-----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, L69Afo+9Vagt2espRrTrfuWbPFvXKr53AOtGHtmdjtRVo+ZyazBLes9UZoEaYYnQ EItdmbb0EL4foLQub15sVw== 0000065984-98-000072.txt : 19980401 0000065984-98-000072.hdr.sgml : 19980401 ACCESSION NUMBER: 0000065984-98-000072 CONFORMED SUBMISSION TYPE: U-9C-3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 19971231 FILED AS OF DATE: 19980331 SROS: NONE FILER: COMPANY DATA: COMPANY CONFORMED NAME: ENTERGY CORP /DE/ CENTRAL INDEX KEY: 0000065984 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 721229752 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: U-9C-3 SEC ACT: SEC FILE NUMBER: 074-00019 FILM NUMBER: 98580142 BUSINESS ADDRESS: STREET 1: 639 LOYOLA AVE CITY: NEW ORLEANS STATE: LA ZIP: 70113 BUSINESS PHONE: 5045295262 FORMER COMPANY: FORMER CONFORMED NAME: ENTERGY GSU HOLDINGS INC /DE/ DATE OF NAME CHANGE: 19940329 FORMER COMPANY: FORMER CONFORMED NAME: ENTERGY CORP /FL/ DATE OF NAME CHANGE: 19940329 FORMER COMPANY: FORMER CONFORMED NAME: MIDDLE SOUTH UTILITIES INC DATE OF NAME CHANGE: 19890521 U-9C-3 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM U-9C-3 QUARTERLY REPORT PURSUANT TO RULE 58 For the Quarterly Period Ended December 31, 1997 ENTERGY CORPORATION (a Delaware corporation) 639 Loyola Avenue New Orleans, Louisiana 70113 Telephone (504) 529-5262 _________________________________________________________________ (Name of registered holding company and address of principal executive offices) ITEM 1 - ORGANIZATION CHART N/A for the fourth calendar quarter of the fiscal year. ITEM 2 - ISSUANCES AND RENEWALS OF SECURITIES AND CAPITAL CONTRIBUTIONS
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 Entergy Common 3,000 Issue N/A Entergy N/A $500,000 or Holdings, stock shares Corporation $167 Inc.(EHI) per share
Entergy Corporation Entergy Power Marketing $70,000,000 Corp.(EPMC)
ITEM 3 - ASSOCIATE TRANSACTIONS Part I - Transactions Performed by Reporting Companies on Behalf of Associated Companies
Reporting Associate company company Types of Direct Indirect Total rendering receiving services costs costs Cost of amount services services rendered charged charged capital billed None None N/A -0- -0- N/A -0-
Part II - Transactions Performed by Associated Companies on Behalf of Reporting Companies
Associate Reporting company company Types of Indirect Total amount rendering receiving services Direct costs costs Cost of billed services services rendered charged charged capital Entergy EPMC Professional $ 3,197,000 $ -0- N/A $3,197,000* Enterprises, services and Inc.(EEI) back office support. EEI EHI Same as $ 239,341 $ -0- N/A $ 239,341* above.
*Includes Entergy Services, Inc. costs of $319,482 and $239,341 for services rendered indirectly through EEI to EPMC and EHI, respectively. ITEM 4 - SUMMARY OF AGGREGATE INVESTMENT
Investments in energy-related companies: Total consolidated capitalization as of December 31, 1997 $16,950,301,000 Line 1 Total capitalization multiplied by 15% (line 1 multiplied by 0.15) 2,542,545,150 Line 2 Greater of $50 million or line 2 2,542,545,150 Line 3 Total current aggregate investment: Energy marketing and brokering (EPMC) 97,500,000 Energy related technical and similar services (EHI) 500,000 --------------- Total current aggregate investment* 98,000,000 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) $2,444,545,150 Line 5 ===============
*Excludes other investments of $2,500,000 included under Item 5 that are excluded from the calculation of "Aggregate Investment" under rule 58. ITEM 5 - OTHER INVESTMENTS
Major line of Reason for energy-related Other investment in Other investment in difference in other business last U-9C-3 report this U-9C-3 report investment Energy marketing $2,500,000* $2,500,000* N/A and brokering (EPMC)
* EPMC received an order from the Federal Energy Regulatory Commission on October 12, 1995 determining that EPMC was an exempt wholesale generator under Section 32 of the Act. On July 29, 1996, EPMC issued and sold 250 shares of common stock to Entergy Corporation for $2,500,000 pursuant to the financing exemption set forth in Section 32. EPMC withdrew its exempt wholesale generator status on March 24, 1997. ITEM 6 - FINANCIAL STATEMENTS AND EXHIBITS A. Financial Statements N/A for the fourth calendar quarter of the fiscal year. B. Exhibits Certificate of filing of Form U-9C-3 for the 3rd Quarter of 1997 with interested state commissions and municipal regulator. SIGNATURE Pursuant to the requirements of the Public Utility Holding Company Act of 1935, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. Entergy Corporation By: /s/ Louis E. Buck Louis E. Buck Vice President, Chief Accounting Officer and Assistant Secretary Dated: March 30, 1998 EX-99 2 EXHIBIT - CERTIFICATE OF FILING A conformed copy of Entergy Corporation's Form U-9C-3 for the quarter ended September 30, 1997 was filed with the following:
Mary W. Cochran, Esq. Norma K. Scogin, Esq. Arkansas Public Service Commission Texas Attorney General's Office 1000 Center Street 300 West 15th Street/10th Floor Little Rock, AR 72201 Austin, TX 78701 Lawrence C. St. Blanc, Secretary Sherry A. Quirk, Esq. Louisiana Public Service Commission Verner, Liipfert, Bernhard, Post Office Box 91154 McPherson and Hand Baton Rouge, LA 70821-9154 901 15th Street, NW / Suite 700 Washington, DC 20005-2301 William Bruce McKinley, Esq. Frank Spencer, Esq. Mississippi Public Service Commission Assistant Attorney General Walter Sillers State Office Building Mississippi Attorney 550 High Street / 19th Floor General's Office Jackson, MS 39215 Post Office Box 22947 Jackson, MS 39225 George W. Fleming, Esq. Mr. James Galloway, Filing Clerk Mississippi Public Utilities Staff Central Records - PUCT Post Office Box 1174 7800 Shoal Creek Boulevard Jackson, MS 39215 Suite 400N Austin, TX 78757 Ms. Jacquelyn M. Frick, Director Hon. Emma J. Williams, Clerk of Council City Council Utilities Regulatory Office City of New Orleans Room 6E07, City Hall Room 1E04, City Hall 1300 Perdido Street 1300 Perdido Street New Orleans, LA 70112 New Orleans, LA 70112
Entergy Corporation By: /s/ Louis E. Buck Louis E. Buck Vice President, Chief Accounting Officer and Assistant Secretary Dated: March 30, 1998 -----END PRIVACY-ENHANCED MESSAGE-----