-----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, U5lphswTFB2Tm0VByzh5ecw+gGA+OralT3E6Dvh5iajKFVpRNRP4tyLUjSIRgZJZ 2w9et8ggbZ20FbnOXzdQYg== 0000065984-98-000085.txt : 19980602 0000065984-98-000085.hdr.sgml : 19980602 ACCESSION NUMBER: 0000065984-98-000085 CONFORMED SUBMISSION TYPE: U-9C-3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980331 FILED AS OF DATE: 19980601 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: 98640434 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 March 31, 1998 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
Name of Energy or gas Percentage of reporting Related Date of State of Voting company company organization organization securities held Nature of business Entergy Power Energy related May 17, 1995 Delaware a 100% The brokering and Marketing business owned subsidiary of marketing of energy Corporation Entergy Corporation commodities, (EPMC) including but not limited to electricity, natural or manufactured gas and other combustible fuels ("Energy marketing and brokering"). See below for description of the activities during the reporting period. Entergy Energy related November 3, Delaware a 100% The providing of Business business 1997 owned subsidiary of miscellaneous energy Solutions, Inc. Entergy Corporation related services. (EBSI) * (f/k/a Entergy Holdings, Inc.)
EPMC Activities During the quarterly period ended March 31, 1998, EPMC engaged in the business of brokering and marketing of energy commodities, including but not limited to electricity, natural or manufactured gas, and other combustible fuels. These services were provided to electric utilities, power marketers, electric and municipal cooperatives, and various other customers. EBSI Activities EBSI is still in the formative stage of its business, and has generated no revenue as of the end of the quarterly period ended March 31, 1998. ITEM 2 - ISSUANCES AND RENEWALS OF SECURITIES AND CAPITAL CONTRIBUTIONS
Company Type of Principal Issue Person to whom Collateral Consideration issuing security amount of or Cost of security given with received for security issued security renewal capital was issued security each security None N/A N/A N/A N/A N/A N/A N/A
Company contributing capital Company receiving capital Amount of capital contribution Entergy Corporation EBSI $50,000
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 rendering receiving services Direct costs costs Cost of amount services services rendered charged charged capital billed Entergy EPMC Professional $ 3,041,000 $ -0- N/A $3,041,000* Enterprises, services and Inc.(EEI) back office support. EEI EBSI Same as $ 161,883 $ -0- N/A $ 161,883* above.
* Includes Entergy Services, Inc. costs of $247,659 and $161,883 for services rendered indirectly through EEI to EPMC and EBSI, respectively. ITEM 4 - SUMMARY OF AGGREGATE INVESTMENT
Investments in energy-related companies: Total consolidated capitalization as of March 31, 1998 $16,763,879,000 Line 1 Total capitalization multiplied by 15% (line 1 multiplied by 0.15) 2,514,581,850 Line 2 Greater of $50 million or line 2 2,514,581,850 Line 3 Total current aggregate investment: Energy marketing and brokering (EPMC) 97,500,000 Energy related technical and similar services (EBSI) 550,000 -------------- Total current aggregate investment* 98,050,000 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) $2,416,531,850 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
Reason for Major line of energy- Other investment in Other investment in difference in related business last U-9C-3 report this U-9C-3 report other investment Energy marketing and $2,500,000* $2,500,000* N/A 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 Filed under confidential treatment pursuant to Rule 104(b). B. Exhibits Certificate of filing of Form U-9C-3 for the 4th 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: June 1, 1998 EXHIBIT - CERTIFICATE OF FILING A conformed copy of Entergy Corporation's Form U-9C-3 for the quarter ended December 31, 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 OfficeCity 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: June 1, 1998 -----END PRIVACY-ENHANCED MESSAGE-----