UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM U-12(I)-B (THREE-YEAR STATEMENT)
STATEMENT PURSUANT TO SECTION 12(i) OF PUBLIC UTILITY HOLDING
COMPANY ACT OF 1935 BY A PERSON REGULARLY EMPLOYED
OR RETAINED BY A REGISTERED HOLDING COMPANY
OR A SUBSIDIARY THEREOF AND WHOSE EMPLOYMENT
CONTEMPLATES ONLY ROUTINE EXPENSES AS SPECIFIED IN RULE 71(b)
(To be filed in DUPLICATE. If acknowledgment is desired, file in triplicate)
1. Name and business address of person filing statement.
David M. Sparby, 414 Nicollet Mall, Minneapolis, MN 55401
2. Names and business addresses of any persons through whom the undersigned
proposes to act in matters included within the exemption provided by
paragraph (b) of Rule U-71.
Not Applicable
3. Registered holding companies and subsidiary companies by which the
undersigned is regularly employed or retained.
Xcel Energy, Inc. and its subsidiary, Xcel Energy Services, Inc.
4. Position or relationship in which the undersigned is employed or retained
by each of the companies named in item 3, and brief description of nature
of services to be rendered in each such position or relationship.
The undersigned is an employee of Xcel Energy Services, Inc. with the title
Vice President of Government and Regulatory Affairs. His responsibilities
consist of representing and advising Xcel on federal and state government
affairs issues, including, but not limited to, presenting, advocating or
opposing matters affecting the company, before Congress and the regulatory
commissions and officials specified in Section 12(i) of PUHCA.
5. (a) Compensation received during the current year and estimated to be
received over the next two calendar years by the undersigned or others,
directly or indirectly, for services rendered by the undersigned, from each
of the companies designated in item 3. (Use column (a) as supplementary
statement only.)
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Salary or other
compensations
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received to be Person or company from whom
Name of recipient (a) (b) received or to be received
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David M. Sparby $240,000 Xcel Energy Services, Inc.
(b) Basis for compensation if other than salary.
This amount reflects the undersigned's annual salary. The undersigned may
also receive short and long term compensation based on individual and
company performance and stock options. These amounts are not reflected in
the figure in 5(a) given that these amounts have not yet been determined.
6. (To be answered in supplementary statement only. See instructions.)
Expenses incurred by the undersigned or any person named in item 2, above,
during the calendar year in connection with the activities described in
item 4, above, and the source of reimbursement for same.
(a) Total amount of routine expenses charged to client: $
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(b) Itemized list of all other expenses:
Date May 25, 2004 Signed /s/ David M. Sparby
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