File No. 70-9343 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ------------------------------ POST-EFFECTIVE AMENDMENT NO. 9 TO FORM U-1 (AMENDMENT NO. 11) APPLICATION/DECLARATION UNDER THE PUBLIC UTILITY HOLDING COMPANY ACT OF 1935 NORTHEAST UTILITIES 174 Brush Hill Avenue West Springfield, Massachusetts 01090-0010 NU ENTERPRISES, INC. 107 Selden Street Berlin, Connecticut 06037 (Name of companies filing this statement and address of principal executive offices) NORTHEAST UTILITIES (Name of top registered holding company) Gregory B. Butler, Esq. Senior Vice President, Secretary and General Counsel Northeast Utilities Service Company P.O. Box 270 Hartford, Connecticut 06141-0270 (Name of address of agent for service) The Commission is requested to mail signed copies of all orders, notices and communications to: David R. McHale Jeffrey C. Miller, Esq. Vice President and Treasurer Assistant General Counsel Northeast Utilities Service Northeast Utilities Service Company Company P.O. Box 270 P.O. Box 270 Hartford, Connecticut 06141-0270 Hartford, Connecticut 06141-0270 Post-effective Amendment No. 7 (amendment No. 9) in this File, as heretofore amended, is hereby further amended by adding the following paragraph to the end of Item 3: "7. NU represents that during the Authorization Period it will maintain its consolidated common equity as a percentage of total consolidated capitalization (inclusive of short-term debt) at 30% or higher. NU further incorporates by reference as if it were set forth herein the Investment Grade Condition specified in the Commission's Order dated June 30, 2003 in File no. 70-9755 (HCA Rel. No. 35-27693)." [SIGNATURE PAGE TO FOLLOW] SIGNATURES Pursuant to the requirements of the Public Utility Holding Company Act of 1935, as amended, the undersigned have duly caused this Amendment to be signed on behalf of each of them by the undersigned thereunto duly authorized. Date: September 29, 2003 NORTHEAST UTILITIES NU ENTERPRISES, INC. By: /s/ Randy A. Shoop Name: Randy A. Shoop Assistant Treasurer - Finance of Northeast Utilities Service Company, as Agent for the above Companies