File No. 074-00015
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM U-9C-3
QUARTERLY REPORT
For the quarter ended March 31, 2003
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
AMERICAN ELECTRIC POWER COMPANY, INC.
FORM U-9C-3
For the Quarter Ended March 31, 2003
CONTENTS
Page
ITEM 1 - Organization Chart 1
ITEM 2 - Issuances and Renewals of Securities and
Capital Contributions 8
ITEM 3 - Associated Transactions 9
ITEM 4 - Summary of Aggregate Investment 10
ITEM 5 - Other Investments 10
ITEM 6 - Financial Statements and Exhibits 11
Statements of Income
Balance Sheet
Exhibits
1
ITEM 1 - ORGANIZATION CHART
Company names are indented and numbered to identify them as subsidiaries of the
company that is listed immediately above them at the next tier. Some companies
are subsidiaries of more than one company. The reference code for each
subsidiary refers to the supplemental schedule to the organization chart that
provides details regarding date and state of organization, nature of business,
etc. required to be reported under Item 1.
Reference Code
00. American Electric Power Company, Inc.
01. American Electric Power Service Corporation
01. AEP C&I Company, LLC 1
02. AEP Ohio Commercial & Industrial Retail Company, LLC 2
02. AEP Texas Commercial & Industrial Retail GP, LLC 3
03. AEP Texas Commercial & Industrial Retail Limited Partnership 4
02. AEP Texas Commercial & Industrial Retail Limited Partnership 4
02. AEP Gas Power GP, LLC 5
03. AEP Gas Power Systems, LLC 6
02. AEP Retail Energy LLC 26
02. REP Holdco, LLC 85
03. Mutual Energy SWEPCO LLC 16
03. REP General Partner LLC 17
04. Mutual Energy SWEPCO LLC 16
01. AEP Coal, Inc. 7
02. Snowcap Coal Company, Inc. 8
02. AEP Kentucky Coal, LLC 9
02. AEP Ohio Coal, LLC 10
02. AEP West Virginia Coal, Inc. 11
02. Leesville Land, LLC 62
02. Springdale Land, LLC 74
01. AEP Energy Services, Inc. 12
01. AEP Investments, Inc.
02. AEP EmTech, LLC 15
03. Universal Supercapacitors, LLC 18
03. Integrated Fuel Cell Technologies, Inc. 33
03. Distribution Vision 2010, LLC 16
02. Dynelec, Inc. 17
02. Energy Trading Platform Holding Company, Inc. 13
02. Intercontinental Exchange Inc. 14
02. PowerSpan Corp. 24
02. AEMT, Inc. 31
02. Enerwise Global Technologies, Inc. 87
02. Powerware Solutions, Inc. 32
02. PHPK Technologies, Inc. 25
01. Mutual Energy L.L.C. 19
02. AEP Ohio Retail Energy, LLC 21
01. AEP Power Marketing, Inc. 22
02. AEP Coal Marketing, LLC 20
02. AEP Emissions Marketing, LLC 54
01. AEP T&D Services, LLC 23
01. AEP Pro Serv, Inc.
03. Diversified Energy Contractors Company, LLC 64
03. DECCO II LLC 65
04. Diversified Energy Contractors, LP 66
03. Diversified Energy Contractors, LP 66
03. Industry and Energy Associates, L.L.C. 67
02. United Sciences Testing, Inc. 86
01. AEP Texas POLR, LLC 27
02. AEP Texas POLR GP, LLC 28
03. POLR Power, L.P. 29
02. POLR Power, L.P. 29
01. AEP Utilities, Inc.
02. Southwestern Electric Power Company
03. The Arklahoma Corporation 34
03. Southwest Arkansas Utilities Corporation 35
03. Dolet Hills Lignite Company, LLC 36
02. CSW Energy, Inc.
03. CSW Development-I, Inc. 37
04. Polk Power GP II, Inc. 38
05. Polk Power GP, Inc. 39
06. Polk Power Partners, LP 40
07. Mulberry Holdings, Inc. 41
04. CSW Mulberry II, Inc. 42
05. CSW Mulberry, Inc. 43
04. Polk Power Partners, LP 40
05. Mulberry Holdings, Inc. 41
04. Noah I Power GP, Inc. 44
05. Noah I Power Partners, LP 45
06. Brush Cogeneration Partners 46
04. Noah I Power Partners, LP 45
05. Brush Cogeneration Partners 46
04. Orange Cogeneration GP II, Inc. 47
05. Orange Cogeneration G.P., Inc. 48
06. Orange Cogeneration Limited Partnership 49
07. Orange Cogen Funding Corp. 50
08. Orange Holdings, Inc. 51
04. CSW Orange II, Inc. 52
05. CSW Orange, Inc. 53
06. Orange Cogeneration Limited Partnership 49
07. Orange Cogen Funding Corp. 50
08. Orange Holdings, Inc. 51
03. CSW Ft. Lupton, Inc. 55
04. Thermo Cogeneration Partnership, L.P. 56
03. CSW Sweeny GP I, Inc. 57
04. CSW Sweeny GP II, Inc. 58
05. Sweeney Cogeneration Limited Partnership 59
03. CSW Sweeny LP I, Inc. 60
04. CSW Sweeny LP II, Inc. 61
05. Sweeney Cogeneration Limited Partnership 59
03. CSW Power Marketing, Inc. 30
03. CSW Services International, Inc. 63
03. CSW Eastex GP I, Inc. 68
04. CSW Eastex GP II, Inc. 69
05. Eastex Cogeneration Limited Partnership 70
03. CSW Eastex LP I, Inc. 71
04. CSW Eastex LP II, Inc. 72
05. Eastex Cogeneration Limited Partnership 70
02. EnerShop Inc. 73
02. CSW Energy Services, Inc. 75
03. Nuvest, L.L.C. 76
04. National Temporary Services, Inc. 77
05. Octagon, Inc. 78
04. Numanco, L.L.C. 79
05. NuSun, Inc. 80
06. Sun Technical Services, Inc. 81
06. Calibration and Testing Corporation 82
05. ESG, L.L.C. 83
05. Numanco Services, LLC 84
Percentage
Energy or of Voting
Name of Gas-Related Date of State of Securities
Reporting Company Company Organization Organization Held Nature of Business
-------------------------- ---------- ---------- ----------- --------- ------------------------------
1 AEP C&I Company, LLC Energy 10/10/00 Delaware 100% Marketing of natural gas,
electricity or energy
related products
2 AEP Ohio Commercial & Industrial Energy 10/10/00 Delaware 100% Marketing of natural gas,
electricity or energy
Retail Company, LLC related products
3 AEP Texas Commercial & Industrial Energy 12/11/00 Delaware 100% Marketing of natural gas,
electricity or energy
Retail GP, LLC related products
4 AEP Texas Commercial & Industrial Energy 12/12/00 Delaware 100% Marketing of natural gas,
electricity or energy
Retail Limited Partnership related products
5 AEP Gas Power GP, LLC Energy 12/19/00 Delaware 100% Distributed generation products
6 AEP Gas Power Systems, LLC Energy 07/09/96 Delaware 75% Distributed generation products
7 AEP Coal, Inc. Energy 10/29/01 Nevada 100% Coal Mining
8 Snowcap Coal Company, Inc. Energy 10/29/01 Delaware 100% Coal Mining
9 AEP Kentucky Coal, LLC Energy 10/29/01 Delaware 100% Coal Mining
10 AEP Ohio Coal, LLC Energy 10/26/01 Delaware 100% Coal Mining
11 AEP West Virginia Coal, Inc. Energy 10/29/01 Nevada 100% Coal Mining
12 AEP Energy Services, Inc. Energy 09/24/96 Ohio 100% Broker and market energy
commodities
13 Energy Trading Platform Holding Energy 04/28/00 Delaware 16.70% Energy Marketing
Company, Inc.
14 Intercontinental Exchange, Inc. Energy 06/16/00 Delaware 4.87% Energy Marketing
15 AEP EmTech, LLC Energy 01/03/01 Delaware 100% Development & commercialization
of electrotechnologies
16 Mutual Energy SWEPCO LLC Energy 04/04/01 Delaware 100% Marketing of natural gas,
electricity or energy
related products
17 REP General Partner LLC Energy 04/04/01 Delaware 100% Marketing of natural gas,
electricity or energy
related products
18 Universal Supercapacitors, LLC Energy 04/16/02 Delaware 50.00% Non-regulated energy-related
services and projects
19 Mutual Energy L.L.C. Energy 12/17/99 Delaware 100% Marketing of natural gas,
electricity or energy
related products
20 AEP Coal Marketing, LLC Energy 01/22/03 Delaware 100% Marketing of natural gas,
electricity or energy
related products
21 AEP Ohio Retail Energy, LLC Energy 09/05/00 Delaware 100% Marketing of natural gas,
electricity or energy
related products
22 AEP Power Marketing, Inc. Energy 07/22/96 Ohio 100% Marketing of natural gas,
electricity or energy
related products
23 AEP T&D Services, LLC Energy 12/12/00 Delaware 100% Energy services including
operations, supply chain,
transmission and distribution
24 Powerspan Corp Energy 05/14/97 Delaware 9.80% Pollution Control Technology
Development
25 PHPK Technologies, Inc. Energy 07/01/91 Ohio 40.40% Cryogenic and Vacuum Equipment
Manufacture & Service
26 AEP Retail Energy LLC Energy 06/28/00 Delaware 100% Marketing of natural gas,
electricity or energy
related products
27 AEP Texas POLR, LLC (aka AEP Texas Energy 12/11/00 Delaware 100% Marketing of natural gas,
electricity or energy
Retail GP, LLC) related products
28 AEP Texas POLR GP, LLC Energy 11/14/01 Delaware 100% Marketing of natural gas,
electricity or energy
related products
29 POLR Power, L.P. Energy 11/14/01 Delaware 100% Marketing of natural gas,
electricity or energy
related products
30 CSW Power Marketing, Inc. Energy Delaware 100% Energy Management
31 AEMT, Inc. Energy 12/23/97 Florida 0% Power conditioning product mfg
and sales
32 Powerware Solutions, Inc. Energy 02/15/94 Texas 4.00% Energy Management Systems for
water utilities
33 Integrated Fuel Cell Technologies, Inc. Energy 04/04/01 Delaware .10% Non-regulated energy-related
services and projects
34 The Arklahoma Corporation Energy 05/16/47 Arkansas 44.20% Electric Transmission
35 Southwest Arkansas Utilities Energy 03/22/28 Arkansas 100.00% Inactive
Corporation
36 Dolet Hills Lignite Company, LLC Energy 04/09/01 Delaware 100% Coal Mining
37 CSW Development-I, Inc. Energy 12/06/90 Delaware 100% Qualifying Facility
38 Polk Power GP II, Inc. Energy 03/20/95 Delaware 50% Qualifying Facility
39 Polk Power GP, Inc. Energy 09/18/91 Delaware 100% Qualifying Facility
40 Polk Power Partners, LP Energy 02/19/92 Delaware 50% Qualifying Facility
41 Mulberry Holdings, Inc. Energy 10/28/99 Delaware 100% Qualifying Facility
42 CSW Mulberry II, Inc. Energy 03/21/95 Delaware 100% Qualifying Facility
43 CSW Mulberry, Inc. Energy 02/03/94 Delaware 100% Qualifying Facility
44 Noah I Power GP, Inc. Energy 05/14/91 Delaware 100% Qualifying Facility
45 Noah I Power Partners, LP Energy 05/16/91 Delaware 100% Qualifying Facility
46 Brush Cogeneration Partners Energy 06/17/94 Delaware 50% Qualifying Facility
47 Orange Cogeneration GP II, Inc. Energy 03/16/95 Delaware 50% Qualifying Facility
48 Orange Cogeneration G.P., Inc. Energy 02/05/93 Delaware 100% Qualifying Facility
49 Orange Cogeneration Limited Partnership Energy 02/05/93 Delaware 50.00% Qualifying Facility
50 Orange Cogen Funding Corp. Energy 06/11/92 Delaware 100% Qualifying Facility
51 Orange Holdings, Inc. Energy 10/28/99 Delaware 100% Qualifying Facility
52 CSW Orange II, Inc. Energy 03/16/95 Delaware 100% Qualifying Facility
53 CSW Orange, Inc. Energy 04/21/93 Delaware 100% Qualifying Facility
54 AEP Emissions Marketing, LLC Energy 01/22/03 Delaware 100% Marketing of natural gas,
electricity or energy
related products
55 CSW Ft. Lupton, Inc. Energy 04/01/93 Delaware 50% Qualifying Facility
56 Thermo Cogeneration Partnership, L.P. Energy 03/17/93 Delaware 100% Qualifying Facility
57 CSW Sweeny GP I, Inc. Energy 09/06/95 Delaware 100% Qualifying Facility
58 CSW Sweeny GP II, Inc. Energy 09/06/95 Delaware 100% Qualifying Facility
59 Sweeney Cogeneration Limited Energy 10/10/95 Delaware 50% Qualifying Facility
Partnership
60 CSW Sweeny LP I, Inc. Energy 09/06/95 Delaware 100% Qualifying Facility
61 CSW Sweeny LP II, Inc. Energy 09/06/95 Delaware 100% Qualifying Facility
62 Leesville Land, LLC Energy 02/11/03 Delaware 100% Coal mining
63 CSW Services International, Inc. Energy 03/19/97 Delaware 100% Non-regulated energy-related
services and projects
64 Diversified Energy Contractors Energy 07/03/97 Delaware 100% Non-regulated energy-related
Company, LLC services and projects
65 DECCO II LLC Energy 08/08/97 Delaware 100% Non-regulated energy-related
services and projects
66 Diversified Energy Contractors, LP Energy 08/18/98 Delaware 100% Non-regulated energy-related
services and projects
67 Industry and Energy Associates, L.L.C. Energy 05/26/98 Delaware 100% Non-regulated energy-related
services and projects
68 CSW Eastex GP I, Inc. Energy 09/04/98 Delaware 100% Qualifying Facility
69 CSW Eastex GP II, Inc. Energy 09/04/98 Delaware 100% Qualifying Facility
70 Eastex Cogeneration Limited Partnership Energy 09/09/98 Delaware 50% Qualifying Facility
71 CSW Eastex LP I, Inc. Energy 09/04/98 Delaware 100% Qualifying Facility
72 CSW Eastex LP II, Inc. Energy 09/04/98 Delaware 100% Qualifying Facility
73 EnerShop Inc. Energy 09/11/95 Delaware 100% Energy Marketing Services
74 Springdale Land, LLC Energy 02/11/03 Delaware 100% Coal mining
75 CSW Energy Services, Inc. Energy 09/24/97 Delaware 100% Energy Marketing Services
76 Nuvest, L.L.C. Energy 02/20/96 Delaware 92.90% Staff Augmentation to Power
Plants
77 National Temporary Services, Inc. Energy 12/31/90 Pennsylvania 100% Staff Augmentation to Power
Plants
78 Octagon, Inc. Energy 11/05/93 Delaware 100% Staff Augmentation to Power
Plants
79 Numanco, L.L.C. Energy 04/08/96 Oklahoma 100% Staff Augmentation to Power
Plants
80 NuSun, Inc. Energy 04/26/88 Delaware 100% Staff Augmentation to Power
Plants
81 Sun Technical Services, Inc. Energy 01/16/91 California 100% Staff Augmentation to Power
Plants
82 Calibration and Testing Corporation Energy 01/02/80 California 100% Staff Augmentation to Power
Plants
83 ESG, L.L.C. Energy 11/27/96 Oklahoma 50% Staff Augmentation to Power
Plants
84 Numanco Services, LLC Energy 04/08/96 Oklahoma 100% Staff Augmentation to Power
Plants
85 REP Holdco, LLC Energy 04/04/01 Delaware 100% Marketing of natural gas,
electricity or energy
related products
86 United Sciences Testing, Inc. Energy 05/07/97 Delaware 100% Coal Cleaning Technology
87 Enerwise Global Technologies, Inc. Energy 03/02/01 Delaware 5% Energy Investments
ITEM 2 - ISSUANCES AND RENEWALS OF SECURITIES AND CAPITAL CONTRIBUTIONS
SECURITIES:
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)
NONE
FINANCING AMONG ASSOCIATE COMPANIES:
Company Type of Principal Person to
Issuing Security Amount of Issue or Cost of Whom Security
Security Issued Security Renewal Capital Was Issued
-------- -------- -------- -------- ------- -------------
(in thousands)
None
CAPITAL CONTRIBUTIONS:
Company Company
Contributing Receiving Amount of
Capital Capital Capital Contributions
------------- --------- ---------------------
(in thousands)
None
ITEM 3 - ASSOCIATED TRANSACTIONS
Part I -- Transactions performed by reporting companies on behalf of associate companies
Reporting Associate
Company Company Types of Direct Indirect Total
Rendering Receiving Services Costs Costs Cost Amount
Services Services Rendered Charged Charged of Capital Billed
--------- --------- -------- ------- ------- ---------- ------
(in thousands)
Nuvest, LLC South Texas Project Engineering $ 1,089 - - $ 1,089
Nuvest, LLC D.C. Cook Engineering 8,835 - - 8,835
Nuvest, LLC Regional Service
Office - West Engineering 3,230 - - 3,230
Part II -- Transactions performed by associate companies on behalf of reporting companies
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)
American Electric
Power Service Corporation AEPES Administrative & Marketing $ 4,192 $2,870 $ - $ 7,062
Houston Pipeline AEPES Asset Management 6,250 - - 6,250
Jefferson Island AEPES Asset Management 1,250 - - 1,250
CSW Energy, Inc. Polk Power
Partners, L.P. Plant Services 446 180 - 626
CSW Energy, Inc. Orange
Cogeneration
L.P. Plant Services 388 127 - 515
CSW Dev I, Inc. Polk Power
Parnters, L.P. Plant Services 90 - - 90
CSW Services International Inc. Eastex
Cogeneration
L.P. Plant Services 764 454 - 1,218
CSW Services International Inc. Sweeny
Cogeneration
L.P. Plant Services 537 636 - 1,173
------- ------ ---- -------
Total $13,917 $4,267 $ - $18,184
======= ====== ==== =======
ITEM 4 - SUMMARY OF AGGREGATE INVESTMENT
Investments in energy-related companies:
(in thousands)
Total consolidated capitalization
as of March 31, 2003 $22,407,347(a) Line 1
Total capitalization multiplied by 15%
(line 1 multiplied by 0.15) 3,361,102 Line 2
Greater of $50 million or line 2 $3,361,102 Line 3
Total current aggregate investment:
(categorized by major line of
energy-related business)
Energy-related Category 1: Energy Services 24,788
Energy-related Category 5: Energy Marketing 809,589
Energy-related Category 7: Maintenance Services 78,476
Energy-related Category 8: Qualifying Facility 682,312
Energy-related Category 10: Other Form of Energy 150,931
Energy-related Category 2,3,4,6,9 57,150
Total current aggregate investment 1,803,246 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) $1,557,856 Line 5
==========
(a) Includes short-term debt.
Investments in gas-related companies:
NONE
ITEM 5 - OTHER INVESTMENTS
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
----------------- ------------------ ------------------ ------------------------
(in thousands)
CSW Energy Services
Invested prior to
April 1, 1997 $ 2,696 $ 2,696 Amounts are excluded from Item 4
Qualifying facility
Invested prior to
April 1, 1997 $194,644 $194,644 Amounts are excluded from Item 4
ITEM 6 - FINANCIAL STATEMENTS AND EXHIBITS
List all financial statements and exhibits filed as a part of this report.
Financial Statements:
Balance sheets and Income Statements for period ended March 31, 2003 are
filed confidentially under a separate cover for:
AEP C&I Company, LLC
AEP Coal, Inc.
AEP EmTech LLC
AEP Energy Services, Inc.
AEP Gas Power GP, LLC
AEP Gas Power System GP, LLC
AEP Ohio C&I Retail Company
AEP Power Marketing, Inc.
AEP Retail Energy, LLC
AEP T&D Services, LLC
AEP Texas C&I Retail LP
AEP Texas C&I Retail GP, LLC
AEP Texas GP, LLC
CSW Development-I, Inc. (consolidated)
CSW Energy Consolidated
CSW Energy Services, Inc.
CSW Ft. Lupton, Inc.
CSW Power Marketing, Inc.
CSW Services International Inc.
CSWI Consolidated
Diversified Energy Contractors Company (DECCO)
Dolet Hills Lignite Company
Eastex Cogeneration LP
Enershop, Inc.
Mutual Energy LLC (consolidated)
Mutual Energy SWEPCO LLC
Nuvest, LLC
POLR Power, L.P.
REP General Partner LLC
Sweeny Companies (consolidated)
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.
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, 2003 (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 State Commission
211 Sower Boulevard
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
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
May, 2003.
/s/ Geoffrey S. Chatas
-------------------------
Geoffrey S. Chatas
Treasurer
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/ Geoffrey S. Chatas
--------------------
Geoffrey S. Chatas
Treasurer
May 30, 2003