-----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, PGY0bv4xzFLZuwXPmQzhCKO6d7ixJxD+7LuDlO8X8On8avPBpdrGovVJQfcWLXFy c0dkqTF4K4GiN9yJ2Exfeg== 0000899652-00-000017.txt : 20000328 0000899652-00-000017.hdr.sgml : 20000328 ACCESSION NUMBER: 0000899652-00-000017 CONFORMED SUBMISSION TYPE: U-9C-3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991231 FILED AS OF DATE: 20000327 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: 579536 BUSINESS ADDRESS: STREET 1: 139 E FOURTH ST CITY: CINCINNATI STATE: OH ZIP: 45202 BUSINESS PHONE: 5132872644 MAIL ADDRESS: STREET 1: 139 E FOURTH STREET STREET 2: P.O BOX 960 CITY: CINCINATI STATE: OH ZIP: 45202 U-9C-3 1 CINERGY 1999 4TH QTR 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, 1999 CINERGY CORP. 139 EAST FOURTH STREET CINCINNATI, OHIO 45202 ================================================================================ *Inquiries concerning this Form U-9C-3 should be directed to: Bernard F. Roberts Cinergy Corp. 139 East Fourth Street Cincinnati, Ohio 45202 (513) 287-2090 TABLE OF CONTENTS Item Page Number Number - ------ ------ 1 Organization Chart . . . . . . . . . . . . . . . . . . . . . 3 2 Issuances and Renewals of Securities and Capital Contributions. . . . . . . . . . . . . . . . . . . . . . . 4 3 Associate Transactions Part I - Transactions Performed by Reporting Companies on Behalf of Associate Utility Companies. . . . . . . . . . 5 Part II - Transactions Performed by Associate Utility Companies on Behalf of Reporting Companies . . . . . . . 6 4 Summary of Aggregate Investment. . . . . . . . . . . . . . . 7 5 Other Investments. . . . . . . . . . . . . . . . . . . . . . 8 6a Financial Statements . . . . . . . . . . . . . . . . . . . . 9 6b Exhibits . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Signatures . . . . . . . . . . . . . . . . . . . . . . . . . 10 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 Type of Net Change in Advancing Funds Company Receiving Funds Transaction Borrowing/Contributions - ----------------- ----------------------- ----------- ----------------------- (in thousands) Cinergy Investments, Inc. Enertech Associates, Inc. Open account advance $ 26 Cinergy Investments, Inc. Cinergy Resources, Inc. Open account advance 2,716 Cinergy Investments, Inc. Cinergy Capital & Trading, Inc. Open account advance 3,164 Cinergy Investments, Inc. Cinergy Engineering, Inc. Open account advance 5 Cinergy Capital & Trading, Inc. CinCap V, LLC Open account repayment (4,896) Cinergy Capital & Trading, Inc. Cinergy Marketing & Trading, Inc. Open account advance 2,000 Cinergy Capital & Trading, Inc. CinPower I, LLC Capital contribution 289 Cinergy Investments, Inc. Cinergy Supply Network, Inc. Open account advance 14 Cinergy Solutions, Inc. Trigen-Cinergy Solutions, Inc. Open account advance 1,149 Cinergy Solutions, Inc. Trigen-Cinergy Solutions of Open account advance (2) Cincinnati, LLC Cinergy Solution, Inc. Trigen-Cinergy Solutions of Open account advance 38 Ashtabula, LLC Cinergy Solutions, Inc. Trigen-Cinergy Solutions of Open account advance 1,039 Tuscola, LLC Cinergy Solutions, Inc. Cinergy Solutions of Tuscola, Inc. Open account advance 2,610 Cinergy Global Cinergy Global San Gorgonio, Inc. Capital repayment (660) Resources, Inc. *Item 2 excludes a net increase in guarantees issued on behalf of energy-related companies by Cinergy or its subsidiaries during the fourth quarter of 1999 totaling approximately $106 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 Associate Utility Types of Direct Indirect Total Reporting Company Company Receiving Services Costs Costs Cost of Amount Rendering Services Services Rendered Charged Charged Capital Billed - ----------------------- ------------------- ---------- --------- --------- --------- -------- (in thousands) Reliant Services, Inc. The Cincinnati Gas Line 702 132 78 912 & Electric Company locating and underground construction services Reliant Services, Inc. PSI Energy, Inc. Line 1,443 271 160 1,874 locating and underground construction services Reliant Services, Inc. The Union Light, Line 69 13 8 90 Heat and Power locating Company and underground construction services (1) All of the services below were rendered pursuant to service agreements approved in File No. 70-9449 (see HCAR No. 27016, May 4, 1999, exhibits B-1, B-2, and B-3).
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, 1999 ------------------------- (in thousands) Investments in Energy-Related Companies: Total consolidated capitalization of Cinergy as of December 31, 1999 $6,316,754 Total capitalization multiplied by 15% $947,513 Greater of $50 million or total capitalization multiplied by 15% 947,513 Total current aggregate investment subsequent to March 24, 1997 (categorized by major line of energy-related business): Energy-related business category "i" (1) 14,754 Energy-related business category "v" (2) 348,093 Energy-related business category "vi" (3) 14,059 Energy-related business category "vii" (4) 17,948 Energy-related business category "viii" (5) 36,210 ------- Total current aggregate investment 431,064 -------- Difference between the greater of $50 million or 15% of capitalization and the total aggregate investment of the registered holding company system $516,449 ======== (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 27, 2000 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 third quarter of 1999 was filed with Cinergy Corp's interested state commissions whose names and addresses are listed below. The Public Utilities Commission of Ohio Alan R. Schriber, Chairman 180 East Broad Street Columbus, OH 43266 Indiana Utility Regulatory Commission Robert C. Glazier, Secretary 302 W. Washington Street, Suite E306 Indianapolis, IN 46204 Kentucky Public Service Commission Donald Mills, Executive Director P.O. Box 615 Frankfort, KY 40602 -----END PRIVACY-ENHANCED MESSAGE-----