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, 2000
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, 2000
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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
Balance Sheet
Exhibits
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ITEM 1 - ORGANIZATION CHART
<CAPTION>
Name Energy or Percentage
of Reporting gas-related Date of State of Of Voting Nature of
Company Company Organization Organization Securities Held Business
------------ ----------- ------------ ------------ --------------- ---------
<S> <C> <C> <C> <C> <C>
AEP Energy Services, Energy September 24, 1996 Ohio 100% To broker and market
Inc. (AEPES) Energy commodities
Polk Power Partners, L.P.
(Polk Cogen) Energy February 1992 Delaware 46.25% Qualifying facility
Orange Cogeneration Limited
Partnership (Orange
Cogen) Energy February 1993 Delaware 50% Qualifying facility
Brush Cogeneration Partners
(Brush Cogen) Energy November 1991 Delaware 47.25% Qualifying facility
Eastex Cogeneration Limited
Partnership Energy September 1998 Delaware 99% Qualifying facility
(ownership through various intermediate holding company subsidiaries originating with CSW Development-I, Inc/CSW
Energy Inc./CSW)
Thermo Cogneration Partnership,
L.P. (Thermo Cogen) Energy April 1993 Delaware 50% Qualifying facility
(ownership through intermediate holding company CSW Ft. Lupton, Inc./CSW Energy Inc./CSW)
Sweeny Cogneration Limited
Partnership (Sweeny
Cogen) Energy September 1995 Delaware 50% Qualifying facility
(ownership through various intermemdiate holding company subsidiaries originating with CSW Sweeny GP I, Inc. and
CSW Sweeny LP I, Inc./CSW Energy Inc./CSW)
Diversified Energy
Contractors LLC (DECCO) Energy July 1997 Delaware 100% Maintenance services
(CSW Energy Inc. / CSW)
CSW Power Marketing, Inc. Energy March 1996 Delaware 100% Energy marketing
(CSW Energy Inc. / CSW)
CSW Services International,
Inc. Energy March 1997 Delaware 100% Energy management
(CSW Energy Inc. / CSW)
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Powerware Solutions, Inc. Energy February 1994 Texas 4.0% Energy Mgmt Systems
(PSO Investment) for water utilities
Utility Data Resources, Inc. Energy December 1997 Delaware 4.5% Electricity pricing
(PSO Investment) mgmt consulting and
software
Nuvest, LLC Energy March 1996 Oklahoma 93% Staff augmentation
(ESI Investment) to power plants
AEMT, Inc. Energy December 1997 Florida 0% Power conditioning
(PSO Investment) product mfg and sales
Energy Services, Inc. (ESI) Energy September 1997 Delaware 100% Energy marketing
(CSW)
EnerShop Energy September 1995 Delaware 100% Energy marketing
(CSW) Services
Energy Trading Platform Energy April 2000 16.7% Energy marketing
Holding Company
(AEP Energy Services)
Power SpanCorp Energy Delaware 9.8% Pollution Control
(AEP Pro-Serv Inc) Technology
Development
PHPK Technologies Inc. Energy 1991 Ohio 40.4% Cryogenic and Vacuum
(AEP Investments) Equipment Manufacture
and Service
Altra Energy Technology Energy December 1997 Delaware 5% Energy marketing
(AEP Investments) Software
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ITEM 2 - ISSUANCES AND RENEWALS OF SECURITIES AND CAPITAL CONTRIBUTIONS
SECURITIES:
<CAPTION>
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)
<S> <C> <C> <C> <C> <C> <C> <C>
Nuvest, LLC Loan Note $22,700 American Electric
Power
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FINANCING AMONG ASSOCIATE COMPANIES:
<CAPTION>
Company Type of Principal Person to
Issuing Security Amount of Issue or Cost of Whom Security
Security Issued Security Renewal Capital Was Issued
-------- -------- -------- -------- ------- -------------
<S> <C> <C> <C> <C> <C>
CSW Sweeny LP1 Loan Note $34,800 - - CSW Energy, Inc.
Eastex Cogeneration LP Loan Note 5,992 - - CSW Energy, Inc.
Diversified Energy
Contractors Company, LLC Loan Note 8,641 - - CSW Energy, Inc.
CSW Power Marketing, Inc. Loan Note 58 - - CSW Energy, Inc.
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<CAPTION>
CAPITAL CONTRIBUTIONS:
Company Company
Contributing Receiving Amount of
Capital Capital Capital Contributions
------------- --------- ---------------------
(in thousands)
<S> <C> <C>
NONE
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ITEM 3 - ASSOCIATED TRANSACTIONS
Part I -- Transactions performed by reporting companies on behalf of associate companies
<CAPTION>
Reporting Associate
Company Company Types of Direct Indirect Total
Rendering Receiving Services Costs Costs Cost Amount
Services Services Rendered Charged Charged of Capital Billed
--------- --------- -------- ------- ------- ---------- ------
<S> <C> <C> <C> <C>
Nuvest, LLC South Texas Project Staff $ 844 - - $ 844
Nuvest, LLC CSWS Engineering 84 - - 84
Nuvest, LLC D.C. Cook Staff 11,842 - - 11,842
CSW Services
International
Inc. Fontera Plant Services 896 143 - 1,004
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Part II -- Transactions performed by associate companies on behalf of reporting companies
<CAPTION>
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)
<S> <C> <C> <C> <C> <C> <C>
American Electric
Power Service Corporation AEPES Administrative & Marketing $ 3,184 $4,788 $ - $ 7,972
AEP Resources Gas Holding Company AEPES Administrative 6,533 - - 6,533
CSW Energy, Inc. Polk Power
Partners, L.P. Plant Services 357 170 - 527
CSW Energy, Inc. Orange
Cogeneration
L.P. Plant Services 463 168 - 631
CSW Dev I, Inc. Polk Power
Parnters, L.P. Plant Services 135 - - 135
CSW Energy, Inc. Eastex
Cogeneration
L.P. Plant Services 273 351 - 624
CSW Services International Inc. Sweeny
Cogeneration
L.P. Plant Services 470 165 - 635
------- ------ ---- -------
Total $11,415 $5,642 $ - $17,057
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ITEM 4 - SUMMARY OF AGGREGATE INVESTMENT <CAPTION> Investments in energy-related
companies:
(in thousands)
<S> <C> <C> <C>
Total consolidated capitalization as of
September 30, 2000 $24,111,249(a) Line 1
Total capitalization multiplied by 15%
(line 1 multiplied by 0.15) 3,616,687 Line 2
Greater of $50 million or line 2 $3,616,687 Line 3
Total current aggregate investment:
(categorized by major line of energy-related business)
Energy-related Category 1: Energy Services 1
Energy-related Category 5: Energy Marketing 325,288
Energy-related Category 7: Maintenance Services 44,631
Energy-related Category 8: Qualifying Facility 186,402
Energy-related Category 2,3,4,6,9,10 45,700
Total current aggregate investment 602,022 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) $3,014,665 Line 5
==========
(a) Includes short-term debt.
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<CAPTION>
Investments in gas-related companies:
<S>
NONE
ITEM 5 - OTHER INVESTMENTS
<CAPTION>
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
----------------- ------------------ ------------------ ------------------------
<S> <C> <C> <C>
Energy services
Invested prior to
April 1, 1997 $ 2,696 $ 2,696 Amounts are excluded from Item 4
Maintenance services 0 0
Qualifying facility
Invested prior to
April 1, 1997 $194,644 $194,644 Amounts are excluded from Item 4
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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:
Balance sheets for period ended September 30, 2000 are filed confidentially
under a separate cover for: AEP Energy Services, Inc.
CSW Development-I, Inc. (consolidated)
CSW Ft. Lupton, Inc.
Sweeny Companies (consolidated)
Enershop, Inc.
CSW Energy Services, Inc.
CSW Power Marketing, Inc.
Diversified Energy Contractors Company (DECCO)
CSW Services International
Eastex Cogeneration LP
Nuvest, LLC
Income Statements as of the three months ended September 30, 2000 are filed
confidentially under separate cover for: AEP Energy Services, Inc.
CSW Development-I, Inc. (consolidated)
CSW Ft. Lupton, Inc.
Sweeny Companies (consolidated)
Enershop, Inc.
CSW Energy Services, Inc.
CSW Power Marketing, Inc.
Diversified Energy Contractors Company (DECCO)
CSW Services International
Eastex Cogeneration LP
Nuvest, LLC
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, Arkansas, Louisiana, Oklahoma, Michigan and Texas
State Commissions.
2. Copies of other contracts required by Item 3 - filed under
confidential treatment pursuant to Rule 104(b).
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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 March 31, 2000 (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
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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
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
2102 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
November, 2000.
/s/ A. A. Pena
-------------------------
A. A. Pena
Treasurer
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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/ A. A. Pena
--------------------------------
A.A. Pena
Vice President
November 30, 2000
