-----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, EBaML8DxdA5SuffI73rFH9nMNh42pOf1WXdek4M9oKMDF/xsBrsVLwYNkqExUiRI CsTVKB0nFRZsL6Uu79EFLg== 0000784977-04-000010.txt : 20040409 0000784977-04-000010.hdr.sgml : 20040409 20040409125414 ACCESSION NUMBER: 0000784977-04-000010 CONFORMED SUBMISSION TYPE: U-12-IB PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040409 EFFECTIVENESS DATE: 20040409 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PORTLAND GENERAL ELECTRIC CO /OR/ CENTRAL INDEX KEY: 0000784977 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 930256820 STATE OF INCORPORATION: OR FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: U-12-IB SEC ACT: 1935 Act SEC FILE NUMBER: 012-00177 FILM NUMBER: 04726669 BUSINESS ADDRESS: STREET 1: 121 SW SALMON ST CITY: PORTLAND STATE: OR ZIP: 97204 BUSINESS PHONE: 5034647439 MAIL ADDRESS: STREET 1: 121 SW SALMON STREET CITY: PORTLAND STATE: OR ZIP: 97204 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PORTLAND GENERAL ELECTRIC CO /OR/ CENTRAL INDEX KEY: 0000784977 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 930256820 STATE OF INCORPORATION: OR FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: U-12-IB BUSINESS ADDRESS: STREET 1: 121 SW SALMON ST CITY: PORTLAND STATE: OR ZIP: 97204 BUSINESS PHONE: 5034647439 MAIL ADDRESS: STREET 1: 121 SW SALMON STREET CITY: PORTLAND STATE: OR ZIP: 97204 U-12-IB 1 u12ib.htm Portland General Electric Company Form U-12(I)B

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C.

FORM U-12(I)-B (THREE-YEAR STATEMENT)

For the period ending December 31, 2006

STATEMENT PURSUANT TO SECTION 12(i) OF PUBLIC UTILITY HOLDING COMPANY ACT OF 1935 BY A PERSON REGULARLY EMPLOYED OR RETAINED BY A REGISTERED HOLDING COMPANY OR A SUBSIDIARY THEREOF AND WHOSE EMPLOYMENT CONTEMPLATES ONLY ROUTINE EXPENSES AS SPECIFIED IN RULE 71(b)

 

1. Name and business address of person filing statement.

See attached Exhibit A

2. Names and business addresses of any persons through whom the undersigned proposes to act in matters included within the exemption provided by paragraph (b) of Rule U-71.

See attached Exhibit B

3. Registered holding companies and subsidiary companies by which the undersigned is regularly employed or retained.

Portland General Electric Company, a subsidiary of Enron Corp.

4. Position or relationship in which the undersigned is employed or retained by each of the companies named in item 3, and brief description of nature of services to be rendered in such position or relationship.

See attached Exhibit C

5. (a) Compensation received during the current year and estimated to be received over the next two calendar years by the undersigned or others, directly or indirectly, for services rendered by the undersigned, from each of the companies designated in item 3. (Use column (a) as supplementary statement only.)

 

Salary or other compensations

   

Name of recipient

received

(a)

to be

(b)

 

Person or company form whom received or to be received

         

See attached Exhibit D

         

(b) Basis for compensation if other than salary.

    1. The undersigned employees of Portland General Electric Company may participate in certain employee benefit plans and may receive a bonus under an incentive compensation plan; however, the amount, if any, of such bonus and other benefits cannot presently be predicted.
    2. Michael A. Andrews LLC receives a monthly retainer.
    3. Thomas Mark receives hourly fees.
    4. Wexler & Walker Public Policy Associates receives monthly fees.

6. (To be answered in supplementary statement only. See instructions). Expenses incurred by the undersigned or any person named in item 2, above, during the calendar year in connection with the activities described in item 4, above, and the source or sources of reimbursement for same.

(a) Total amount of routine expenses charged to client: $:

Not applicable

(b) Itemized list of all other expenses.

No other expenses

 

SIGNATURES

 

 

(i) Portland General Electric Company employees

By:

/s/ Frank Afranji

Date:

April 7, 2004

Frank Afranji

By:

/s/ Carol A. Dillin

Date:

April 7, 2004

Carol A. Dillin

By:

/s/ Jeffrey J. Dudley

Date:

April 7, 2004

Jeffrey J. Dudley

By:

/s/ Peggy Y. Fowler

Date:

April 7, 2004

Peggy Y. Fowler

By:

/s/ Richard J. Goddard

Date:

April 7, 2004

Richard J. Goddard

By:

/s/ Julie A. Keil

Date:

April 7, 2004

Julie A. Keil

By:

/s/ Pamela G. Lesh

Date:

April 8, 2004

Pamela G. Lesh

By:

/s/ James F. Lobdell

Date:

April 7, 2004

James F. Lobdell

By:

/s/ Douglas R. Nichols

Date:

April 7, 2004

Douglas R. Nichols

By:

/s/ James J. Piro

Date:

April 7, 2004

James J. Piro

By:

/s/ Sania Radcliffe

Date:

April 7, 2004

Sania Radcliffe

By:

/s/ Robin Tompkins

Date:

April 7, 2004

Robin Tompkins

By:

/s/ Lyn Williams

Date:

April 7, 2004

Lyn Williams

SIGNATURES (Continued)

 

 

 

(ii) Michael A. Andrews, LLC

By:

/s/ Michael A. Andrews

Date:

April 7, 2004

Michael A. Andrews

(iii)

By:

/s/ Thomas Mark

Date:

April 8, 2004

Thomas Mark

(iv) Wexler & Walker Public Policy Associates

By:

/s/ Joel Malina

Date:

April 8, 2004

Joel Malina

 

 

EXHIBIT A

Names and business addresses of persons who may act during 2004, 2005, and 2006 in matters included within the exemption provided by paragraph (b) of Rule 71:

  1. Portland General Electric Company employees:

Frank Afranji

Carol A. Dillin

Jeffrey J. Dudley

Peggy Y. Fowler

Richard J. Goddard

Julie A. Keil

Pamela G. Lesh

James F. Lobdell

Douglas R. Nichols

James J. Piro

Sania Radcliffe

Robin Tompkins

Lyn Williams

The business address of each of whom is 121 SW Salmon Street, Portland, OR 97204

 

(ii) Michael A. Andrews, LLC

The business address is 1225 I Street NW, Suite 600, Washington, D.C. 20005

 

(iii) Thomas Mark

The business address is 423 Atlantic Avenue, New York, NY 11217

 

(iv) Wexler & Walker Public Policy Associates

 

The business address is 1317 F Street, Suite 600, Washington, D.C. 20004

EXHIBIT B

Names and business addresses of any persons through whom the undersigned proposes to act in matters included within the exemption provided by paragraph (b) of Rule U-71:

  1. Portland General Electric Company employees

Frank Afranji None

Carol A. Dillin None

Jeffrey J. Dudley None

Peggy Y. Fowler None

Richard J. Goddard None

Julie A. Keil None

Pamela G. Lesh None

James F. Lobdell None

Douglas R. Nichols None

James J. Piro None

Sania Radcliffe None

Robin Tompkins None

Lyn Williams None

 

(ii) Michael A. Andrews, LLC

Michael A. Andrews

The business address is 1225 I Street NW, Suite 600, Washington, D.C. 20005

(iii) Thomas Mark None

(iv) Wexler & Walker Public Policy Associates

Joel Malina

The business address is 1317 F Street, Suite 600, Washington, D.C. 20004

EXHIBIT C

 

 

Name

Position

(i) Portland General Electric Company employees

Frank Afranji

Director, Transmission and Reliability Services

Carol A. Dillin

Vice President, Public Policy

Jeffrey J. Dudley

Associate General Counsel

Peggy Y. Fowler

Chief Executive Officer and President

Richard J. Goddard

Manager, Transmission Planning and Expansion

Julie A. Keil

Director, Hydro Licensing

Pamela G. Lesh

Vice President, Regulatory and Federal Affairs

James F. Lobdell

Vice President, Power Operations

Douglas R. Nichols

Vice President, General Counsel and Secretary

James J. Piro

Executive Vice President, Finance,

Chief Financial Officer and Treasurer

Sania Radcliffe

Federal Policy Specialist

Robin Tompkins

Director, Federal and Regional Affairs

Lyn Williams

Manager, Federal and Regional Affairs

(ii) Michael A. Andrews LLC

 

Lobbyist - Lobby the US Congress and FERC on matters pertinent to the utility industry

     

(iii) Thomas Mark

 

Consultant on FERC matters pertinent to the utility industry

     

(iv) Wexler & Walker Public Policy Associates

 

Lobbyist - Lobby the US Congress and FERC on matters pertinent to the utility industry

     

EXHIBIT D

 

   

Salary or other compensations

   

Name of recipient

 

received

(a)

to be

(b)*

 

Person or company from whom received or to be received

(i) Portland General Electric Company employees

     

Frank Afranji

 

Not Applicable

Compensation

 

Portland General Electric Company

Carol A. Dillin

   

information is filed

 

in each instance

Jeffrey J. Dudley

   

under confidential

   

Peggy Y. Fowler

   

treatment pursuant

   

Richard J. Goddard

   

to Rule 104(b).

   

Julie A. Keil

         

Pamela G. Lesh

         

James F. Lobdell

         

Douglas R. Nichols

         

James J. Piro

         

Sania Radcliffe

         

Robin Tompkins

         

Lyn Williams

         
           

(ii) Michael A. Andrews LLC

         
           

(iii) Thomas Mark

         
           

(iv) Wexler & Walker Public Policy Associates

         
           

* For the calendar years 2005 and 2006, it is estimated that the undersigned will receive compensation comparable to the estimate to be received in 2004, but the amount of compensation cannot presently be forecast with any degree of precision.

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