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Proc-Type: 2001,MIC-CLEAR
Originator-Name: webmaster@www.sec.gov
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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.
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 |
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Name of recipient |
received (a) |
to be (b) |
Person or company form whom received or to be received |
|
See attached Exhibit D |
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(b) Basis for compensation if other than salary.
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
(i) Portland General Electric Company employees |
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By: |
/s/ Frank Afranji |
Date: |
April 7, 2004 |
Frank Afranji |
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By: |
/s/ Carol A. Dillin |
Date: |
April 7, 2004 |
Carol A. Dillin |
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By: |
/s/ Jeffrey J. Dudley |
Date: |
April 7, 2004 |
Jeffrey J. Dudley |
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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 |
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By: |
/s/ Douglas R. Nichols |
Date: |
April 7, 2004 |
Douglas R. Nichols |
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By: |
/s/ James J. Piro |
Date: |
April 7, 2004 |
James J. Piro |
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By: |
/s/ Sania Radcliffe |
Date: |
April 7, 2004 |
Sania Radcliffe |
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By: |
/s/ Robin Tompkins |
Date: |
April 7, 2004 |
Robin Tompkins |
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By: |
/s/ Lyn Williams |
Date: |
April 7, 2004 |
Lyn Williams |
SIGNATURES (Continued)
(ii) Michael A. Andrews, LLC |
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By: |
/s/ Michael A. Andrews |
Date: |
April 7, 2004 |
Michael A. Andrews |
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(iii) |
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By: |
/s/ Thomas Mark |
Date: |
April 8, 2004 |
Thomas Mark |
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(iv) Wexler & Walker Public Policy Associates |
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By: |
/s/ Joel Malina |
Date: |
April 8, 2004 |
Joel Malina |
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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:
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:
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 |
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(i) Portland General Electric Company employees |
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Frank Afranji |
Not Applicable |
Compensation |
Portland General Electric Company |
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Carol A. Dillin |
information is filed |
in each instance |
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Jeffrey J. Dudley |
under confidential |
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Peggy Y. Fowler |
treatment pursuant |
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Richard J. Goddard |
to Rule 104(b). |
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Julie A. Keil |
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Pamela G. Lesh |
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James F. Lobdell |
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Douglas R. Nichols |
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James J. Piro |
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Sania Radcliffe |
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Robin Tompkins |
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Lyn Williams |
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(ii) Michael A. Andrews LLC |
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(iii) Thomas Mark |
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(iv) Wexler & Walker Public Policy Associates |
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* 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. |