-----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, N5VU9G/K0iBmHSiiqSJ8RrOv2CrgMFusCmlteMAlVKQLE+gYnsj0KxV5XNX8Rq8q nFwtsFeHVRzbMGZWfBA9Rw== 0000004904-00-000046.txt : 20000331 0000004904-00-000046.hdr.sgml : 20000331 ACCESSION NUMBER: 0000004904-00-000046 CONFORMED SUBMISSION TYPE: U-9C-3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991231 FILED AS OF DATE: 20000330 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AMERICAN ELECTRIC POWER COMPANY INC CENTRAL INDEX KEY: 0000004904 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 134922640 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: U-9C-3 SEC ACT: SEC FILE NUMBER: 074-00015 FILM NUMBER: 584998 BUSINESS ADDRESS: STREET 1: 1 RIVERSIDE PLZ CITY: COLUMBUS STATE: OH ZIP: 43215 BUSINESS PHONE: 6142231000 FORMER COMPANY: FORMER CONFORMED NAME: KINGSPORT UTILITIES INC DATE OF NAME CHANGE: 19660906 U-9C-3 1 File No. 074-00015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM U-9C-3 QUARTERLY REPORT For the quarter ended December 31, 1999 Filed Pursuant to Rule 58 of the Public Utility Holding Company Act of 1935 by AMERICAN ELECTRIC POWER COMPANY, INC. 1 Riverside Plaza, Columbus, Ohio 43215 AMERICAN ELECTRIC POWER COMPANY, INC. FORM U-9C-3 For the Quarter Ended December 31, 1999
CONTENTS Page ITEM 1 - Organization Chart ITEM 2 - Issuances and Renewals of Securities and Capital Contributions ITEM 3 - Associated Transactions ITEM 4 - Summary of Aggregate Investment ITEM 5 - Other Investments ITEM 6 - Financial Statements and Exhibits Statements of Income Balance Sheet Exhibits
ITEM 1 - ORGANIZATION CHART
Name Energy or Percentage of Reporting gas-related Date of State of Of Voting Nature of Company Company Organization Organization Securities Held Business AEP Energy Services, Energy September 24, 1996 Ohio 100% To broker and market Inc. (AEPES) energy commodities
ITEM 2 - ISSUANCES AND RENEWALS OF SECURITIES AND CAPITAL CONTRIBUTIONS SECURITIES:
Company Type of Principal Person to Collateral Consideration Issuing Security Amount of Issue or Cost of Whom Security Given With Received for Security Issued Security Renewal Capital Was Issued Security Each Security (in thousands) (in thousands) AEPES Short-term Various None Debt $15,050 Issue N/A Financial $15,050 Institutions
ITEM 3 - ASSOCIATED TRANSACTIONS Part I -- Transactions performed by reporting companies on behalf of associate companies
Reporting Associate Company Company Types of Direct Indirect Total Rendering Receiving Services Costs Costs Cost Amount Services Services Rendered Charged Charged of Capital Billed NONE Part II -- Transactions performed by associate companies on behalf of reporting companies Associate Reporting Company Company Types of Direct Indirect Total Rendering Receiving Services Costs Costs Cost Amount Services Services Rendered Charged Charged of Capital Billed (in thousands) American Electric Power Service Corporation AEPES Administrative and Marketing $(1,563) $980 $ - $ (583) AEP Resources Gas Holding Company AEPES Administrative 4,970 - - 4,970 Total $ 3,407 $980 $ - $4,387
ITEM 4 - SUMMARY OF AGGREGATE INVESTMENT
Investments in energy-related companies: (in thousands) Total consolidated capitalization as of December 31, 1999 $13,504,875(a) Line 1 Total capitalization multiplied by 15% (line 1 multiplied by 0.15) 2,025,731 Line 2 Greater of $50 million or line 2 $2,025,731 Line 3 Total current aggregate investment: (categorized by major line of energy-related business) Energy-related business 337,203 Total current aggregate investment 337,203 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) $1,688,528 Line 5 (a) Includes short-term debt. Investments in gas-related companies: NONE ITEM 5 - OTHER INVESTMENTS Major Line Other Other of Energy-Related Investment in Last Investment in This Reason for Difference in Business U-9C-3 Report U-9C-3 Report Other Investment NONE
ITEM 6 - FINANCIAL STATEMENTS AND EXHIBITS List all financial statements and exhibits filed as a part of this report. Financial Statements: Not Required. Exhibits: 1. Certificate stating that a copy of the U-9C-3 for the previous quarter has been filed with the Ohio, Kentucky, Virginia, West Virginia, Tennessee, Indiana and Michigan State Commissions. 2. Copies of other contracts required by Item 3 - filed under confidential treatment pursuant to Rule 104 (b). CERTIFICATE The undersigned certifies that he is the duly designated and acting Treasurer of American Electric Power Company, Inc., a New York corporation ("AEP"), and that: AEP's Quarterly Report on Form U-9C-3 filed pursuant to Rule 58 for the quarter ended September 30, 1999 (the "Quarterly Report on Form U-9C-3") was filed with each state commission having jurisdiction over the retail rates of the public utility companies that are associate companies of any of the reporting companies (the "Specific State Commissions"). The names and addresses of the Specific State Commissions are: Indiana Utility Regulatory Commission 302 West Washington Street, E 306 Indianapolis, Indiana 46204 Kentucky Public Service Commission 730 Schenkel Lane P.O. Box 615 Frankfort, Kentucky 40602 Michigan Public Service Commission 6545 Mercantile Way P.O. Box 30221 Lansing, Michigan 48909 Public Service Commission of West Virginia 201 Brooks Street P.O. Box 812 Charleston, West Virginia 25323 Tennessee Regulatory Authority 460 James Robertson Parkway Nashville, Tennessee 37243-0505 The Public Utilities Commission of Ohio 180 East Broad Street Columbus, Ohio 43215 Virginia State Corporation Commission 1300 East Main Street P.O. Box 2118 Richmond, Virginia 23216 IN WITNESS WHEREOF, I have hereunto set my hand as of the ____________. /s/ A. A. Pena A. A. Pena Treasurer SIGNATURE The undersigned system company has duly caused this quarterly report to be signed on its behalf by the undersigned, thereunto duly authorized, pursuant to the requirements of the Public Utility Holding Company Act of 1935. AMERICAN ELECTRIC POWER COMPANY, INC. By /s/ A.A. Pena A.A. Pena Treasurer March 28, 2000 -----END PRIVACY-ENHANCED MESSAGE-----