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Previous: ACADIA REALTY TRUST, 8-K, EX-99, 2000-11-29 |
Next: ALLIANCE MUNICIPAL INCOME FUND II, NSAR-B, EX-99, 2000-11-29 |
*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
Item Page
Number Number
1 Organization Chart . . . . . . . . . . . . . . . . . . . . . 1
2 Issuances and Renewals of Securities and Capital
Contributions. . . . . . . . . . . . . . . . . . . . . . . 7
3 Associate Transactions
Part I - Transactions Performed by Reporting Companies on
Behalf of Associate Utility Companies. . . . . . . . . . 9
Part II - Transactions Performed by Associate Utility
Companies on Behalf of Reporting Companies . . . . . . . 10
4 Summary of Aggregate Investment. . . . . . . . . . . . . . . 11
5 Other Investments. . . . . . . . . . . . . . . . . . . . . . 12
6a Financial Statements . . . . . . . . . . . . . . . . . . . . 13
6b Exhibits . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Signatures . . . . . . . . . . . . . . . . . . . . . . . . . 14
Percentage of
Energy Date of State of Voting Nature of
Name of Reporting Company Gas-Related Company Organization Organization Securities Held Business
(Indentation indicates subsidiary relationship)
Cinergy Corp. ("Cinergy")
Investing in Utility Related
Nth Power Technologies Fund II, L.P.(1) Energy-Related 02/25/2000 California ** Technologies
Cinergy Investments, Inc. ("Investments")
Utility Materials
Cinergy Supply Network, Inc. ("Supply")(2) Energy-Related 01/14/1998 Delaware 100% Brokering Services
Utility Facilities Location and
Reliant Services, LLC ("Reliant")(3) Energy-Related 06/25/1998 Indiana 50% Construction Services
Cinergy Capital & Trading, Inc. 100% Marketing and Trading
("Capital & Trading")(4) Energy-Related 10/08/1992 Indiana Energy Commodities
Marketing and Trading
CinCap IV, LLC ("CinCap IV")(5) Energy-Related 12/03/1997 Delaware 10% Energy Commodities
Marketing and Trading
CinCap V, LLC ("CinCap V") (6) Energy-Related 07/21/1998 Delaware 10% Energy Commodities
Cinergy Marketing & Trading, LLC Marketing and Trading
("Marketing & Trading") (7) Energy-Related 10/27/1995 Delaware 100% Energy Commodities
Marketing and Trading
CinPower I, LLC ("CinPower") (8) Energy-Related 06/12/1998 Delaware 100% Energy Commodities
Marketing and Trading
Cinergy Transportation, LLC (9) Energy-Related 06/14/2000 Delaware 100% Energy Commodities
Engineering and Other
Cinergy Engineering, Inc. ("Engineering") (10) Energy-Related 03/28/1997 Ohio 100% Technical Services
Commercialization of Utility
Cinergy Technology, Inc. (11) Energy-Related 12/12/1991 Indiana 100% Technology
Cinergy Solutions Holdings Company, Inc.
("Solutions")
Percentage of
Energy Date of State of Voting Nature of
Name of Reporting Company Gas-Related Company Organization Organization Securities Held Business
Utility related Engineering and
Cinergy EPCOM, LLC (12) Energy-Related 08/20/1999 Delaware 100% Other Services
Utility related Engineering and
Cinergy EPCOM College Park, LLC (13) Energy-Related 08/20/1999 Delaware 100% Other Services
Project Development--Qualifying
Cinergy Solutions, Inc. (14) Energy-Related 06/02/2000 Delaware 100% Facilities and Energy Services
Cinergy Solutions Partners, LLC (NEW)(15) Energy-Related 09/12/2000 Delaware 50% Project Development--Qualifying
Facilities
Lansing Grand River Utilities, LLC (NEW) (16) Energy-Related 09/14/2000 Delaware 100% Energy Services
Cinergy Solutions of Boca Raton, LLC (NEW) (17) Energy-Related 08/23/2000 Delaware 100% Utility related Engineering and
Other Services
Cinergy Solutions of Tuscola, Inc. (18) Energy-Related 10/13/1998 Delaware 100% Qualifying Facilities
Leasing of Energy
Energy Equipment Leasing LLC* (19) Energy-Related 11/12/1998 Delaware 49% Related Assets
Trigen-Cinergy Solutions LLC Preliminary Development of
("Trigen-Cinergy")(20) Energy-Related 02/18/1997 Delaware 50% Qualifying Facilities
Trigen-Cinergy Solutions of Ashtabula, LLC (21) Energy-Related 06/02/1999 Delaware 49% Qualifying Facilities
Trigen-Cinergy Solutions of Baltimore LLC (22) Energy-Related 11/10/1998 Delaware 49% Qualifying Facilities
Trigen-Cinergy Solutions of Boca Raton LLC (23) Energy-Related 09/04/1998 Delaware 51% Thermal Energy
Trigen-Cinergy Solutions of Cincinnati LLC (24) Energy-Related 08/29/1997 Ohio 51% Chilled Water
Trigen-Cinergy Solutions of College Park, LLC (25) Energy-Related 02/18/1999 Delaware 49% Energy Services
Trigen-Cinergy Solutions of Danville LLC* (26) Energy-Related 11/29/1999 Delaware 49% Qualifying Facilities
Trigen-Cinergy Solutions of Elmgrove, LLC (27) Energy-Related 06/14/2000 Delaware 49% Qualifying Facilities
Trigen-Cinergy Solutions of Illinois L.L.C.* (28) Energy-Related 04/17/1997 Delaware 49% Qualifying Facilities
Percentage of
Energy Date of State of Voting Nature of
Name of Reporting Company Gas-Related Company Organization Organization Securities Held Business
Trigen-Cinergy Solutions of Lansing LLC (29) Energy-Related 11/03/1999 Delaware 51% Energy Services
Trigen-Cinergy Solutions-USFOS of Lansing Energy-Related 11/03/1999 Delaware 40.8% Energy Services
LLC (30)
Trigen-Cinergy Solutions of Orlando LLC (31) Energy-Related 06/12/1998 Delaware 51% Chilled Water
Trigen-Cinergy Solutions of Owings Mills LLC (32) Energy-Related 09/20/1999 Delaware 49% Qualifying Facilities
Trigen-Cinergy Solutions of Owings Mills
Energy Equipment Leasing, LLC (33) Energy-Related 10/20/1999 Delaware 49% Leasing of Energy related Assets
Trigen-Cinergy Solutions of Rochester LLC (34) Energy-Related 10/20/1999 Delaware 49% Energy Services
Trigen-Cinergy Solutions of Silver Grove LLC (35) Energy-Related 03/18/1999 Delaware 49% Qualifying Facilities
Trigen-Cinergy Solutions of St. Paul LLC (36) Energy-Related 08/13/1998 Delaware 49% Qualifying Facilities
Trigen-Cinergy Solutions of Tuscola LLC (37) Energy-Related 08/21/1998 Delaware 49% Qualifying Facilities
Cinergy Global Resources, Inc.
Cinergy Global Power, Inc.
Holds 50% Ownership Interest in
Cinergy Global San Gorgonio, Inc. San Gorgonio
("San Gorgonio") (38) Energy-Related 10/13/1998 Delaware 100% Westwinds II, LLC
San Gorgonio Westwinds II, LLC
("Westwinds") (39) Energy-Related 10/13/1998 California 50% Qualifying Facility
Cinergy Technologies, Inc.
Investing in Utility Related
Cinergy Ventures II, LLC (NEW) (40) Energy-Related 09/01/2000 Delaware 100% Technologies
Cinergy One, Inc. (NEW) (41) Energy-Related 09/05/2000 Delaware 100% Energy Services
* Inactive
** Cinergy holds a 9.9% limited partnership interest in Nth Power Technologies Fund II, L.P.
(1) Nth Power Technologies Fund II, L.P. invests in companies developing and commercializing utility-related technologies.
(2) Supply brokers transmission, distribution and other utility-related materials and services.
(3) Reliant performs underground facilities location and construction services.
(4) Capital & Trading markets and trades energy commodities at wholesale together with derivative commodity instruments. Capital &
Trading also markets financial restructuring services with respect to existing wholesale energy contracts. Certain subsidiaries
of Capital & Trading are exempt wholesale generators; such subsidiaries did not contribute substantial revenues to Capital &
Trading for periods covered by Capital & Trading's financial statements filed concurrently herewith.
(5) CinCap IV purchases and sells electricity at wholesale.
(6) CinCap V purchases and sells electricity at wholesale.
(7) Marketing & Trading (formerly Producers Energy Marketing, LLC) is engaged in the marketing of natural gas at wholesale.
(8) CinPower was formed to optimize economic benefits in connection with a restructured wholesale power purchase agreement.
(9) Cinergy Transportation, LLC is engaged in the marketing of natural gas at wholesale.
(10) Engineering is in the business of marketing various utility-related engineering services.
(11) Cinergy Technology, Inc. is devoted to developing commercial utility-related technology.
(12) Cinergy EPCOM, LLC was formed to market various utility-related engineering, procurement, construction, operation and
maintenance functions.
(13) Cinergy EPCOM College Park, LLC was formed to perform various utility-related engineering, procurement, construction, operation
and maintenance functions at the University of Maryland.
(14) Cinergy Solutions, Inc. was formed to conduct certain project-related preliminary developmental activities, principally related
to cogeneration projects, and other energy-related businesses, formerly conducted by Cinergy Solutions Holdings Company, Inc.
(15) Cinergy Solutions Partners, LLC was formed to engage in development of qualifying facilities.
(16) Lansing Grand River Utilities, LLC was formed to provide energy related services to Trigen/Cinergy-USFOS of Lansing, LLC
(17) Cinergy Solutions of Boca Raton, LLC was formed to provide various utility related engineering, procurement, construction,
operation and maintenance facilities.
(18) Cinergy Solutions of Tuscola, Inc. oversees the operations and staffing of a combined heat and power plant in Tuscola, Illinois.
(19) Energy Equipment Leasing LLC was formed to lease, sell, or finance energy related equipment.
(20) Trigen-Cinergy engages in the preliminary development of qualifying facilities and/or thermal energy facilities; specific
projects are
developed and held by special purpose affiliates (listed elsewhere in Item 1.
(21) Trigen-Cinergy Solutions of Ashtabula, LLC was formed to develop, construct, operate, and maintain energy facilities located in
Ashtabula, Ohio, and to provide other energy-related products and services.
(22) Trigen-Cinergy Solutions of Baltimore LLC was formed to develop, construct, operate, and maintain energy facilities located in
Baltimore, Maryland, and to provide other energy-related products and services.
(23) Trigen-Cinergy Solutions of Boca Raton LLC was formed to develop, construct, finance, operate, and maintain certain thermal
energy facilities to be located in Boca Raton, Florida and to sell associated thermal and other energy-related products and
services.
(24) Trigen-Cinergy Solutions of Cincinnati LLC owns and operates a district cooling business in downtown Cincinnati, Ohio.
(25) Trigen-Cinergy Solutions of College Park, LLC was formed to operate and maintain cogeneration equipment located in College Park,
Maryland and owned by the University of Maryland.
(26) Trigen-Cinergy Solutions of Danville LLC was formed to acquire existing cogeneration assets.
(27) Trigen-Cinergy Solutions of Elmgrove, LLC was formed to provide energy services, including cogeneration, steam, and compressed
air, at the customer's manufacturing facility in New York.
(28) Trigen-Cinergy Solutions of Illinois L.L.C. was formed to provide energy services, including cogeneration, steam, and compressed
air, at the customer's manufacturing facility in Illinois.
(29) Trigen-Cinergy Solutions of Lansing LLC was formed to enter a LLC Agreement with US Filter Operating Services, Inc. providing
for the formation and management of Trigen-Cinergy Solutions-USFOS of Lansing LLC.
(30) Trigen-Cinergy Solutions-USFOS of Lansing LLC was formed to develop, construct, and operate certain energy facilities to be
located at the General Motors Corporation in Lansing, Michigan.
(31) Trigen-Cinergy Solutions of Orlando LLC was formed to develop, construct, operate, and maintain a district cooling business in
the city of Orlando, Florida.
(32) Trigen-Cinergy Solutions of Owings Mills LLC was formed to develop, construct, operate, and maintain certain energy facilities
to be located at the Sweetheart Cup Corporation in Owings Mills, Maryland.
(33) Trigen-Cinergy Solutions of Owings Mills Energy Equipment Leasing, LLC was formed to lease, sell, or finance energy-related
equipment.
(34) Trigen-Cinergy Solutions of Rochester LLC was formed to provide energy services to Kodak Park in Rochester, New York.
(35) Trigen-Cinergy Solutions of Silver Grove LLC was formed to provide energy and other services to the Lafarge Gypsum manufacturing
plant in Silver Grove, Kentucky. These services will include the design, installation, and operation of a combined heat and
power system.
(36) Trigen-Cinergy Solutions of St. Paul LLC was formed to develop, construct, finance, own, operate, and maintain certain energy
facilities to be
located in St. Paul, Minnesota and to sell associated electricity and thermal energy products and services.
(37) Trigen-Cinergy Solutions of Tuscola LLC was formed to develop, construct, operate, and maintain certain energy facilities to be
located in Tuscola, Illinois and to provide thermal energy products and services.
(38) San Gorgonio holds a 50% interest in San Gorgonio Westwinds II, LLC.
(39) Westwinds owns a qualifying small power production windfarm facility in California.
(40) Cinergy Ventures II, LLC was formed for the purpose of pursuing energy related technology equity investments and
running energy related technology pilots.
(41) Cinergy One, Inc. was formed to provide various utility-related engineering, procurement, construction, and operation and
maintenance functions.
Associate Company Advancing Energy-Related Type of Net Change in
Funds Company Receiving Funds Transaction Borrowings/Contributions
-------------------------------- --------------------------------------------------- ---------------------------------- ---------------------------------
(in thousands)
Investments Supply Open account advance $ 52
Investments Reliant Open account advance 138
Investments Capital & Trading Open account repayment (74,954)
Investments Engineering Open account advance 185
Investments Cinergy Technology, Inc. Open account repayment (1,772)
Capital & Trading CinCap IV Open account advance 553
Capital & Trading CinCap V Open account advance 570
Capital & Trading Marketing & Trading Open account advance 13,289
Capital & Trading CinPower Open account advance 298
Solutions Cinergy EPCOM, LLC Open account advance 471
Solutions Cinergy EPCOM College Park, LLC Open account advance 183
Solutions Cinergy Solutions of Tuscola, Inc. Open account advance 2,858
Solutions Trigen-Cinergy Open account advance 628
Trigen-Cinergy Solutions of Ashtabula, LLC
Solutions Open account advance 4,993
Trigen-Cinergy Solutions of
Solutions Baltimore LLC Open account repayment (63)
Trigen-Cinergy Solutions of Boca Raton LLC
Solutions Open account repayment (518)
Associate Company Advancing Funds Energy-Related Type of Net Change in
Company Receiving Funds Transaction Borrowings/Contributions
-------------------------------------- ------------------------------------------------- ------------------------------ ---------------------------------
Trigen-Cinergy Solutions of Cincinnati LLC
Solutions Open account repayment (220)
Trigen-Cinergy Solutions of College Park, LLC
Solutions Open account advance 80
Solutions Trigen-Cinergy Solutions of Open account repayment (646)
Tuscola LLC
Cinergy Global Power, Inc. San Gorgonio Capital contribution 1,307
*Item 2 excludes an increase in guarantees issued on behalf of energy-related companies by Cinergy or its subsidiaries during the
third quarter of 2000 totaling approximately $105 million. These guarantees are included in Item 4. Summary of Aggregate
Investment.
Reporting Company Rendering Services(1) Associate Utility Company Types of Services Rendered Total Amount Billed
Receiving Services
----------------------------------------------------- ----------------------------------- ----------------------------------- ---------------------
(in thousands)
Line locating and underground
The Cincinnati Gas & Electric construction services
Reliant Company $541
Line locating and underground
construction services
Reliant PSI Energy, Inc. 927
Line locating and underground
The Union Light, Heat and Power construction services
Reliant Company 35
(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).
Associate Utility Company Rendering Services(1) Reporting Company Receiving Types of Services Rendered Total Amount Billed
Services
----------------------------------------------------- ----------------------------------- ----------------------------------- ---------------------
(in thousands)
PSI Energy, Inc. Cinergy EPCOM, LLC Engineering and construction services $ 49
PSI Energy, Inc. Capital & Trading Engineering services 2
Cinergy Solutions of
PSI Energy, Inc. Tuscola, Inc. Maintenance services 35
Engineering and Operation 3
PSI Energy, Inc. Solutions Consulting services
The Cincinnati Gas & Electric Company Capital & Trading Engineering services 9
The Cincinnati Gas & Electric Company Cinergy EPCOM, LLC Engineering and construction services 326
(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).
September 30,2000
-----------------------------------
(in thousands)
Investments in Energy-Related Companies:
Total consolidated capitalization of Cinergy as of September 30, 2000
$6,701,674
Total capitalization multiplied by 15% $1,005,251
Greater of $50 million or total capitalization multiplied by 15%
1,005,251
Total current aggregate investment subsequent to March 24, 1997
(categorized by major line of energy-related business):
Energy-related business category "ii" (1) 12,919
Energy-related business category "v" (2) 346,332
Energy-related business category "vi" (3) 14,188
Energy-related business category "vii" (4) 31,398
Energy-related business category "viii" (5) 59,333
------
Total current aggregate investment 464,170
----------
Difference between the greater of $50 million or 15% of
capitalization and the total aggregate investment of the
registered holding company system
$541,081
==========
(1) Rule 58 defines category "ii" as the development and commercialization of electrotechnologies related to energy conservation,
storage and conversion, energy efficiency, waste treatment, greenhouse gas reduction, and similar innovations.
(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.
Major Line of Energy-Related Business Other Investment in Last U-9C-3 Report Other Investment in this U-9C-3 Report Reason for Difference in Other Investment
(in thousands)
NONE
(a) Financial Statements Filed pursuant to Rule 104(b) on a confidential basis. (b) Exhibits None
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: November 29, 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 second quarter of 2000 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
Thomas Dorman, Executive Director
211 Sower Boulevard
P.O. Box 615
Frankfort, KY 40602
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