-----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, WcHqaGwUnr2c2LrZ5EBgo24uBElyGXrM4holUNpWEmks2B+66n1b1TeEwQUDca2y lN38EEM10udIi+kgmoomag== 0000065984-02-000189.txt : 20020829 0000065984-02-000189.hdr.sgml : 20020829 20020829122611 ACCESSION NUMBER: 0000065984-02-000189 CONFORMED SUBMISSION TYPE: U-9C-3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20020630 FILED AS OF DATE: 20020829 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: 1935 Act SEC FILE NUMBER: 074-00019 FILM NUMBER: 02752251 BUSINESS ADDRESS: STREET 1: 639 LOYOLA AVE CITY: NEW ORLEANS STATE: LA ZIP: 70113 BUSINESS PHONE: 5045764000 MAIL ADDRESS: STREET 1: PO BOX 61000 CITY: NEW ORLEANS STATE: LA ZIP: 70161 FORMER COMPANY: FORMER CONFORMED NAME: MIDDLE SOUTH UTILITIES INC DATE OF NAME CHANGE: 19890521 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 U-9C-3 1 a17402.txt 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 June 30, 2002 ENTERGY CORPORATION (a Delaware corporation) 639 Loyola Avenue New Orleans, Louisiana 70113 Telephone (504) 576-4000 _________________________________________________________________ (Name of registered holding company and address of principal executive offices)
ITEM 1 - ORGANIZATION CHART Name of Percentage of reporting Energy or gas Date of State of voting company related company organization organization securities held Nature of business Entergy Energy related November 3, 1997 Delaware a 100% Holding company Holdings, business owned subsidiary investing in Inc. (EHI) of Entergy miscellaneous energy Corporation related companies. Entergy Energy related January 28, 1999 Delaware a 100% Production, sale, and Thermal, LLC business owned subsidiary distribution of (Entergy of EHI thermal energy Thermal) products. Entergy Energy related January 28, 1999 Delaware a 100% Energy management Business business owned subsidiary services. Solutions, of EHI LLC (EBS) Entergy Power Energy related February 25, 1999 Delaware a 100% Holding company Holdings USA business owned subsidiary investing in Corporation of Entergy qualifying (EPH) Corporation facilities. Entergy Power Energy related February 25, 1999 Delaware a 100% owned Development and RS business subsidiary of EPH ownership of Corporation qualifying (EPRS) facilities. TLG Services, Energy related December 30, 1986 Connecticut a 100% Provide field Inc. (TLG) business owned subsidiary services for the of Entergy decommissioning of Nuclear, Inc. fossil and nuclear plants. Entergy Energy related August 30, 2000 Texas a 99% limited Provide competitive Solutions business partner interest energy service and Ltd. (ESLTD) held by Entergy electric sales. Retail Holding Company and a 1% general partner interest held by Entergy Retail Texas, Inc.
ITEM 1 - ORGANIZATION CHART (cont'd) Name of Percentage of reporting Energy or gas Date of State of voting company related company organization organization securities held Nature of business Entergy-Koch Energy related January 25, 2001 Delaware a 49.5% limited Energy marketing and Trading, LP business partner interest brokering. (EKTLP) and a 0.5% general partner interest, in each case indirectly held by Entergy Power International Holding Corp. EWO GP LLC Energy related October 30, 2000 Delaware a 100% owned Holding company (EWOGP) business subsidiary of EWO investing in energy Marketing commodity brokering Holding, LLC and related services. EWO Energy related October 30, 2000 Delaware a 99% limited Energy marketing and Marketing, business partner interest brokering. L.P. (EWOM) held by EWO Marketing Holding, LLC and a 1% general partner interest held by EWO GP LLC Entergy Energy related March 2, 2001 Texas a 99% limited Price-to-Beat retail Solutions business partner interest electric provider. Select Ltd. held by Entergy (ESSL) PTB Holding Company and a 1% general partner interest held by Entergy Select LLC
ITEM 1 - ORGANIZATION CHART (cont'd) Name of Energy or gas Percentage of reporting related company Date of State of voting company organization organization securities held Nature of business Entergy Energy related June 4, 2001 Texas a 99% limited Provider of Last Solutions business partner interest Resort retail Essentials held by Entergy electric provider. Ltd. (ESEL) PTB Holding Company and a 1% general partner interest held by Entergy Select LLC Entergy Energy related July 16, 2001 Delaware a 100% Production, sale, and Thermal-UNO, business owned subsidiary distribution of LLC of Entergy thermal energy (Entergy Corporation products. Thermal-UNO) Entergy Energy related February 15, 2002 Delaware a 100% owned Holding company for Nuclear PFS business subsidiary of investment in Private Company Entergy Nuclear, Fuel Storage, LLC. (ENPFS) Inc. Private Fuel Energy related February 21, 2002 Delaware a 9.9% Class A Development, Storage LLC business member interest ownership, and (Private Fuel held by ENPFS operation of a spent Storage) nuclear fuel storage facility. Tradespark Entergy related - Delaware a 5.53% non- Electronic commodity business voting limited marketplace for North partner interest America wholesale indirectly held transactions in by EKTLP physical and financial products.
EHI Activities During the quarterly period ended June 30, 2002, EHI acted as a holding company engaged in investment in energy related companies consistent with Rule 58. Entergy Thermal Activities During the quarterly period ended June 30, 2002, Entergy Thermal operated a district cooling and heating system in New Orleans, Louisiana. EBS Activities During the quarterly period ended June 30, 2002, EBS was inactive, but in the future intends to engage in energy management services. EPH Activities During the quarterly period ended June 30, 2002, EPH acted as a holding company with respect to Entergy's investments in "qualifying facilities" (QFs) under the Public Utility Regulatory Policies Act of 1978 (PURPA). EPRS Activities During the quarterly period ended June 30, 2002, EPRS engaged in the development, acquisition and ownership of a 50% interest in RS Cogen LLC. RS Cogen LLC is developing, and will own and operate, a 425 MW cogeneration facility in Louisiana which is a QF under PURPA. TLG Activities During the quarterly period ended June 30, 2002, TLG provided cost estimates and field services for the decommissioning of fossil and nuclear plants as well as technical expertise related to environmental testing and remediation. ESLTD Activities During the quarterly period ended June 30, 2002, ESLTD engaged in the purchasing of power on the ERCOT imbalance market for its Texas pilot customers. EKTLP Activities During the quarterly period ended June 30, 2002, EKTLP 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. EWOGP Activities During the quarterly period ended June 30, 2002, EWO acted as a holding company for investing in energy commodity brokering and related services. EWOM Activities During the quarterly period ended June 30, 2002, EWOM engaged in the business of managing the power produced by electric generation assets of affiliates and third-party customers as well as fulfilling the electric energy needs of third party customers under long-term contracts. The third-party customers are principally electric utilities and municipal cooperatives. ESSL Activities During the quarterly period ended June 30, 2002, ESSL was in its formative stage and in the future intends to engage in providing price-to-beat energy service and electric sales. ESEL Activities During the quarterly period ended June 30, 2002, ESEL was in its formative stage and in the future intends to engage in providing energy service and electric sales as the provider of last resort. Entergy Thermal-UNO Activities During the quarterly period ended June 30, 2002, Entergy Thermal-UNO was in its formative state and in the future intends to engage in the production, sale, and distribution of thermal energy products at the University of New Orleans. ENPFS Activities During the quarterly period ended June 30, 2002, ENPFS acted as a holding company for Entergy's 12.9% member interest in Private Fuel Storage (including a 9.9% Class A member interest with voting rights). Private Fuel Storage Activities During the quarterly period ended June 30, 2002, Private Fuel Storage continued efforts relating to obtaining a Nuclear Regulatory Commission license for a proposed spent nuclear fuel storage facility. Tradespark Activities During the quarterly period ended June 30, 2002, Tradespark operated as an electronic commodity marketplace for North America wholesale transactions in physical and financial products. 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 was given with received for security issued security renewal capital 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 Retail Holding Company ESLTD $1,881,000 Entergy Retail Holding Company ESSLTD $ 495,000 Entergy Retail Texas, Inc. ESLTD $ 19,000 Entergy Retail Texas, Inc. ESSLTD $ 5,000 Entergy PTB Holding Company ESSL $3,464,500 Entergy Select LLC ESSL $ 35,000 Entergy Nuclear, Inc. TLG $1,000,000 Entergy Nuclear, Inc. ENPFS $ 121,634 ENPFS Private Fuel Storage $ 71,443 ITEM 3 - ASSOCIATE 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 of amount services services rendered charged charged capital billed None None N/A N/A N/A N/A N/A 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 of amount services services rendered charged charged capital billed Entergy EHI Professional $ 79,989 $-0- N/A $ 79,989 Enterprises, services and Inc. back office (EEI) support EEI Entergy Same as above $ 89,061 $-0- N/A $ 89,061 Thermal EEI EBS Same as above $ 14,718 $-0- N/A $ 14,718 EEI ESSL Same as above $1,709,714 $-0- N/A $1,709,714 EEI ESEL Same as above $ 13,266 $-0- N/A $ 13,266 EEI ESLTD Same as above $ 888,038 $-0- N/A $ 888,038 EEI EPRS Same as above $ 406,553 $-0- N/A $ 406,553 EEI EWOM Same as above $ 221,373 $-0- N/A $ 221,373 EEI TLG Same as above $ 81,122 $-0- N/A $ 81,122 Entergy ESLTD Same as above $ 463,766 $-0- N/A $ 463,766 Solutions Management Services LLC Entergy ESSL Same as above $ 209,049 $-0- N/A $ 209,049 Solutions Management Services LLC ESSLTD ESLTD Same as above $ (24,156) $-0- N/A $ (24,156) ESSLTD ESSL Same as above $ 693,899 $-0- N/A $ 693,899 Entergy ESSL Same as above $ (3,969) $-0- N/A $ (3,969) Retail Texas, Inc.
Part II - Transactions Performed by Associate Companies on Behalf of Reporting Companies - Continued
Associate Reporting company company Types of Direct Indirect Total rendering receiving services costs costs Cost of amount services services rendered charged charged capital billed Entergy TLG Same as above $341,739 $-0- N/A $341,739 Nuclear Operations, Inc. Entergy TLG Same as above $124,174 $-0- N/A $124,174 Nuclear, Inc. Entergy EPRS Same as above $ 1,068 $-0- N/A $ 1,068 Power Operations U.S., Inc. EKLP LLC EWOM Same as above $975,315 $-0- N/A $975,315
ITEM 4 - SUMMARY OF AGGREGATE INVESTMENT
Investments in energy-related companies: Total consolidated capitalization as of June 30, 2002 $16,900,078,000 Line 1 Total capitalization multiplied by 15% (line 1 multiplied by 0.15) 2,535,011,700 Line 2 Greater of $50 million or line 2 2,535,011,700 Line 3 Total current aggregate investment: Energy marketing and brokering (ESLTD, EKTLP, EWO, EWOM, ESSL, 362,895,065 Tradespark, and ESEL) Energy related technical and similar services (EHI, Entergy Thermal, 58,872,122 Entergy Thermal - UNO, EBS, and TLG) Development and ownership of QFs (EPH and EPRS) 30,207,000 Ownership, operation, and servicing of fuel procurement, 628,366 transportation, handling, and storage facilities (ENPFS and Private Fuel Storage) -------------- Total current aggregate investment* 452,602,553 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) $2,082,409,147 Line 5 ==============
ITEM 5 - OTHER INVESTMENTS Major line of Other investment Other investment Reason for energy-related in last U-9C-3 in this U-9C-3 difference in business report report other investment N/A -0- -0- N/A ITEM 6 - FINANCIAL STATEMENTS AND EXHIBITS A. Financial Statements Filed under confidential treatment pursuant to Rule 104(b). B. Exhibits 1. Certificate of filing of Form U-9C-3 for the 1st Quarter of 2002 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/ Nathan E. Langston Nathan E. Langston Senior Vice President and Chief Accounting Officer Dated: August 28, 2002 EX-99 3 a17402ex.txt EXHIBIT - CERTIFICATE OF FILING
A conformed copy of Entergy Corporation's Form U-9C-3 for the quarter ended March 31, 2002, excluding the information contained in Item 6, part A, which was filed confidentially with the Securities and Exchange Commission under Rule 104(b), 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 Sullivan & Worcester LLP Post Office Box 91154 1666 K Street, N.W. Baton Rouge, LA 70821-9154 Washington, DC 20036 George W. Fleming, Esq. Mr. James Galloway, Filing Clerk Mississippi Public Utilities Staff Central Records - PUCT Post Office Box 1174 1701 N. Congress Jackson, MS 39215 Austin, TX 78711 Mr. Kelley P. Meehan, Deputy 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/ Nathan E. Langston Nathan E. Langston Senior Vice President and Chief Accounting Officer Dated: August 28, 2002 -----END PRIVACY-ENHANCED MESSAGE-----