-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, LK06y+YnD/UC/gFYqAXTHX+d5y3JKlgRJqRyp8p4qLkxwvAZF/cD0F+NJTc+z0I5 v0GF6MQbmLoNSPwzEVBUcQ== 0000018540-00-000035.txt : 20000331 0000018540-00-000035.hdr.sgml : 20000331 ACCESSION NUMBER: 0000018540-00-000035 CONFORMED SUBMISSION TYPE: U-9C-3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 19991231 FILED AS OF DATE: 20000330 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CENTRAL & SOUTH WEST CORP CENTRAL INDEX KEY: 0000018540 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 510007707 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: U-9C-3 SEC ACT: SEC FILE NUMBER: 074-00017 FILM NUMBER: 587275 BUSINESS ADDRESS: STREET 1: 1616 WOODALL RODGERS FRWY CITY: DALLAS STATE: TX ZIP: 75202 BUSINESS PHONE: 2147771000 U-9C-3 1 4TH QUARTER 1999 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM U-9C-3 QUARTERLY REPORT PURSUANT TO RULE 58 FOR THE QUARTER ENDED DECEMBER 31, 1999 Central and South West Corporation (CSW) (Name of registered holding company) 1616 Woodall Rodgers Freeway Dallas, Texas 75202 (Address of principal executive offices) ITEM 1 - ORGANIZATION CHART Item 1 is only required to be reported for the first three calendar quarters of the fiscal year. ITEM 2 - ISSUANCES AND RENEWALS OF SECURITIES AND CAPITAL CONTRIBUTIONS
Principal Person to Consideration Company Type of amount of Issue or Cost of whom security Collateral given received for issuing security security issued security renewal capital was issued with security each security - ---------------- --------------- ------------ --------- --------- -------------- ---------------- -------------- (000's) DECCO Loan note $3,820 CSW Energy Eastex Cogeneration LP Loan note 11,491 CSW Energy Frontera Generation, LP Loan note 13,460 CSW Energy CSW Power Marketing, Inc. Loan Note 241 CSW Energy Utility Data Non-voting Public Resources, Inc. convertible Service preferred 500 Company of stock Oklahoma Powerware Non-voting Public Solutions, Inc. convertible Service preferred 250 Company of stock Oklahoma Nuvest, L.L.C. Membership units 22,300 ESI
Company Company Amount of contributing receiving capital capital capital contribution - ---------------- ------------- ------------ (000's) None ITEM 3 - ASSOCIATE TRANSACTIONS Part I - Transactions performed by reporting companies on behalf of associate companies
Direct Indirect Reporting company Associate company Types of costs costs Cost of Total rendering services receiving services services rendered charged charged capital amount billed - -------------------- ------------------- ------------------ --------- --------- --------- -------------- (000's) (000's) (000's) EnerShop, Inc. CSW Power Lease Marketing, Inc. Management 5 5 EnerShop, Inc. West Texas Energy Utilities Conversation Services 9(a) 9(a) CSW Power EnerShop, Inc. Lease Marketing, Inc. Management 51 51 Utility Data Central and South Pricing and Resources, Inc. West Services, Billing 138 138 Inc. Services Nuvest, L.L.C. South Texas Staffing 1,360 1,360 Project Nuvest, L.L.C. Central and South Staffing West Services, 161 161 Inc.
(a) Amount shown is for current quarter only. Cumulative service amounts at December 31, 1999 for total $3,293. Part II - Transactions performed by associate companies on behalf of reporting companies
Direct Indirect Reporting company Associate company Types of costs costs Cost of Total rendering services receiving services services rendered charged charged capital amount billed - -------------------- ------------------- ------------------ --------- --------- --------- -------------- (000's) (000's) (000's) CSW Power EnerShop, Inc. Lease Marketing, Inc. Management $51 $51 EnerShop, Inc. CSW Power Lease Marketing, Inc. Management 5 5 CSW Energy, Inc. Orange Plant 481 $ 181 662 Cogeneration, LP services CSW Energy, Inc. Polk Plant 361 176 537 Cogeneration, LP services CSW Services Sweeny International, Inc. Cogeneration, LP Plant 506 239 745 services CSW Dev I, Inc. Polk Plant 105 0 105 Cogeneration, LP Services CSW Energy, Inc. Eastex Plant 31 44 75 Cogeneration, LP Services
For other associate company transactions, please refer to the most recent annual report on Form U-13-60 filed by Central and South West Corporation with the Securities and Exchange Commission. ITEM 4 - SUMMARY OF AGGREGATE INVESTMENT Investments in energy-related companies (thousands): Total consolidated capitalization as of December 31, 1999 $7,857,321 line 1 Total capitalization multiplied by 15% 1,178,598 line 2 (line 1 multiplied by 0.15) Greater of $50 million or line 2 1,178,598 line 3 Total current aggregate investment: (thousands)(Beginning 4/1/97) (categorized by major line of energy-related business) Energy-related Category 1: Energy Services 16 Energy-related Category 5: Energy Marketing 29 Energy-related Category 7: Maintenance Services 15 Energy-related Category 8: Qualifying Facility 75 Energy-related Categories 2,3,4,6,9,10 0 Total current aggregate investment 135 line 4 --------- Difference between the greater of $50 million or 15% of capitalization and the total aggregate investment of the registered holding company system (line 3 less line 4) $1,178,463 line 5 ========= Investments in gas-related companies: Total current aggregate investment: (Beginning 4/1/97) (categorized by major line of energy-related business) Gas-related business Categories 1 and 2 -- Total current aggregate investment $0 ========= ITEM 5 - OTHER INVESTMENTS
Major line of Other Other energy-related investment in investment in Reason for difference in other investment business last U-9C-3 this U-9C-3 report report - -------------------- ---------------- ----------------- ------------------------------------------------- (000's) (000's) Energy services $ 2,696 $0 Amounts invested prior to April 1, 1997 are excluded from Item 4 Maintenance 0 0 services Qualifying facility $ 194,644 0 Amounts invested prior to April 1, 1997 are excluded from Item 4
ITEM 6 - FINANCIAL STATEMENTS AND EXHIBITS Financial Statements Financial statements are only required to be provided for the first three calendar quarters of the fiscal year. Exhibits (Exhibits B, C, D & E are filed confidentially under separate cover) - ------------------------------------------------------------------------------ Exhibit A - Certificate of Central and South West Corporation Exhibit B - Energy Conservation Measure, Utility/Energy Service Company Agency Agreement between West Texas Utilities and Enershop. Exhibit C - PowerPrice 2000 License and Services Agreement between Utility Data Resources and Central and South West Services Corporation Exhibit D1* - Transaction contract (#ST401078) between Nuvest, L.L.C. and the South Texas Project. Exhibit D1.1* - Amendment to contract #ST401078 Exhibit D2* - Transaction contract (#ST401311) between Nuvest, L.L.C. and the South Texas Project. Exhibit D2.1* - Amendment to contract #ST401311 Exhibit E* - Transaction contract (#ENG-1669) between Nuvest, L.L.C. and Central and South West Services, Inc. * Note: Contracts submitted are the original plus the latest modification or amendment to each contract. Please contact Ms. Susan Parker at (214) 777-3682 with inquiries concerning this report. SIGNATURE Central and South West Corporation /s/ Lawrence B. Connors By: Lawrence B. Connors (Name) Controller (Title) March 30, 2000 (Date) EX-99.A 2 EXHIBIT A Exhibit A CENTRAL AND SOUTH WEST CORPORATION CERTIFICATE The undersigned certifies that he is the duly designated and acting Controller of Central and South West Corporation, a Delaware corporation, and that a conformed copy of the Quarterly Report on Form U-9C-3 shall be filed with the specific State Commissions that have jurisdiction over the retail rates of the public-utility companies that are associate companies of any of the reporting companies. The names and addresses of the specific State Commissions are: Arkansas Public Service Commission 1000 Center P. O. Box 400 Little Rock, AR 72203-0400 Louisiana Public Service Commission One American Place P. O. Box 91154 Baton Rouge, LA 70821-9154 Oklahoma Corporation Commission 2101 N. Lincoln Blvd. P. O. Box 52000-2000 Oklahoma City, OK 73152-2000 Public Utility Commission of Texas 1701 N. Congress Avenue Austin, TX 78701 IN WITNESS WHEREOF, I have hereunto set my hand as of the 30th day of March, 2000. /s/ Lawrence B. Connors Lawrence B. Connors Controller -----END PRIVACY-ENHANCED MESSAGE-----