File No. 074-00015
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM U-9C-3
QUARTERLY REPORT
For the quarter ended September 30, 1997
Filed Pursuant to Rule 58 of the Public Utility Holding Company
Act of 1935
by
AMERICAN ELECTRIC POWER COMPANY, INC.
1 Riverside Plaza, Columbus, Ohio 43215
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AMERICAN ELECTRIC POWER COMPANY, INC.
FORM U-9C-3
For the Quarter Ended September 30, 1997
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CONTENTS
Page
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ITEM 1 - Organization Chart 1
ITEM 2 - Issuances and Renewals of Securities and
Capital Contributions 1
ITEM 3 - Associated Transactions 2
ITEM 4 - Summary of Aggregate Investment 3
ITEM 5 - Other Investments 3
ITEM 6 - Financial Statements and Exhibits 4
Statements of Income 5
Balance Sheet 6
Exhibits 7
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ITEM 1 - ORGANIZATION CHART
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Name Energy or Percentage
of Reporting gas-related Date of State of Of Voting Nature of
Company Company Organization Organization Securities Held Business
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AEP Energy Services, Energy September 24, 1996 Ohio 100% To broker and market
Inc. (AEPES) Energy commodities
ITEM 2 - ISSUANCES AND RENEWALS OF SECURITIES AND CAPITAL CONTRIBUTIONS
SECURITIES:
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Company Type of Principal Person to Collateral Consideration
Issuing Security Amount of Issue or Cost of Whom Security Given With Received for
Security Issued Security Renewal Capital Was Issued Security Each Security
(in thousands) (in thousands)
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AEPES Short-term Various None
Debt $1,700 Issue N/A Financial $1,700
Institutions
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ITEM 3 - ASSOCIATED TRANSACTIONS
Part I -- Transactions performed by reporting companies on behalf of associate companies
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Reporting Associate
Company Company Types of Direct Indirect Total
Rendering Receiving Services Costs Costs Cost Amount
Services Services Rendered Charged Charged of Capital Billed
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NONE
Part II -- Transactions performed by associate companies on behalf of reporting companies
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Associate Reporting
Company Company Types of Direct Indirect Total
Rendering Receiving Services Costs Costs Cost Amount
Services Services Rendered Charged Charged of Capital Billed
(in thousands)
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American Electric
Power Service Corporation AEPES Administrative and Marketing $ 851 $458 $ - $1,309
Appalachian Power Company AEPES Marketing 137 - - 137
Columbus Southern Power Company AEPES Marketing 83 23 - 106
Indiana Michigan Power Company AEPES Marketing 38 2 - 40
Kentucky Power Company AEPES Marketing 13 3 - 16
Ohio Power Company AEPES Marketing 64 22 - 86
Wheeling Power Company AEPES Marketing 3 1 - 4
AEP Resources Service Company AEPES Marketing 6 3 - 9
Total $1,195 $512 $ - $1,707
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ITEM 4 - SUMMARY OF AGGREGATE INVESTMENT
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Investments in energy-related companies:
(in thousands)
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Total consolidated capitalization
as of September 30, 1997 $10,162,250 Line 1
Total capitalization multipled by 15%
(line 1 multiplied by 0.15) 1,524,338 Line 2
Greater of $50 million or line 2 $1,524,338 Line 3
Total current aggregate investment:
(categorized by major line of energy-related business)
Energy-related business 30,225(a)
Total current aggregate investment 30,225 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) $1,494,113 Line 5
(a) Includes $20 million of guaranty contracts which were terminated effective October
20, 1997.
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Investments in gas-related companies:
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NONE
ITEM 5 - OTHER INVESTMENTS
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Major Line Other Other
of Energy-Related Investment in Last Investment in This Reason for Difference in
Business U-9C-3 Report U-9C-3 Report Other Investment
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NONE
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ITEM 6 - FINANCIAL STATEMENTS AND EXHIBITS
List all financial statements and exhibits filed as a part of this report.
Financial Statements:
Statements of Income - filed under confidential treatment pursuant
to Rule 104(b).
Balance Sheet - filed under confidential treatment pursuant to Rule 104(b).
Exhibits:
1. Certificate stating that a copy of the U-9C-3 for the previous quarter
has been filed with the Ohio, Kentucky, Virginia, West Virginia,
Tennessee, Indiana and Michigan State Commissions.
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CERTIFICATE
The undersigned certifies that he is the duly designated and acting
Treasurer of American Electric Power Company, Inc., a New York corporation
("AEP"), and that:
AEP's Quarterly Report on Form U-9C-3 filed pursuant to Rule 58 for the
quarter ended June 30, 1997 (the "Quarterly Report on Form U-9C-3") was filed
with each state commission having jurisdiction over the retail rates of the
public utility companies that are associate companies of any of the reporting
companies (the "Specific State Commissions").
The names and addresses of the Specific State Commissions are:
Indiana Utility Regulatory Commission
302 West Washington Street, E 306
Indianapolis, Indiana 46204
Kentucky Public Service Commission
730 Schenkel Lane
P.O. Box 615
Frankfort, Kentucky 40602
Michigan Public Service Commission
6545 Mercantile Way
P.O. Box 30221
Lansing, Michigan 48909
Public Service Commission of West Virginia
201 Brooks Street
P.O. Box 812
Charleston, West Virginia 25323
Tennessee Regulatory Authority
460 James Robertson Parkway
Nashville, Tennessee 37243-0505
The Public Utilities Commission of Ohio
180 East Broad Street
Columbus, Ohio 43215
Virginia State Corporation Commission
1300 East Main Street
P.O. Box 2118
Richmond, Virginia 23216
IN WITNESS WHEREOF, I have hereunto set my hand as of the 21st day of
November, 1997.
/s/ G. P. Maloney
G. P. Maloney
Vice President
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SIGNATURE
The undersigned system company has duly caused this quarterly report to be
signed on its behalf by the undersigned, thereunto duly authorized, pursuant to
the requirements of the Public Utility Holding Company Act of 1935.
AMERICAN ELECTRIC POWER COMPANY, INC.
By /s/ G.P. Maloney
G.P. Maloney
Vice President
November 25, 1997