulation or examination under the laws of Massachusetts                    

If the statement is submitted by a receiver, conservator, or liquidating        
agent, state name and status:     N/A                                           

IT IS HEREBY CERTIFIED BY THE UNDERSIGNED THAT ACCORDING TO THE RECORDS         
OF THE UNDERSIGNED AND TO THE BEST OF ITS KNOWLEDGE AND BELIEF:                 

1. The following tabulation sets forth the total amount of voting               
securities of each public-utility company or holding company which              
the bank, as of the end of the 12-month period, owned, controlled or            
held in any one or more of the following categories:                            

(i) beneficially; or                                                            
(ii) as trustee or in any fiduciary capacity other than a                       
customary custodian relationship; or                                            
(iii) as collateral to secure any bond, note or other evidence                  
of indebtedness which is in default as to interest or                           
principal for a period of 90 days or more or which has                          
been placed by a Federal or State supervisory agency in                         
classes II,III or IV, or comparable loan classifications.                       

Name of Company                                 Total Owned,                    
and Description                                 Controlled or          Nature of
of Securities   Total Outstanding       Held by Bank            Holding         
(a)                             (b)                             (c)          (d)

<F1>                                                                            

-2-                                                                             

Instructions to Item 1.                                                         

1. Securities representing less than 5% of the outstanding voting               
securities of the issuer need not be reported unless the issuer is              
a company named in the answer to item 2 or item 3 of this form.                 
2. No securities need to be reporting which are owned, controlled or            
held under a collateral trust agreement or mortgage, securing bonds             
or any similar instruments, which is not in default as to principal             
or interest for a period of 90 days or more, unless such trust                  
agreement or mortgage gives the bank the right to vote securities               
pledged thereunder prior to default.                                            
3. Only the class of voting securities need be described which was              
owned, controlled or held by the bank.  Other securities of the same            
issuer need not be described.                                                   
4. In column (b) state the total number of shares outstanding of the            
class of securities described in column (a).                                    
5. Under column (d) "Nature of Holdings," indicate by appropriate symbol        
upon what basis the bank hold the security, e.g., "(i)" if                      
beneficially held, "(ii) as trustee, etc.                                       

2. The following tabulation sets forth all loans which the bank had             
outstanding, as of the end of the 12-month period, to any                       
public-utility company or holding company not in a registered holding           
company system, which were in default or placed by a Federal or State           
bank supervisory agency in classes II, III or IV or comparable loan             
classification:                                                                 

Voting Securities of Public-Utility Pledged to Secure Such Loans                

Description             Number of Shs                                           
Name of Debtor Co       Amt.of Loan             Of Security             Pledged 

(a)                             (b)                     (c)                  (d)

NONE                                                                            

Instructions to Item 2.                                                         

1. In column (a) indicate by a symbol loans which were in default as to         
interest or principal for 90 days or more or which were carried on              
the books of the bank at less than principal amount or for which a              
specific reserve was carried.                                                   
2. Loans extended in conjunction or participation with others should be         
so designated and the proportionate interest of the bank in the loan            
and the security pledged thereunder should be indicated.                        
3. See General Instruction 7. Public disclosure.                                

-3-                                                                             

3. The following tabulation identifies all representatives of the bank          
on the board of directors of any public-utility or holding agency,              
and all officers, employees or directors of the bank who were                   
officers or directors of any such company, at the end of the 12-month           
period:                                                                         

Name of Name of         Official Position       Official Position               
Company Individual              with Company            with Bank               
(a)           (b)                (c)                (d)                       

NONE                                                                            

4. The following tabulation sets forth all loans to any officer or              
director of any company listed in the answer to item 1 or item 2                
hereof, in excess of $25,000 principal amount and not fully secured,            
which the bank had outstanding as of the end of the 12-month period:            

Name of         Name of         Position of Borrower            Amount of       
Company         Borrower                With Company                    Loans   

  (a)             (b)                  (c)                                 (d)

NONE                                                                            

Instructions to Item 4.                                                         

1. The term "fully secured" means secured by readily marketable                 
securities dealt in on any national securities exchange or in any               
recognized over-the-counter market, equal in value at least to the              
amount of the loan, or secured by life insurance policies having a              
cash surrender value at least equal to the amount of the loan.                  
2. Loans extended in conjunction or participation with others should be         
so indicated and the proportionate interest of the bank in the loan             
indicated.                                                                      
3. See General Instruction 7.Public disclosure.                                 

-4-                                                                             

5. The following tabulation sets forth all notes or other evidences of          
indebtedness in excess of $100,000 aggregate principal amount owing             
by any company, listed in the answer to item 1 of this statement, or            
by any subsidiary of such company, owned beneficially by the bank at            
the end of the 12-month period and not reported under item 2 of this            
statement.                                                                      

Name of Company         Amount of Indebtedness                  Form of         
Indebtedness                                                                    
(a)                                     (b)                                  (c)

Ohio Edison Co.                 $18,894,712                      Leveraged lease

6. The following tabulation sets forth and describes all arrangements           
under which the bank received fees in excess of $10,000 during the              
12-month period from any of the companies listed in the answers to              
items 1, 2 or 3 of this statement, or from any subsidiary of any such           
company, in the bank's capacity as indenture trustee, transfer agent,           
registrar or paying agent in respect of securities issued or assumed            
by the company:                                                                 

Name of Company         Amount of Fees          Services for Which Fees         
Were Paid                                                                       
(a)                             (b)                             (c)             

None                                                                            

7. This statement covers all foreign as well as domestic offices of this        
bank and its subsidiaries, except as follows:                                   

29 March 2005                                                                   
[CORPORATE SEAL]                        State Street Bank and Trust Company     
(subsidiary of State Street Corporation)                                        
Attest:                                                                         
(Name of Bank)                                                                  
By                                                                              
/s/Susan C. Daniels                                     /s/Christine R. Walsh   
(Signature of Officer)                                  (Signature of Officer)  
Vice-President                                          Vice-President          
(Title)                                                 (Title)                 

-5-                                                                             

<F1>                                                                            

Name of Company                                 Total Owned,                    
and Description                                 Controlled or          Nature of
of Securities   Total Outstanding       Held by Bank            Holding         
(a)                     (b)                             (c)                  (d)

Duke Energy                     957,690,000             86,222,427 shs      (ii)

Edison International                                                            
(Southern California Edison)                                                    
Common Stock            325,811,000             40,738,114 shs          (ii)    

First Energy                                                                    
(Ohio Edison, Centurion Energy)                                                 
Common Stock            329,836,000             23,522,913 shs          (ii)    

Progress Energy         248,533,000             24,605,927 shs          (ii)    

El Paso Corp.           642,934,000             35,602,077 shs          (ii)    

-6-                                                                             

GENERAL INSTRUCTIONS FOR FORM U-3A3-1                                           

1. Use of form. - A bank is not exempt from any provision of the Public         
Utility Holding Company Act of 1935 by virtue of Rule U-3 unless the            
bank holds on the last day of February of any year no securities or             
evidence of indebtedness of the type and amounts required to be                 
reported under items 1 or 2 of this form or unless, holding any such            
securities or evidences of indebtedness at such date, it thereafter             
files a statement on Form U-3A3-1 to cover the preceding 12-month               
period.                                                                         
The entire form should be filed out.  If a particular item is                   
inapplicable or if the answer is "None," so state.                              
2. Time of filing. - In order to keep on file with the Commission an            
effective statement, the bank should file a statement on                        
form U-3A3-1, as of the last day of February in each year, within 30            
days thereafter.                                                                
3. Number of copies. - Only the original needs to be filed.  If a               
duplicate is submitted, it will be returned to the bank stamped to              
show date of receipt by the Commission.                                         
4. Meaning of terms. - The terms "public-utility company", "holding             
company" and "voting securities" shall have the meanings set forth in           
Section 2(a) of the Act.  The term "public-utility company" need not            
include any company declared not to be such pursuant to Sections                
2(a)(3) or 2(a)(4) of the Act or any company which drives no material           
part of its income, directly or indirectly, from sources within the             
United States.  The term "holding company" need not include any                 
company declared not to be such pursuant to Section 2(a)(7) or which            
is either exempt as such pursuant to a rule or order under                      
subsections (3), (4) or (5) of Section 3(a) of the Act or has pending           
an application for exemption under any of such subsections.  The                
terms "officer" and "director" have the meanings set forth in Rule              
U-70(c).                                                                        
Securities owned, controlled, or held by branches of the bank,                  
including domestic and foreign branches, offices, and subsidiaries,             
shall be considered as owned, controlled, or held by the bank.                  
Securities owned, controlled, or held by a foreign branch or office             
of the bank or of a subsidiary of the bank (in the regular course of            
business of such branch, office or subsidiary) need not be included             
provided the principal amount or par or stated value of the                     
securities of any one company so owned, controlled, or held by any              
such branch or office does not exceed $10,000.  Securities issued by            
subsidiaries of holding companies are owned, controlled, or held by             
the bank.                                                                       
5. Limitation on responsibility of bank. - The filing of a statement on         
this form shall be deemed a representation by the bank that it has              
made reasonable efforts to ascertain whether companies whose voting             
securities it owned, controlled, or held are public-utility companies           
or holding companies as defined in the Act, but the bank shall not be           
responsible for failure in good faith to include in the statement               
data as to its holdings in any company whose name or general                    
reputation does not indicate a probability that it is such a company.           

-7-                                                                             

A statement shall not be invalid because of any inaccuracy which is             
not willful, provided the inaccuracy is corrected when brought to the           
attention of the bank.  The inclusion of any security in the                    
statement shall not (unless otherwise expressly stated therein) be              
deemed an admission that the bank does in fact own, control, or hold            
the power to vote such security within the meaning of Section                   
2(a)(7)(A) of the Act. The inclusion of the securities of any company           
shall not be deemed an expression of any option by the bank that such           
company is in fact subject to the provisions of the Act.                        
6. Foreign branches. - Where the bank cannot conveniently include in            
this statement information as to one or more foreign branches, the              
bank shall indicate this omission in answer to item 7 of the                    
statement, and as early as possible, shall file a second statement on           
this form with respect to such branches.  To the extent that it may             
not be feasible to supply information concerning any foreign branch             
the bank may request written instructions to modify certain items of            
the form in so far as they concern such branch or to furnish such               
information as of a different date.                                             
7. Public disclosure. - The bank may object, pursuant to the provisions         
of Rule U-104, to public disclosure of any information contained in             
this statements on this form.  If any such objection concerning a               
customer's loan or credit is made on behalf of the customer's loan or           
credit is made on behalf of the customer as well as the reporting               
bank, no disclosure thereof will be made without notice both to the             
bank and such customer.                                                         
8. Reliance on statistical manuals. - A bank shall be entitled to rely          
on any standard manual of financial data to determine the total                 
number of shares of any class of outstanding voting securities, the             
voting rights of any securities, the assets of any company and the              
names of the directors of any company.                                          

Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘U-3A3-1’ Filing		Date		Other Filings
Filed on:		3/29/05
		2/28/05		SC 13G
				List all Filings