-----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, P2SQS7KRDde2UcOvbsrVkbHDcYrljezSoUt1+dRTwDFx5rhqbUJO/apmblUC7ktd WfN8Jkf6nX3zk41Pi7Fx2A== 0000899652-99-000041.txt : 19990330 0000899652-99-000041.hdr.sgml : 19990330 ACCESSION NUMBER: 0000899652-99-000041 CONFORMED SUBMISSION TYPE: U-9C-3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19981231 FILED AS OF DATE: 19990329 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-9C-3 SEC ACT: SEC FILE NUMBER: 074-00007 FILM NUMBER: 99576431 BUSINESS ADDRESS: STREET 1: 139 E FOURTH ST CITY: CINCINNATI STATE: OH ZIP: 45202 BUSINESS PHONE: 5134219500 MAIL ADDRESS: STREET 1: 139 E FOURTH STREET CITY: CINCINATI STATE: OH ZIP: 45202 U-9C-3 1 1998 4TH QTR CINERGY CORP U-9C-3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM U-9C-3 QUARTERLY REPORT PURSUANT TO RULE 58 December 31, 1998 CINERGY CORP. 139 EAST FOURTH STREET CINCINNATI, OHIO 45202 *Inquiries concerning this Form U-9C-3 should be directed to: M. Susan Hardwick Cinergy Corp. 139 East Fourth Street Cincinnati, Ohio 45202 (513) 287-5667 TABLE OF CONTENTS Item Page Number Number 1 Organization Chart . . . . . . . . . . . . . . . . . . . . . 1 2 Issuances and Renewals of Securities and Capital Contributions. . . . . . . . . . . . . . . . . . . . . . . 2 3 Associate Transactions Part I - Transactions Performed by Reporting Companies on Behalf of Associate Utility Companies. . . . . . . . . . 3 Part II - Transactions Performed by Associate Utility Companies on Behalf of Reporting Companies . . . . . . . 4 4 Summary of Aggregate Investment. . . . . . . . . . . . . . . 5 5 Other Investments. . . . . . . . . . . . . . . . . . . . . . 6 6a Financial Statements . . . . . . . . . . . . . . . . . . . . 7 6b Exhibits . . . . . . . . . . . . . . . . . . . . . . . . . . 7 Signatures . . . . . . . . . . . . . . . . . . . . . . . . . 8
ITEM 1. ORGANIZATION CHART Energy or Percentage of Gas-Related Date of State of Voting Nature of Name of Reporting Company Company Organization Organization Securities Held Business OMITTED FOR THE FOURTH CALENDAR QUARTER PURSUANT TO INSTRUCTIONS FOR "ITEM 1".
ITEM 2. ISSUANCES AND RENEWALS OF SECURITIES AND CAPITAL CONTRIBUTIONS* Associate Company Energy-Related Company Type of Net Change in Advancing Funds Receiving Funds Transaction Borrowings/Contributions (in thousands) Cinergy Investments, Inc. ("Investments") Enertech Associates, Inc. Open account repayment $(1,327) Investments Cinergy Engineering, Inc. Open account repayment (12) Investments Cinergy Resources, Inc. Open account advance 1,343 Investments Cinergy Capital & Trading, Inc. Open account advance 6,604 ("Capital & Trading") Capital & Trading Producers Energy Marketing LLC Open account advance 1,047 Capital & Trading CinPower I, LLC Capital contribution 292 Investments Cinergy Supply Network, Inc. Open account advance 1,335 Investments Cinergy-Cadence, Inc. Open account advance 254 ("Cinergy-Cadence") Cinergy-Cadence Cadence Network LLC Open account advance 12 Cinergy Solutions, Inc. Trigen-Cinergy Solutions LLC Open account advance 1,015 ("Solutions") Solutions Trigen-Cinergy Solutions of Cincinnati LLC Open account advance 181 Solutions Trigen-Cinergy Solutions of Tuscola LLC Capital contribution 2,451 Solutions Trigen-Cinergy Solutions of Boca Raton, LLC Capital contribution 2,040 Cinergy Global Resources, Inc. San Gorgonio, Inc. Capital contribution 10,625 * Item 2 excludes additional guarantees issued on behalf of energy-related companies by Cinergy or its subsidiaries during the fourth quarter of 1998 totaling $51.5 million. These guarantees are included in Item 4. Summary of Aggregate Investment.
ITEM 3. ASSOCIATE TRANSACTIONS Part I - Transactions Performed by Reporting Companies on Behalf of Associate Utility Companies Reporting Company Associate Utility Company Types of Direct Indirect Total Rendering Receiving Services Costs Costs Cost of Amount Services Services Rendered Charged Charged Capital Billed - ----------------- ------------------------- -------- ------- -------- ------- ------ NONE
ITEM 3. ASSOCIATE TRANSACTIONS (Continued) Part II - Transactions Performed by Associate Utility Companies on Behalf of Reporting Companies Associate Utility Reporting Company Types of Direct Indirect Total Company Rendering Receiving Services Costs Costs Cost of Amount Services Services Rendered Charged Charged Capital Billed - ----------------- ----------------- -------- ------- -------- ------- ------ NONE
ITEM 4. SUMMARY OF AGGREGATE INVESTMENT December 31, 1998 (in thousands) Investments in Energy-Related Companies: Total consolidated capitalization of Cinergy Corp. as of December 31, 1998 $6,278,038 Total capitalization multiplied by 15% 941,706 Greater of $50 million or total capitalization multiplied by 15% 941,706 Total current aggregate investment subsequent to March 24, 1997 (categorized by major line of energy-related business): Energy-related business category "i" (1) 14,257 Energy-related business category "v" (2) 364,263 Energy-related business category "vi" (3) 13,604 Energy-related business category "vii" (4) 2,139 Energy-related business category "viii" (5) 23,008 Total current aggregate investment 417,271 Difference between the greater of $50 million or 15% of capitalization and the total aggregate investment of the registered holding company system $524,435 ======== (1) Rule 58 defines category "i" as the rendering of energy management services and demand-side management services. (2) Rule 58 defines category "v" as the brokering and marketing of energy commodities, including but not limited to electricity, natural or manufactured gas and other combustible fuels. (3) Rule 58 defines category "vi" as the production, conversion, sale and distribution of thermal energy products, such as process steam, heat, hot water, chilled water, air conditioning, compressed air and similar products; alternative fuels; and renewable energy resources; and the servicing of thermal energy facilities. (4) Rule 58 defines category "vii" as the sale of technical, operational, management, and other similar kinds of services and expertise, developed in the course of utility operations in such areas as power plant and transmission system engineering, development, design and rehabilitation; construction; maintenance and operation; fuel procurement, delivery and management; and environmental licensing, testing and remediation. (5) Rule 58 defines category "viii" as the development, ownership or operation of "qualifying facilities," as defined under the Public Utility Regulatory Policies Act of 1978, as amended ("PURPA"), and any integrated thermal, steam host, or other necessary facility constructed, developed or acquired primarily to enable the qualifying facility to satisfy the useful thermal output requirements under PURPA.
ITEM 5. OTHER INVESTMENTS Major Line of Energy-Related Other Investment in Last Other Investment in this Reason for Difference in Business U-9C-3 Report U-9C-3 Report Other Investment (in thousands) NONE
ITEM 6. FINANCIAL STATEMENTS AND EXHIBITS (a) Financial Statements OMITTED FOR THE FOURTH CALENDAR QUARTER PURSUANT TO INSTRUCTIONS FOR "ITEM 6". (b) Exhibits None SIGNATURES Pursuant to the requirements of the Public Utility Holding Company Act of 1935, Cinergy Corp. has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. Cinergy Corp. Registrant Dated: March 29, 1999 By /s/ Bernard F. Roberts Bernard F. Roberts Duly Authorized Officer and Chief Accounting Officer With the above signature, I also hereby certify that the corresponding report on Form U-9C-3 for the fourth quarter of 1998 was filed with Cinergy Corp's interested state commissions whose names and addresses are listed below. The Public Utilities Commission of Ohio Craig Glazer, Chairman 180 East Broad Street Columbus, OH 43266 Indiana Utility Regulatory Commission William D. McCarty, Chairman 302 W. Washington Street, Suite E306 Indianapolis, IN 46204 Kentucky Public Service Commission B. J. Helton, Chairman P.O. Box 615 Frankfort, KY 40602 -----END PRIVACY-ENHANCED MESSAGE-----