-----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, O9rqkN3Jk2GwXMrgKQURycHJF05Z/hhn76G1h96SkSgORSv5MuTQ8xOqp/tLbTeb C0yVcGdOabNDLoGMt2z+hQ== 0000065984-99-000093.txt : 19990830 0000065984-99-000093.hdr.sgml : 19990830 ACCESSION NUMBER: 0000065984-99-000093 CONFORMED SUBMISSION TYPE: U-9C-3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 19990630 FILED AS OF DATE: 19990827 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: 99700825 BUSINESS ADDRESS: STREET 1: 639 LOYOLA AVE CITY: NEW ORLEANS STATE: LA ZIP: 70113 BUSINESS PHONE: 5045295262 MAIL ADDRESS: STREET 1: PO BOX 61000 CITY: NEW ORLEANS STATE: LA ZIP: 70161 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 June 30, 1999 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 Percentage reporting gas Date of State of of voting company related organiza organiza securities Nature of company tion tion held business Entergy Energy May 17, Delaware a 100% Energy Power related 1995 owned marketing and Marketing business subsidiary brokering. Corp. of Entergy (EPMC) Corporation Entergy Energy November 3, Delaware a 100% Holding Holdings, related 1997 owned company Inc. business subsidiary investing in (EHI) of Entergy miscellaneous (f/k/a Corporation energy Entergy related Business companies. Solutions, Inc.) Entergy Energy January 28, Delaware A 100% Production, Thermal, related 1999 owned sale, and LLC business subsidiary distribution (Entergy of EHI of thermal Thermal) energy products. Entergy Energy January 28, Delaware a 100% Energy Business related 1999 owned management Solutions, business subsidiary services. LLC (EBS) of EHI (EBS) EPMC Activities During the quarterly period ended June 30, 1999, 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. EHI Activities During the quarterly period ended June 30, 1999, 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, 1999, Entergy Thermal was engaged in the process of designing and constructing a heating and cooling district system in New Orleans, Louisiana. EBS Activities EBS is still in the formative stage of its business, and has generated immaterial revenue from energy management services as of the end of the quarterly period ended June 30, 1999. ITEM 2 - ISSUANCES AND RENEWALS OF SECURITIES AND CAPITAL CONTRIBUTIONS
Company Type Principal Person to Collat- Considera- issuing of amount Issue Cost whom eral tion security security of or of security given received issued security renewal capital was with for each issued securit security None N/A N/A N/A N/A N/A N/A N/A Company contributing Company receiving Amount of capital capital capital contribution Entergy Corporation EPMC $15,000,000 EHI Entergy Thermal $8,064,450 EHI EBS $3,663
ITEM 3 - ASSOCIATE TRANSACTIONS Part I - Transactions Performed by Reporting Companies on Behalf of Associated Companies Reporting Associate Types of Direct Indirect Cost Total company company services Costs Cost of amount rendering receiving rendered charged charged capital billed services services None None N/A -0- -0- N/A -0- Part II - Transactions Performed by Associated Companies on Behalf of Reporting Companies Associate Reporting Types of Direct Indirect Total company company services cost Cost Cost of amount rendering receiving rendered charged charged capital billed Entergy EPMC Professi $5,044,912 $ -0- N/A $5,044,912* Enterpri onal ses, services Inc.(EEI) and back office support. EEI EHI Same as $ 76,624 $ -0- N/A $76,624* above EHI Entergy Same as Thermal above $23,335 $ -0- N/A $23,335 EHI EBS Same as above. $ 511,318 $ -0- N/A $511,318 *Includes Entergy Services, Inc. costs of $708,713 and $32,854 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 $15,377,849,000 Line 1 June 30, 1999 Total capitalization multiplied by 15% 2,306,677,350 Line 2 (line 1 multiplied by 0.15) Greater of $50 million or line 2 2,306,677,350 Line 3 Total current aggregate investment: Energy marketing and brokering (EPMC) 407,500,000 Energy related technical and similar 7,818,790 services (EHI) -------------- Total current aggregate investment* 415,318,790 Line 4 -------------- Difference between the greater of $50 million or 15% of capitalization and the total aggregate investment of the $1,891,358,560 Line 5 registered holding company system (line 3 ============== less line 4) *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 Other Other Reason for energy-related investment in investment in difference in business last U-9C-3 this U-9C-3 other report report investment Energy $2,500,000* $2,500,000* N/A marketing 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 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 1999 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 Vice President and Chief Accounting Officer Dated: August 27, 1999 EX-99 2 EXHIBIT - CERTIFICATE OF FILING A conformed copy of Entergy Corporation's Form U-9C-3 for the quarter ended March 31, 1999, 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 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 1701 N. Congress Jackson, MS 39215 Austin, TX 78711 Ms. Jacquelyn M. Frick, Director Hon. Emma J. Williams, Clerk of Council City of New Orleans City Council Utilities Room 1E04, City Hall Regulatory Office 1300 Perdido Street Room 6E07, City Hall New Orleans, LA 70112 1300 Perdido Street New Orleans, LA 70112 Entergy Corporation By: /s/ Nathan E. Langston Nathan E. Langston Vice President and Chief Accounting Officer Dated: August 27, 1999 -----END PRIVACY-ENHANCED MESSAGE-----