-----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, GENkvSuBjDUEMMLMJYXg/SNJ3Ety1Mj4B0nNDp/JRr7pajF3pXqvApmA3pcJGlVk IMizn9FjrtktWcMO+x9Zow== 0000004904-01-500144.txt : 20010531 0000004904-01-500144.hdr.sgml : 20010531 ACCESSION NUMBER: 0000004904-01-500144 CONFORMED SUBMISSION TYPE: U-9C-3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010331 FILED AS OF DATE: 20010530 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: 1650823 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 aepes.txt 1ST QUARTER 2001 File No. 074-00015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM U-9C-3 QUARTERLY REPORT For the quarter ended March 31, 2001 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 March 31, 2001
CONTENTS Page ITEM 1 - Organization Chart 1-3 ITEM 2 - Issuances and Renewals of Securities and Capital Contributions 3-4 ITEM 3 - Associated Transactions 5 ITEM 4 - Summary of Aggregate Investment 6 ITEM 5 - Other Investments 6 ITEM 6 - Financial Statements and Exhibits 7-65 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 Polk Power Partners, L.P. (Polk Cogen) Energy February 1992 Delaware 46.25% Qualifying facility Orange Cogeneration Limited Partnership (Orange Cogen) Energy February 1993 Delaware 50% Qualifying facility Brush Cogeneration Partners (Brush Cogen) Energy November 1991 Delaware 47.25% Qualifying facility Eastex Cogeneration Limited Partnership Energy September 1998 Delaware 50% Qualifying facility (ownership through various intermediate holding company subsidiaries originating with CSW Development-I, Inc/CSW Energy Inc./CSW) Thermo Cogeneration Partnership, L.P. (Thermo Cogen) Energy April 1993 Delaware 50% Qualifying facility (ownership through intermediate holding company CSW Ft. Lupton, Inc./CSW Energy Inc./CSW) Sweeny Cogeneration Limited Partnership (Sweeny Cogen) Energy October 1995 Delaware 50% Qualifying facility (ownership through various intermediate holding company subsidiaries originating with CSW Sweeny GP I, Inc. and CSW Sweeny LP I, Inc./CSW Energy Inc./CSW) Diversified Energy Contractors LLC (DECCO) Energy July 1997 Delaware 100% Maintenance services (CSW Energy Inc. / CSW) CSW Power Marketing, Inc. Energy March 1996 Delaware 100% Energy marketing (CSW Energy Inc. / CSW) CSW Services International, Inc. Energy March 1997 Delaware 100% Energy management (CSW Energy Inc. / CSW) Powerware Solutions, Inc. Energy February 1994 Texas 2.68% Energy Mgmt Systems (PSO Investment) for water utilities Utility Data Resources, Inc. Energy December 1997 Delaware 4.5% Electricity pricing (CSW Energy Services, Inc. Investment) mgmt consulting and software Nuvest, LLC Energy March 1996 Oklahoma 93% Staff augmentation (ESI Investment) to power plants AEMT, Inc. Energy December 1997 Florida 0% Power conditioning (PSO Investment) product mfg and sales CSW Energy Services, Inc. (ESI) Energy September 1997 Delaware 100% Energy marketing (CSW) EnerShop Energy September 1995 Delaware 100% Energy marketing (CSW) Services Energy Trading Platform Energy April 2000 Delaware 16.7% Energy marketing Holding Company, Inc. (AEP Energy Services) Power-span Corp Energy Delaware 9.8% Pollution Control (AEP Pro-Serv Inc) Technology Development PHPK Technologies Inc. Energy July 1991 Ohio 40.4% Cryogenic and Vacuum (AEP Investments) Equipment Manufacture and Service Altra Energy Technology Energy December 1997 Delaware 5% Energy marketing (AEP Investments) Software AEP C&I Company, LLC Energy October 2000 Delaware 100% Marketing of natural (AEP) gas, electricity and energy related products AEP Gas Power GP, LLC Energy December 2000 Delaware 100% Distributed (AEP C&I Company LLC) generation products AEP Gas Power System GP, LLC Energy December 2000 Delaware 75% Distributed (AEP Gas Power GP, LLC) generation products AEP Ohio C&I Retail Company LLC Energy October 2000 Delaware 100% Marketing of natural (AEP C&I Company LLC) gas, electricity and energy related products AEP Retail Energy, LLC Energy June 2000 Delaware 100% Marketing of (AEP) electricity AEP T&D Services, LLC Energy December 2000 Delaware 100% Services related to (AEP) transmission and distribution AEP Texas C&I Retail GP, LLC Energy December 2000 Delaware 100% Marketing of natural (AEP C&I Company LLC) gas, electricity and energy related products AEP Texas Retail GP, LLC Energy December 2000 Delaware 100% Marketing of natural (AEP) gas, electricity and energy related products Mutual Energy LLC Energy December 1999 Delaware 100% Marketing of natural (AEP) gas, electricity and energy related products Mutual Energy Service Company LLC Energy September 2000 Delaware 100% Marketing of natural (Mutual Energy LLC) gas, electricity and energy related products
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) None
FINANCING AMONG ASSOCIATE COMPANIES:
Company Type of Principal Person to Issuing Security Amount of Issue or Cost of Whom Security Security Issued Security Renewal Capital Was Issued - -------- -------- -------- -------- ------- ------------- Eastex Cogeneration LP Loan Note 11,692 - - CSW Energy, Inc. CSW Power Marketing, Inc. Loan Note 224 - - CSW Energy, Inc. Note:Above excludes short-term advances from affiliates. However, these advances are hereinafter included in the aggregate investment reported in Item 4.
CAPITAL CONTRIBUTIONS: Company Company Contributing Receiving Amount of Capital Capital Capital Contributions - ------------- --------- --------------------- (in thousands) AEP Gas Power GP LLC AEP Gas Power Systems, LLC 1,261
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 - --------- --------- -------- ------- ------- ---------- ------ Nuvest, LLC South Texas Project Staff $ 2,080 - - $ 2,080 Nuvest, LLC D.C. Cook Staff 4,029 - - 4,029 CSW Services International Inc. Frontera Plant Services 1,099 240 - 1,339
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 & Marketing $16,614 $1,797 $ - $18,411 AEP Resources Gas Holding Company AEPES Administrative 7,651 - - 7,651 AEP Pro Serv, Inc. AEPES Administrative 65 - - 65 CSW Energy, Inc. Polk Power Partners, L.P. Plant Services 410 175 - 585 CSW Energy, Inc. Orange Cogeneration L.P. Plant Services 410 171 - 581 CSW Dev I, Inc. Polk Power Partners, L.P. Plant Services 135 - - 135 CSW Energy, Inc. Eastex Cogeneration L.P. Plant Services 1,594 152 - 1,746 CSW Energy, Inc. Frontera Cogeneration L.P. Plant Services 41 - - 41 CSW Services International Inc. Sweeny Cogeneration L.P. Plant Services 684 209 - 893 ------- ------ ---- ------- Total $27,604 $2,504 $ - $30,108 ======= ====== ==== =======
ITEM 4 - SUMMARY OF AGGREGATE INVESTMENT
Investments in energy-related companies: (in thousands) Total consolidated capitalization as of March 31, 2001 $23,000,365(a) Line 1 Total capitalization multiplied by 15% (line 1 multiplied by 0.15) 3,450,055 Line 2 Greater of $50 million or line 2 $3,450,055 Line 3 Total current aggregate investment: (categorized by major line of energy-related business) Energy-related Category 1: Energy Services 17,889 Energy-related Category 5: Energy Marketing 573,193 Energy-related Category 7: Maintenance Services 52,513 Energy-related Category 8: Qualifying Facility 349,780 Energy-related Category 2,3,4,6,9,10 20,000 Total current aggregate investment 1,013,375 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) $2,436,680 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 - ----------------- ------------------ ------------------ ------------------------ Energy services Invested prior to April 1, 1997 $ 2,696 $ 2,696 Amounts are excluded from Item 4 Maintenance services 0 0 Qualifying facility Invested prior to April 1, 1997 $194,644 $194,644 Amounts are excluded from Item 4
ITEM 6 - FINANCIAL STATEMENTS AND EXHIBITS List all financial statements and exhibits filed as a part of this report. Financial Statements: Balance sheets for period ended March 31, 2001 are filed confidentially under a separate cover for: AEP Energy Services, Inc. AEP Retail Energy, LLC CSW Development-I, Inc. (consolidated) CSW Ft. Lupton, Inc. Sweeny Companies (consolidated) Enershop, Inc. CSW Energy Services, Inc. CSW Power Marketing, Inc. Diversified Energy Contractors Company (DECCO) CSW Services International Eastex Cogeneration LP Nuvest, LLC AEP C&I Company, LLC AEP Gas Power GP, LLC AEP Gas Power System GP, LLC AEP Ohio C&I Retail Company AEP Retail Energy, LLC AEP T&D Services, LLC AEP Texas C&I Retail GP, LLC AEP Texas Retail GP, LLC Mutual Energy LLC Mutual Energy Service Company Income Statements as of the three months ended March 31, 2001 are filed confidentially under separate cover for: AEP Energy Services, Inc. AEP Retail Energy, LLC CSW Development-I, Inc. (consolidated) CSW Ft. Lupton, Inc. Sweeny Companies (consolidated) Enershop, Inc. CSW Energy Services, Inc. CSW Power Marketing, Inc. Diversified Energy Contractors Company (DECCO) CSW Services International Eastex Cogeneration LP Nuvest, LLC AEP C&I Company, LLC AEP Gas Power GP, LLC AEP Gas Power System GP, LLC AEP Ohio C&I Retail Company AEP Retail Energy, LLC AEP T&D Services, LLC AEP Texas C&I Retail GP, LLC AEP Texas Retail GP, LLC Mutual Energy LLC Mutual Energy Service Company 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, Arkansas, Louisiana, Oklahoma, Michigan and Texas 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 December 31, 2000 (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 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 2102 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 29th day of May, 2001. /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 May 29, 2001 -----END PRIVACY-ENHANCED MESSAGE-----