-----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, PBwrF9fS6ahitOIv2oPnUAPKujcZXlrNeUVL3a1AqiiFUw1hhEShgHaxYA6Em3BV ahHqEhUD1oc2BzECM7RHfg== 0000899652-97-000087.txt : 19970428 0000899652-97-000087.hdr.sgml : 19970428 ACCESSION NUMBER: 0000899652-97-000087 CONFORMED SUBMISSION TYPE: U-1/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970425 SROS: NYSE FILER: COMPANY DATA: COMPANY CONFORMED NAME: CINERGY CORP CENTRAL INDEX KEY: 0000899652 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC & OTHER SERVICES COMBINED [4931] IRS NUMBER: 311385023 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: U-1/A SEC ACT: 1935 Act SEC FILE NUMBER: 070-09015 FILM NUMBER: 97587654 BUSINESS ADDRESS: STREET 1: 139 E FOURTH ST CITY: CINCINNATI STATE: OH ZIP: 45202 BUSINESS PHONE: 5133812000 MAIL ADDRESS: STREET 1: 139 E FOURTH STREET CITY: CINCINATI STATE: OH ZIP: 45202 U-1/A 1 FORM U-1A File No. 70-9015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 __________________________________________ AMENDMENT NO. 1 TO FORM U-1 APPLICATION-DECLARATION UNDER THE PUBLIC UTILITY HOLDING COMPANY ACT OF 1935 ___________________________________________ Cinergy Corp. Cinergy Investments, Inc. Cinergy Services, Inc. The Cincinnati Gas & Electric Company The Union Light, Heat and Power Company The West Harrison Gas and Electric Company Lawrenceburg Gas Company Miami Power Corporation Tri-State Improvement Company KO Transmission Company 139 East Fourth Street Cincinnati, Ohio 45202 PSI Energy, Inc. 1000 East Main Street Plainfield, Indiana 46168 (Name of companies filing this statement and addresses of principal executive offices) Cinergy Corp. (Name of top registered holding company parent) William L. Sheafer Treasurer Cinergy Corp. (address above) (Name and address of agent of service) Applicant requests that the Commission send copies of all notices, orders and communications in connection herewith to: Jerome A. Vennemann William T. Baker Associate General Counsel Reid & Priest LLP Cinergy Corp. 40 West 57th (address above) New York, New York 10019 The application-declaration as previously filed in this proceeding is hereby amended as set forth below: 1. The last paragraph of Item 1.A is amended and restated in its entirety to read as follows: "The proceeds of such short-term borrowings were to be utilized by PSI, ULH&P, Lawrenceburg, West Harrison and Miami for general corporate purposes including (1) interim financing of capital requirements, (2) working capital needs, (3) repayment, redemption or refinancing of debt or preferred stock, and (4) loans through the Money Pool. The August 1995 Order limited the aggregate principal amount of short-term borrowings at any one time outstanding (whether through the Money Pool or from banks or the sale of commercial paper) to the following amounts: PSI, $400 million; ULH&P, $35 million; West Harrison, $200,000; Lawrenceburg, $3 million; and Miami, $100,000. Finally, the August 1995 Order limited the maximum amount of guarantees and letters of credit issued or obtained by Cinergy to a $375 million aggregate limitation imposed by the Commission in another proceeding (Release No. 35-26215, January 11, 1995). In March 1996 (Release No. 35-26488, March 12, 1996) ("March 1996 Order"), the Commission authorized Cinergy to incur short-term bank borrowings, issue and sell commercial paper and obtain letters of credit in an aggregate principal amount at any one time outstanding not to exceed $1 billion through December 31, 1999." 2. The last paragraph of Item 1.B is hereby amended and restated in its entirety to read as follows: "Guaranties issued (i) by Cinergy would be subject to the $1 billion aggregate limitation specified in the March 1996 Order (subject to any increases in that authorization that Cinergy may obtain pursuant to one or more further orders of the Commission), and (ii) by Investments would not exceed $250 million at any one time outstanding." 3. The first paragraph of Item 1.C is amended and restated in its entirety to read as follows: "Subject to the respective Borrowing Limitations, from time to time through December 31, 2002, PSI, ULH&P, Lawrenceburg, West Harrison and Miami propose to make loans to each other, and Cinergy, Cinergy Services, CG&E, Tri-State and KO propose to make loans to PSI, ULH&P, Lawrenceburg, West Harrison and Miami, all pursuant to and in accordance with the Money Pool. /1/ Applicants propose no changes to the Money Pool as authorized in the August 1995 Order and embodied in the related Money Pool Agreement. /2/" SIGNATURE Pursuant to the requirements of the Act, the undersigned companies have duly caused this statement to be signed on their behalf by the undersigned thereunto duly authorized. Dated: April 25, 1997 CINERGY CORP. By: /s/ William L. Sheafer Treasurer CINERGY INVESTMENTS, INC. By: /s/ William L. Sheafer Treasurer CINERGY SERVICES, INC. By: /s/ William L. Sheafer Treasurer The Cincinnati Gas & Electric Company By: /s/ William L. Sheafer Treasurer The Union Light, Heat and Power Company By: /s/ William L. Sheafer Treasurer The West Harrison Gas and Electric Company By: /s/ William L. Sheafer Treasurer Lawrenceburg Gas Company By: /s/ William L. Sheafer Treasurer Miami Power Corporation By: /s/ William L. Sheafer Treasurer Tri-State Improvement Company By: /s/ William L. Sheafer Treasurer KO Transmission Company By: /s/ William L. Sheafer Treasurer PSI Energy, Inc. By: /s/ William L. Sheafer Treasurer ENDNOTES /1/ Any borrowings by Cinergy Services, CG&E, Tri-State and KO from each other under the Money Pool or from the other Money Pool Participants thereunder will be exempt (together with the corresponding loans) pursuant to rule 52. /2/ Cinergy, Cinergy Services, CG&E, Tri-State, KO, PSI, ULH&P, Lawrenceburg, West Harrison and Miami are sometimes herein collectively referred to as the "Money Pool Participants." The August 1995 Order also approved a proposal to establish a similar money pool arrangement for nonutility companies in the Cinergy system ("Nonutility Money Pool"). However, Cinergy has not implemented the Nonutility Money Pool and has no present intention to do so. Cinergy does not seek to continue any authority granted in the August 1995 Order that related to the Nonutility Money Pool, including with respect to combined short-term investments of surplus funds. -----END PRIVACY-ENHANCED MESSAGE-----