UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM U-9C-3
QUARTERLY REPORT PURSUANT TO RULE 58
FOR THE QUARTER ENDED
DECEMBER 31, 1999
Central and South West Corporation (CSW)
(Name of registered holding company)
1616 Woodall Rodgers Freeway
Dallas, Texas 75202
(Address of principal executive offices)
<PAGE>
ITEM 1 - ORGANIZATION CHART
Item 1 is only required to be reported for the first three calendar quarters of
the fiscal year.
ITEM 2 - ISSUANCES AND RENEWALS OF SECURITIES AND CAPITAL CONTRIBUTIONS
<TABLE>
<CAPTION>
Principal Person to Consideration
Company Type of amount of Issue or Cost of whom security Collateral given received for
issuing security security issued security renewal capital was issued with security each security
- ---------------- --------------- ------------ --------- --------- -------------- ---------------- --------------
(000's)
<S> <C> <C> <C> <C> <C> <C> <C>
DECCO Loan note $3,820 CSW Energy
Eastex
Cogeneration LP Loan note 11,491 CSW Energy
Frontera
Generation, LP Loan note 13,460 CSW Energy
CSW Power
Marketing, Inc. Loan Note 241 CSW Energy
Utility Data Non-voting Public
Resources, Inc. convertible Service
preferred 500 Company of
stock Oklahoma
Powerware Non-voting Public
Solutions, Inc. convertible Service
preferred 250 Company of
stock Oklahoma
Nuvest, L.L.C. Membership
units 22,300 ESI
</TABLE>
Company Company Amount of
contributing receiving capital
capital capital contribution
- ---------------- ------------- ------------
(000's)
None
<PAGE>
ITEM 3 - ASSOCIATE TRANSACTIONS
Part I - Transactions performed by reporting companies on behalf of associate
companies
<TABLE>
<CAPTION>
Direct Indirect
Reporting company Associate company Types of costs costs Cost of Total
rendering services receiving services services rendered charged charged capital amount billed
- -------------------- ------------------- ------------------ --------- --------- --------- --------------
(000's) (000's) (000's)
<S> <C> <C> <C> <C> <C> <C>
EnerShop, Inc. CSW Power Lease
Marketing, Inc. Management 5 5
EnerShop, Inc. West Texas Energy
Utilities Conversation
Services 9(a) 9(a)
CSW Power EnerShop, Inc. Lease
Marketing, Inc. Management 51 51
Utility Data Central and South Pricing and
Resources, Inc. West Services, Billing 138 138
Inc. Services
Nuvest, L.L.C. South Texas Staffing 1,360 1,360
Project
Nuvest, L.L.C. Central and South Staffing
West Services, 161 161
Inc.
</TABLE>
(a) Amount shown is for current quarter only. Cumulative service amounts at
December 31, 1999 for total $3,293.
Part II - Transactions performed by associate companies on behalf of reporting
companies
<TABLE>
<CAPTION>
Direct Indirect
Reporting company Associate company Types of costs costs Cost of Total
rendering services receiving services services rendered charged charged capital amount billed
- -------------------- ------------------- ------------------ --------- --------- --------- --------------
(000's) (000's) (000's)
<S> <C> <C> <C> <C> <C> <C>
CSW Power EnerShop, Inc. Lease
Marketing, Inc. Management $51 $51
EnerShop, Inc. CSW Power Lease
Marketing, Inc. Management 5 5
CSW Energy, Inc. Orange Plant 481 $ 181 662
Cogeneration, LP services
CSW Energy, Inc. Polk Plant 361 176 537
Cogeneration, LP services
CSW Services Sweeny
International, Inc. Cogeneration, LP Plant 506 239 745
services
CSW Dev I, Inc. Polk Plant 105 0 105
Cogeneration, LP Services
CSW Energy, Inc. Eastex Plant 31 44 75
Cogeneration, LP Services
</TABLE>
For other associate company transactions, please refer to the most recent annual
report on Form U-13-60 filed by Central and South West Corporation with the
Securities and Exchange Commission.
<PAGE>
ITEM 4 - SUMMARY OF AGGREGATE INVESTMENT
Investments in energy-related companies (thousands):
Total consolidated capitalization as of
December 31, 1999 $7,857,321 line 1
Total capitalization multiplied by 15% 1,178,598 line 2
(line 1 multiplied by 0.15)
Greater of $50 million or line 2 1,178,598 line 3
Total current aggregate investment: (thousands)(Beginning 4/1/97)
(categorized by major line of energy-related business)
Energy-related Category 1: Energy Services 16
Energy-related Category 5: Energy Marketing 29
Energy-related Category 7: Maintenance Services 15
Energy-related Category 8: Qualifying Facility 75
Energy-related Categories 2,3,4,6,9,10 0
Total current aggregate investment 135 line 4
---------
Difference between the greater of $50 million or 15% of
capitalization and the total aggregate investment
of the registered holding company system
(line 3 less line 4) $1,178,463 line 5
=========
Investments in gas-related companies:
Total current aggregate investment: (Beginning 4/1/97)
(categorized by major line of energy-related business)
Gas-related business Categories 1 and 2 --
Total current aggregate investment $0
=========
<PAGE>
ITEM 5 - OTHER INVESTMENTS
<TABLE>
<CAPTION>
Major line of Other Other
energy-related investment in investment in Reason for difference in other investment
business last U-9C-3 this U-9C-3
report report
- -------------------- ---------------- ----------------- -------------------------------------------------
(000's) (000's)
<S> <C> <C> <C>
Energy services $ 2,696 $0 Amounts invested prior to April 1, 1997 are
excluded from Item 4
Maintenance 0 0
services
Qualifying facility $ 194,644 0 Amounts invested prior to April 1, 1997 are
excluded from Item 4
</TABLE>
ITEM 6 - FINANCIAL STATEMENTS AND
EXHIBITS
Financial Statements
Financial statements are only required to be provided for the first three
calendar quarters of the fiscal year.
Exhibits (Exhibits B, C, D & E are filed confidentially under separate cover)
- ------------------------------------------------------------------------------
Exhibit A - Certificate of Central and South West Corporation
Exhibit B - Energy Conservation Measure, Utility/Energy Service Company Agency
Agreement between West Texas Utilities and Enershop.
Exhibit C - PowerPrice 2000 License and Services Agreement between Utility Data
Resources and Central and South West Services Corporation
Exhibit D1* - Transaction contract (#ST401078) between Nuvest, L.L.C. and the
South Texas Project.
Exhibit D1.1* - Amendment to contract #ST401078
Exhibit D2* - Transaction contract (#ST401311) between Nuvest, L.L.C. and the
South Texas Project.
Exhibit D2.1* - Amendment to contract #ST401311
Exhibit E* - Transaction contract (#ENG-1669) between Nuvest, L.L.C. and Central
and South West Services, Inc.
* Note: Contracts submitted are the original plus the latest modification or
amendment to each contract.
Please contact Ms. Susan Parker at (214) 777-3682 with inquiries concerning this
report.
SIGNATURE
Central and South West Corporation
/s/ Lawrence B. Connors
By: Lawrence B. Connors
(Name)
Controller
(Title)
March 30, 2000
(Date)
Exhibit A
CENTRAL AND SOUTH WEST CORPORATION
CERTIFICATE
The undersigned certifies that he is the duly designated and acting
Controller of Central and South West Corporation, a Delaware corporation, and
that a conformed copy of the Quarterly Report on Form U-9C-3 shall be filed with
the specific State Commissions that have jurisdiction over the retail rates of
the public-utility companies that are associate companies of any of the
reporting companies. The names and addresses of the specific State Commissions
are:
Arkansas Public Service Commission
1000 Center
P. O. Box 400
Little Rock, AR 72203-0400
Louisiana Public Service Commission
One American Place
P. O. Box 91154
Baton Rouge, LA 70821-9154
Oklahoma Corporation Commission
2101 N. Lincoln Blvd.
P. O. Box 52000-2000
Oklahoma City, OK 73152-2000
Public Utility Commission of Texas
1701 N. Congress Avenue
Austin, TX 78701
IN WITNESS WHEREOF, I have hereunto set my hand as of the 30th day of
March, 2000.
/s/ Lawrence B. Connors
Lawrence B. Connors
Controller
