U-9C-3 1 u9c3-063004.txt 2Q 2004 REPORT U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM U-9C-3 QUARTERLY REPORT PURSUANT TO RULE 58 OF THE PUBLIC UTILITY HOLDING COMPANY ACT OF 1935 For the quarterly period ended June 30, 2004 Ameren Corporation (Name of Registered Holding Company) 1901 Chouteau Avenue, St. Louis, MO 63103 (Address of Principal Executive Offices) Inquiries concerning this Form U-9C-3 may be directed to: Joan E. Bannon Ameren Corporation P.O. Box 66149 St. Louis, MO 63166-6149 314-554-3430 AMEREN CORPORATION FORM U-9C-3 For the Quarter Ended June 30, 2004 Table of Contents
Page ---- Item 1. Organization Chart 1 Item 2. Issuances and Renewals of Securities and Capital Contributions 1 Item 3. Associate Transactions 1 Item 4. Summary of Aggregate Investment 4 Item 5. Other Investments 4 Item 6. Financial Statements and Exhibits 4 SIGNATURE 5 CERTIFICATE 6
ITEM 1. - ORGANIZATION CHART Organizational chart to be filed in paper format as Exhibit 1.0 under Form SE. ITEM 2. - ISSUANCES AND RENEWALS OF SECURITIES AND CAPITAL CONTRIBUTIONS
Principal Collateral Consideration Company Type of Amount Company to Whom Given With Received for Issuing Security Security of Security Securities Were Issued Security Each Security ---------------- -------- ----------- ---------------------- ---------- ------------- Ameren ERC, Inc. Demand Note $16,990,000 Non-utility money pool Not Applicable Not Applicable Ameren Energy, Inc. Demand Note 9,170,000 Non-utility money pool Missouri Central Railroad Demand Note 5,500,000 Ameren ERC, Inc. Ameren Energy Fuels and Demand Note 12,125,000 Non-utility money pool Services Company Ameren Energy Demand Note 45,603,268 Non-utility money pool Marketing Co. CILCORP Energy Demand Note 560,000 Non-utility money pool Services Inc.
ITEM 3. - ASSOCIATE TRANSACTIONS Part I - Transactions performed by reporting companies on behalf of associate companies.
Reporting Associate Indirect Company Company Types of Direct Costs Cost Total Rendering Receiving Services Costs Charged of Amount Services Services Rendered Charged (Note 1) Capital Billed -------- -------- -------- ------- -------- ------- ------ Ameren Energy Ameren Corporation Fuel $ 93,345 $ 13,226 8.8399% $ 106,571 Fuels and Services Procurement Company Services Ameren Energy AmerenUE Fuel $ 956,327 $ 134,687 8.8399% $1,091,014 Fuels and Services Procurement Company Services Ameren Energy AmerenCIPS Fuel $ 153,863 $ 21,756 8.8399% $ 175,619 Fuels and Services Procurement Company Services Ameren Energy Ameren Energy Fuel $ 515,785 $ 72,377 8.8399% $ 588,162 Fuels and Services Generating Company Procurement Company Services Ameren Energy AmerenCILCO Fuel $ 171,447 $ 24,292 8.8399% $ 95,739 Fuels and Services Procurement Company Services Ameren Energy AmerenEnergy Fuel $ 190,711 $ 26,779 8.8399% $ 217,490 Fuels and Services Resources Procurement Company Generating Company Services Ameren Ameren Energy Misc. Services $ 13,901 $ 0 8.8399% $ 13,901 Energy, Inc. Marketing Company Ameren AmerenUE Energy $4,062,136 $ 0 8.8399% $4,062,136 Energy, Inc. Trading
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ITEM 3. - ASSOCIATE TRANSACTIONS (CONTINUED) Ameren Ameren Energy Energy $2,279,193 $ 0 8.8399% $2,279,193 Energy, Inc. Generating Company Trading Ameren Energy Ameren Services Misc. Services $ 73,679 $ 0 8.8399% $ 73,679 Marketing Company
Note 1: 12%-15% added to Direct charges on intercompany billing journal entries related to Ameren Energy Fuels and Services Company. Part II - Transactions performed by associate companies on behalf of reporting companies. Associate Reporting Indirect Company Company Types of Direct Costs Cost Total Rendering Receiving Services Costs Charged of Amount Services Services Rendered Charged (Note 2) Capital Billed -------- -------- -------- ------- -------- ------- ------ Ameren Ameren Energy Auditing, $ 393,311 $ 58,752 8.8399% $ 452,063 Services Company Fuels and Real Estate, Services Company Executive, Eng. & Const., Legal, Accounting, Human Resources, Corp. Communications, Investor Services, Information Technology, Energy Services, Tax, Industrial Relations, Supply Services Ameren Ameren Energy Auditing, $ 1,255,865 $ 165,051 8.8399% $1,420,916 Services Company Marketing Company Real Estate, Executive, Eng. & Const., Legal, Accounting, Human Resources, Corp. Communications, Investor Services, Information Technology, Energy Services, Tax, Industrial Relations, Supply Services Ameren Ameren Energy, Inc. Auditing, $ 367,550 $ 46,452 8.8399% $ 414,002 Services Company Real Estate, Executive, Eng. & Const., Legal, Accounting, Human Resources, Corp. Communications, Investor Services, Information Technology, Energy Services, Tax, Industrial Relations, Supply Services 2
ITEM 3. - ASSOCIATE TRANSACTIONS (CONTINUED) Ameren Ameren ERC, Inc. Auditing, $ 95,455 $ 10,520 8.8399% $ 105,975 Services Company Real Estate, Executive, Eng. & Const., Legal, Accounting, Human Resources, Corp. Communications, Investor Services, Information Technology, Energy Services, Tax, Industrial Relations, Supply Services Ameren CILCORP Energy Auditing, $ 58,193 $ 4,873 8.8399% $ 63,066 Services Company Services Inc. Real Estate, Executive, Eng. & Const., Legal, Accounting, Human Resources, Corp. Communications, Investor Services, Information Technology, Energy Services, Tax, Industrial Relations, Supply Services Ameren CILCORP Infra- Auditing, $ 23,863 $ 2,528 8.8399% $ 26,391 Services Company Services Inc. Real Estate, Executive, Eng. & Const., Legal, Accounting, Human Resources, Corp. Communications, Investor Services, Information Technology, Energy Services, Tax, Industrial Relations, Supply Services Ameren Ameren Energy Energy Services $1,028,876 $ 0 8.8399% $1,028,876 Services Company Marketing Company Ameren Ameren Energy, Inc. Energy Services $1,684,611 $ 0 8.8399% $1,684,611 Services Company AmerenUE Ameren Energy Energy Services $ 138,285 $ 0 8.8399% $ 138,285 Marketing Company AmerenCIPS Ameren Energy Energy Services $ 218,681 $ 0 8.8399% $ 218,681 Marketing Company AmerenCILCO Ameren Energy Misc. Services $ 4,226 $ 845 8.8399% $ 5,071 Fuels and Services Company AmerenCILCO Ameren ERC, Inc. Misc. Services $ 9,533 $ 1,907 8.8399% $ 11,440
3 Note 2: Charges from Ameren Services Company are charged on indirect corporate or indirect functional service requests. Each month the percentage of corporate service requests costs (or functional costs) to each company (or function) is determined based on their proportion of charges received from direct or indirect service requests in that month.
ITEM 4. - SUMMARY OF AGGREGATE INVESTMENT Investments in energy-related companies (in thousands): Total consolidated capitalization as of June 30, 2004 $9,818,000 Line 1 Total capitalization multiplied by 15% (Line 1 multiplied by 0.15) 1,472,700 Line 2 Greater of $50 million or Line 2 $1,472,700 Line 3 Total current aggregate investment: (categorized by major line of energy-related business) Energy-related Business Category V 54,323 Energy-related Business Category VII 34,615 ---------- Total current aggregate investment $88,938 Line 4 ---------- Difference between the greater of $50 million or 15% of $1,383,762 Line 5 capitalization and the total aggregate investment of the registered holding company system (Line 3 less Line 4) Investments in gas-related companies: NONE
ITEM 5. - OTHER INVESTMENTS Major Line of Energy-Related Other Investment in Other Investment in Reason for Difference Business Last U-9C-3 Report This U-9C-3 Report in Other Investment -------------- ------------------- ------------------- --------------------- Ameren Energy, Energy Marketing $450,000 $450,000 Inc. & Brokering
ITEM 6. - FINANCIAL STATEMENTS AND EXHIBITS A. Financial Statements: To be filed confidentially under Rule 104 as Exhibit 2.0. B. Exhibits: 1.0 Organization Chart required by Item 1. 2.0 Financial Statements required by Item 6.A. 3.0 Certificate as to filings with interested state commissions. Contracts required by Item 3. - NONE 4 SIGNATURE The undersigned registered holding company has duly caused this quarterly report to be signed on its behalf by the undersigned officer thereunto duly authorized pursuant to the requirements of the Public Utility Holding Company Act of 1935. August 26, 2004 Ameren Corporation By: /s/ Jerre E. Birdsong ----------------------------------- Jerre E. Birdsong Vice President and Treasurer 5 Exhibit 3.0 CERTIFICATE I certify that a copy of the foregoing was mailed via first class U. S. mail on this 26th day of August, 2004 to Ameren Corporation's interested state commissions whose names and addresses are listed below. Mr. Robert Schallenberg Director - Utility Services Division Missouri Public Service Commission P.O. Box 360 Jefferson City, MO 65102 Ms. Elizabeth A. Rolando, Chief Clerk Illinois Commerce Commission 527 East Capitol Avenue Springfield, IL 62701 Ms. Mary Selvaggio, Director Financial Accounting Division Illinois Commerce Commission 527 East Capitol Avenue Springfield, IL 62701 August 26, 2004 Ameren Corporation By:/s/ Ronald K. Evans ---------------------------------- Ronald K. Evans Managing Associate General Counsel Ameren Services Company 1901 Chouteau Avenue P. O. Box 66149 (MC-1310) St. Louis, MO 63166-6149 (314) 554-2156 (314) 554-4014 (fax) 6