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, 2001
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 September 30, 2001
CONTENTS
Page
ITEM 1 - Organization Chart 1
ITEM 2 - Issuances and Renewals of Securities and
Capital Contributions 7
ITEM 3 - Associated Transactions 8
ITEM 4 - Summary of Aggregate Investment 9
ITEM 5 - Other Investments 9
ITEM 6 - Financial Statements and Exhibits 10
Statements of Income
Balance Sheet
Exhibits
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.
Reference Code
00 American Electric Power Company, Inc.
01 AEP C&I Company, LLC.......................................................Ref 21
02 AEP Gas Power GP, LLC....................................................Ref 22
03 AEP Gas Power System, LLC..............................................Ref 23
02 AEP Ohio Commercial & Industrial Retail Company,LLC......................Ref 24
02 AEP Texas Commercial & Industrial Retail GP,LLC..........................Ref 27
03 AEP Texas Commercial & Industrial RetailLP.............................Ref 33
01 AEP Energy Services, Inc...................................................Ref 1
02 Energy Trading Platform Holding Company,Inc..............................Ref 17
01 AEP Investments, Inc.
02 AEP EmTech, LLC..........................................................Ref 31
02 Altra Energy Technologies, Inc...........................................Ref 20
01 AEP Pro Serv, Inc.
02 Powerspan Corp...........................................................Ref 18
02 PHPK Technologies, Inc...................................................Ref 19
01 AEP Retail Energy LLC......................................................Ref 25
01 AEP Texas Commercial & Industrial Retail Limited Partnership
01 AEP Texas Retail GP, LLC...................................................Ref 28
01 AEP T&D Services, LLC......................................................Ref 26
01 Mutual Energy L.L.C........................................................Ref 29
02 AEP Ohio Retail Energy, LLC..............................................Ref 32
02 Mutual Energy Service Company,L.L.C......................................Ref 30
01 Central and South West Corporation
02 Central Power and Light Company
02 Public Service Company of Oklahoma
03 AEMT, Inc..............................................................Ref 14
03 Ash Creek Mining Company
03 Powerware Solutions, Inc...............................................Ref 11
03 Utility Data Resources, Inc............................................Ref 12
02 REP Holdco, Inc. Ref 34 03 REP General Partner LLC.......................Ref 35
03 Mutual Energy CPL LP...................................................Ref 36
03 Mutual Energy WTU LP...................................................Ref 37
03 Mutual Energy SWEPCO LP................................................Ref 38
02 Southwestern Electric Power Company
03 Dolet Hills Lignite Company,LLC........................................Ref 39
02 CSW Energy, Inc.
03 CSW Development-I, Inc.
04 Polk Power GP II, Inc.
05 Polk Power GP, Inc.
06 Polk Power Partners, LP..........................................Ref 2
07 Mulberry Holdings, Inc.
04 CSW Mulberry II, Inc.
05 CSW Mulberry, Inc.
06 Polk Power Partners, LP..........................................Ref 2
07 Mulberry Holdings, Inc.
04 Noah I Power GP, Inc.
05 Noah I Power Partners, LP
06 Brush Cogeneration Partners......................................Ref 4
04 Noah I Power Partners, LP
05 Brush Cogeneration Partners........................................Ref 4
04 Orange Cogeneration GP II, Inc.
05 Orange Cogeneration G.P., Inc.
06 Orange Cogeneration Limited Partnership..........................Ref 3
07 Orange Cogen Funding Corp.
07 Orange Holdings, Inc.
04 CSW Orange II, Inc.
05 CSW Orange, Inc.
06 Orange Cogeneration Limited Partnership..........................Ref 3
07 Orange Cogen Funding Corp.
07 Orange Holdings, Inc.
03 CSW Development-II, Inc.
03 CSW Ft. Lupton, Inc.
04 Thermo Cogeneration Partnership, L.P.................................Ref 6
03 Newgulf Power Venture, Inc.
03 CSW Sweeny GP I, Inc.
04 CSW Sweeny GP II, Inc.
03 CSW Sweeny LP I, Inc.
04 CSW Sweeny LP II, Inc.
05 Sweeny Cogneration Limited Partnership.............................Ref 7
03 CSW Development-3, Inc.
03 CSW Northwest GP, Inc.
03 CSW Northwest LP, Inc.
03 CSW Power Marketing, Inc...............................................Ref 9
03 CSW Nevada, Inc.
03 CSW Services International, Inc........................................Ref 10
03 Diversified Energy Contractors Company, LLC............................Ref 8
04 DECCO II LLC
05 Diversified Energy Contractors, LP
04 Diversified Energy Contractors, LP
04 Industry and Energy Associates, L.L.C.
03 CSW Frontera GP I, Inc.
04 CSW Frontera GP II, Inc.
05 Frontera Generation Limited Partnership
06 Frontera International Sales Limited
03 CSW Frontera LP I, Inc.
04 CSW Frontera LP II, Inc.
05 Frontera Generation Limited Partnership
06 Frontera International Sales Limited
03 CSW Eastex GP I, Inc.
04 CSW Eastex GP II, Inc.
05 Eastex Cogeneration Limited Partnership............................Ref 5
03 CSW Eastex LP I, Inc.
04 CSW Eastex LP II, Inc.
05 Eastex Cogeneration Limited Partnership............................Ref 5
03 Southwestern Electric Wholesale Company
02 EnerShop Inc.............................................................Ref 16
03 Envirotherm, Inc.
02 CSW Energy Services, Inc.................................................Ref 15
03 Nuvest, L.L.C..........................................................Ref 13
04 National Temporary Services, Inc.
05 Octagon, Inc.
04 Numanco, L.L.C.
05 Power Systems Energy Services, Inc.
05 NuSun, Inc.
06 Sun Technical Services, Inc.
06 Calibration Testing Corporation
05 ESG Technical Services, L.L.C.
05 ESG Manufacturing, L.L.C.
05 National Environmental Services Technology,L.L.C.
05 ESG Indonesia, L.L.C.
05 Advance Shielding Technologies, L.L.C.
05 ESG, L.L.C.
Name Energy or Percentage
of Reporting gas-related Date of State of Of Voting Nature of
Company Company Organization Organization Securities Held Business
------------ ----------- ------------ ------------ --------------- ---------
Ref. 1 Energy September 24, 1996 Ohio 100% To broker and market
AEP Energy Services, Inc. Energy commodities
Ref. 2 Energy February 1992 Delaware 46.25% Qualifying facility
Polk Power Partners, L.P.
Ref. 3 Energy February 1993 Delaware 50% Qualifying facility
Orange Cogeneration Limited Partnership
Ref. 4 Energy November 1991 Delaware 47.25% Qualifying facility
Brush Cogeneration Partners
Ref. 5 Energy September 1998 Delaware 99% Qualifying facility
Eastex Cogeneration Limited Partnership
Ref. 6 Energy April 1993 Delaware 50% Qualifying facility
Thermo Cogneration Partnership, L.P.
Ref. 7 Energy September 1995 Delaware 50% Qualifying facility
Sweeny Cogneration Limited Partnership
Ref. 8 Energy July 1997 Delaware 100% Maintenance services
Diversified Energy Contractors LLC
Ref. 9 Energy March 1996 Delaware 100% Energy marketing
CSW Power Marketing, Inc.
Ref. 10 Energy March 1997 Delaware 100% Energy management
CSW Services International, Inc.
Ref. 11 Energy February 1994 Texas 4.0% Energy Mgmt Systems
Powerware Solutions, Inc. for water utilities
Ref. 12. Energy December 1997 Delaware 4.5% Electricity pricing
Utility Data Resources, Inc. mgmt consulting and
software
Ref. 13 Energy March 1996 Oklahoma 93% Staff augmentation
Nuvest, LLC to power plants
Ref. 14 Energy December 1997 Florida 0% Power conditioning
AEMT, Inc. product mfg and sales
Ref. 15 Energy September 1997 Delaware 100% Energy marketing
CSW Energy Services, Inc.
Ref. 16 Energy September 1995 Delaware 100% Energy marketing
EnerShop Services
Ref. 17 Energy April 2000 Delaware 16.7% Energy marketing
Energy Trading Platform Holding Company, Inc.
Ref. 18 Energy Delaware 9.8% Pollution Control
Power-span Corp Technology
Development
Ref. 19 Energy July 1991 Ohio 40.4% Cryogenic and Vacuum
PHPK Technologies Inc. Equipment Manufacture
and Service
Ref. 20 Energy December 1997 Delaware 5% Energy marketing
Altra Energy Technology (AEP Investments) Software
Ref. 21 Energy October 2000 Delaware 100% Marketing of natural
AEP C&I Company, LLC (AEP) gas, electricity and
energy related products
Ref. 22 Energy December 2000 Delaware 100% Distributed
AEP Gas Power GP,LLC generation products
Ref. 23 Energy December 2000 Delaware 75% Distributed
AEP Gas Power System GP, LLC generation products
Ref. 24 Energy October 2000 Delaware 100% Marketing of natural
AEP Ohio C&I Retail Company LLC gas, electricity and
energy related products
Ref. 25 Energy June 2000 Delaware 100% Marketing of
AEP Retail Energy, LLC electricity
Ref. 26 Energy December 2000 Delaware 100% Services related to
AEP T&D Services, LLC energy, including
customer operations,
supply chain,
transmission and,
distribution
Ref. 27 Energy December 2000 Delaware 100% Marketing of natural
AEP Texas Commercial & Industrial Retail GP, LLC gas, electricity and
energy related products
Ref. 28 Energy December 2000 Delaware 100% Marketing of natural
AEP Texas Retail GP, LLC gas, electricity and
energy related products
Ref. 29 Energy December 1999 Delaware 100% Marketing of natural
Mutual Energy LLC gas, electricity and
energy related products
Ref. 30. Energy September 2000 Delaware 100% Marketing of natural
Mutual Energy Service Company LLC gas, electricity and
energy related products
Ref. 31. Energy January 2001 Delaware 100% Development and
AEP EmTech, LLC commercialization of
electrotechnologies
Ref. 32. Energy September 2000 Delaware 100% Marketing of electricity
AEP Ohio Retail Energy, LLC natural gas, and
energy related products
Ref. 33. Energy December 2000 Delaware 100% Marketing of electricity
AEP Texas Commercial & Industrial Retail LP natural gas, and
energy related products
Ref. 34. Energy April 2001 Delaware 100% Holding Company for
REP Holdco, Inc. Mutual Energy CPL LP,
Mutual Energy WTU LP
Mutual Energy WEPCO LP
Ref. 35. Energy April 2001 Delaware 100% General Partner for
REP General Partner LLC Mutual Energy CPL LP,
Mutual Energy WTU LP
Mutual Energy SWEPCO LP
Ref. 36. Energy April 2001 Delaware 100% Marketing of electricity
Mutual Energy CPL LP natural gas, and
energy related products
Ref. 37. Energy April 2001 Delaware 100% Marketing of electricity
Mutual Energy WTU LP natural gas, and
energy related products
Ref. 38. Energy April 2001 Delaware 100% Marketing of electricity
Mutual Energy SWEPCO LP natural gas, and
energy related products
Ref. 39. Energy April 2001 Delaware 100% Coal Mining
Dolet Hills Lignite Company, LLC
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)
Eastex Cogeneration LP Loan Note 4,878 - - CSW Energy, Inc.
CSW Power Marketing, Inc. Loan Note 208 - - CSW Energy, Inc.
CAPITAL CONTRIBUTIONS:
Company Company
Contributing Receiving Amount of
Capital Capital Capital Contributions
------------- --------- ---------------------
(in thousands)
Southwestern Electric
Power Company Dolet Hills Lignite Company 25,210
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 $ 1,332 - - $ 1,332
Nuvest, LLC D.C. Cook Engineering 11,313 - - 11,313
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 $13,117 $1,602 $ - $14,719
AEP Resources Gas Holding Company AEPES Administrative 7,774 - - 7,774
CSW Energy, Inc. Polk Power
Partners, L.P. Plant Services 280 358 - 638
CSW Energy, Inc. Orange
Cogeneration
L.P. Plant Services 419 229 - 648
CSW Dev I, Inc. Polk Power
Parnters, L.P. Plant Services 135 - - 135
CSW Energy, Inc. Eastex
Cogeneration
L.P. Plant Services 309 80 - 389
CSW Services International Inc. Sweeny
Cogeneration
L.P. Plant Services 459 226 - 685
------- ------ ---- -------
Total $22,493 $2,495 $ - $24,988
======= ====== ==== =======
ITEM 4 - SUMMARY OF AGGREGATE INVESTMENT
Investments in energy-related companies:
(in thousands)
Total consolidated capitalization as of June 30, 2001 $23,906,919(a) Line 1
Total capitalization multiplied by 15%
(line 1 multiplied by 0.15) 3,586,038 Line 2
Greater of $50 million or line 2 $3,586,038 Line 3
Total current aggregate investment:
(categorized by major line of energy-related business)
Energy-related Category 1: Energy Services 4,468
Energy-related Category 5: Energy Marketing 414,641
Energy-related Category 7: Maintenance Services 53,139
Energy-related Category 8: Qualifying Facility 1,093,850
Energy-related Category 10: Other Form of Energy 91,855
Energy-related Category 2,3,4,6,9 58,937
Total current aggregate investment 1,716,890 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) $1,869,148 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
Maintenance services 0 0
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 for period ended September 30, 2001 are filed confidentially
under a separate cover for:
AEP Energy Services, Inc.
AEP Retail Energy, LLC
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 AEP C&I Company, LLC AEP Gas Power
GP, LLC AEP Gas Power System GP, LLC AEP Ohio C&I Retail Company AEP
Retail Energy, LLC AEP T&D Services, LLC AEP Texas C&I Retail GP, LLC
AEP Texas Retail GP, LLC Mutual Energy LLC Mutual Energy Service Company
Dolet Hills Lignite Company
Income Statements as of the three months ended September 30, 2001 are filed
confidentially under separate cover for:
AEP Energy Services, Inc.
AEP Retail Energy, LLC
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 AEP C&I Company, LLC AEP Gas Power
GP, LLC AEP Gas Power System GP, LLC AEP Ohio C&I Retail Company AEP
Retail Energy, LLC AEP T&D Services, LLC AEP Texas C&I Retail GP, LLC
AEP Texas Retail GP, LLC Mutual Energy LLC Mutual Energy Service Company
Dolet Hills Lignite Company
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 June 30, 2001 (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
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 27th day of
November, 2001.
/s/ A. A. Pena
-------------------------
A. A. Pena
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/ A. A. Pena
---------------
A. A. Pena
Treasurer
November 27, 2001