-----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, MLa94WR3Mct/dZcEdM7A94RIR4QXxaAKQWl389cuyjxAEcFFZYHXYefd3+ZfrSvj h+hYGDz4uWhDnW8daoEZ0g== 0000950129-02-001696.txt : 20020415 0000950129-02-001696.hdr.sgml : 20020415 ACCESSION NUMBER: 0000950129-02-001696 CONFORMED SUBMISSION TYPE: NT 10-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20020402 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RELIANT ENERGY INC CENTRAL INDEX KEY: 0000048732 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 740694415 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NT 10-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-03187 FILM NUMBER: 02599387 BUSINESS ADDRESS: STREET 1: 1111 LOUISIANA CITY: HOUSTON STATE: TX ZIP: 77002 BUSINESS PHONE: 7132073000 MAIL ADDRESS: STREET 1: 611 WALKER CITY: HOUSTON STATE: TX ZIP: 77002 FORMER COMPANY: FORMER CONFORMED NAME: HOUSTON INDUSTRIES INC DATE OF NAME CHANGE: 19970807 FORMER COMPANY: FORMER CONFORMED NAME: HOUSTON LIGHTING & POWER CO DATE OF NAME CHANGE: 19920703 NT 10-K 1 h95663nnt10-k.txt RELIANT ENERGY, INCORPORATED - 12-31-2001 UNITED STATES SECURITIES AND EXCHANGE COMMISSION SEC File Number Washington, D.C. 20549 001-03187 FORM 12b-25 CUSIP Number NOTIFICATION OF LATE FILING [ ] (Check One): [X] Form 10-K [ ] Form 20-F [ ] Form 11-K [ ] Form 10-Q [ ] Form N-SAR For Period Ended: December 31, 2001 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 20-F [ ] Transition Report on Form 11-K [ ] Transition Report on Form 10-Q [ ] Transition Report on Form N-SAR For the Transition Period Ended: NOTHING IN THIS FORM SHALL BE CONSTRUED TO IMPLY THAT THE COMMISSION HAS VERIFIED ANY INFORMATION CONTAINED HEREIN. If the notification relates to a portion of the filing checked above, identify the Item(s) to which the notification relates: PART I - REGISTRANT INFORMATION Full Name of Registrant: Reliant Energy, Incorporated Former Name if Applicable: Houston Industries Incorporated Address of Principal Executive Office (Street and Number): 1111 Louisiana City, State and Zip Code: Houston, Texas 77002 -1- PART II - RULES 12b-25(b) AND (c) [X] If the subject report could not be filed without unreasonable effort or expense and the registrant seeks relief pursuant to Rule 12b-25(b), the following should be completed. (Check box if appropriate) (a) The reasons described in reasonable detail in Part III of this form could not be eliminated without unreasonable effort or expense; (b) The subject annual report, semi-annual report, transition report on Form 10-K, Form 20-F, 11-K or Form N-SAR, or portion thereof, will be filed on or before the fifteenth calendar day following the prescribed due date; or the subject quarterly report or transition report on Form 10-Q, or portion thereof will be filed on or before the fifth calendar day following the prescribed due date; and (c) The accountant's statement or other exhibit required by Rule 12b-25(c) has been attached if applicable. PART III - NARRATIVE State below in reasonable detail the reasons why Forms 10-K, 20-F, 11-K, 10-Q, N-SAR, or the transition report or portion thereof, could not be filed within the prescribed time period. On February 5, 2002, Reliant Energy, Incorporated (the "Company") announced that it would be restating its earnings for the second and third quarter of 2001, and that as a result of the restatement, it would be delaying the release of its fourth quarter and year 2001 earnings. The restatement related to a correction in the accounting treatment for a series of four structured transactions that were inappropriately accounted for as cash flow hedges for the period of May 2001 through September 2001, rather than as derivatives with changes in fair value recognized through the income statement. The Company's management, as well as its accounting and legal resources, were very involved in the restatement process through mid-March 2002, at which time the Company released its fourth quarter and year 2001 earnings. As part of the restatement, these resources were also focused on amending the Quarterly Reports on Form 10-Q for the quarters ended June 30, 2001 and September 30, 2001, as well as preparing and filing numerous reports with the Securities and Exchange Commission that were related to the restatement, rather than on preparing the Annual Report on Form 10-K for the year ended December 31, 2001 (the "Form 10-K"). For the reasons set forth herein, and because the attention of the relevant personnel that prepare the Form 10-K was diverted from that task, the Company is not able to timely file its Form 10-K without unreasonable or undue effort, expense or burden. -2- PART IV - OTHER INFORMATION (1) Name and telephone number of person to contact in regard to this notification Mary P. Ricciardello (713) 207-3000 (Name) (Area Code) (Telephone Number) (2) Have all other periodic reports required under Section 13 or 15(d) of the Securities Exchange Act of 1934 or Section 30 of the Investment Company Act of 1940 during the preceding 12 months or for such shorter period that the registrant was required to file such report(s) been filed? If the answer is no, identify report(s). [X] Yes [ ] No (3) Is it anticipated that any significant change in results of operations from the corresponding period for the last fiscal year will be reflected by the earnings statements to be included in the subject report or portion thereof? [X] Yes [ ] No If so, attach an explanation of the anticipated change, both narratively and quantitatively, and, if appropriate, state the reasons why a reasonable estimate of the results cannot be made. For a discussion of significant changes in the registrant's 2001 results of operations as compared to its 2000 results of operations, please read the registrant's Current Report on Form 8-K, which Report was filed with the Securities and Exchange Commission on March 15, 2002. The Form 8-K and exhibit 99.1 thereto are incorporated herein by reference. Reliant Energy, Incorporated -------------------------------------------- (Name of Registrant as Specified in Charter) has caused this notification to be signed on its behalf by the undersigned hereunto duly authorized. Date: April 1, 2002 By: /s/ MARY P. RICCIARDELLO ---------------------------------- Mary P. Ricciardello Senior Vice President and Chief Accounting Officer -3- -----END PRIVACY-ENHANCED MESSAGE-----