File No. 074-00015
FORM U-9C-3
QUARTERLY REPORT
For the quarter ended September 30, 2005
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. |
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FORM U-9C-3 |
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For the Quarter Ended September 30, 2005 |
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CONTENTS |
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ITEM 1 - Organization Chart as of September 30, 2005 |
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ITEM 2 - Issuances and Renewals of Securities and Capital Contributions |
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ITEM 3 - Associated Transactions |
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ITEM 4 - Summary of Aggregate Investment |
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ITEM 5 - Other Investments |
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ITEM 6 - Financial Statements and Exhibit |
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Statements of Income |
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Balance Sheets |
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Exhibit |
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ITEM 1 — ORGANIZATION CHART AS OF SEPTEMBER 30, 2005
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.
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Reference Code |
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00. American Electric Power Company, Inc. (Parent of Rule 58 Companies shown below) |
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01. American Electric Power Service Corporation (Not a Rule 58 Company) |
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01. AEP C&I Company, LLC |
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1 |
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02. AEP Texas Commercial & Industrial Retail GP, LLC |
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2 |
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03. AEP Texas Commercial & Industrial Retail LP |
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3 |
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02. AEP Texas Commercial & Industrial Retail LP |
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3 |
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02. AEP Gas Power GP, LLC |
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4 |
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03. AEP Gas Power Systems, LLC |
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5 |
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02. REP Holdco, LLC |
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6 |
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03. Mutual Energy SWEPCO, LP |
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7 |
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03. REP General Partner LLC |
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8 |
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04. Mutual Energy SWEPCO, LP |
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7 |
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01. AEP Coal, Inc. |
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9 |
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02. Snowcap Coal Company, Inc. |
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10 |
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02. AEP Kentucky Coal, LLC |
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11 |
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02. AEP Ohio Coal, LLC |
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12 |
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02. AEP West Virginia Coal, Inc. |
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13 |
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01. AEP Investments, Inc. (Not a Rule 58 Company) |
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02. AEP EmTech, LLC |
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14 |
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03. Universal Supercapacitors, LLC |
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15 |
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03. Integrated Fuel Cell Technologies, Inc. |
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16 |
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03. Distribution Vision 2010, LLC |
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17 |
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02. Dynelec, Inc. |
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18 |
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02. Intercontinental Exchange, Inc. |
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19 |
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02. Powerspan Corporation |
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20 |
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02. Enerwise Global Technologies, Inc. |
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21 |
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02. Powerware Solutions, Inc. |
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22 |
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02. PHPK Technologies, Inc. |
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23 |
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01. AEP Power Marketing, Inc. |
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24 |
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02. AEP Coal Marketing, LLC |
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25 |
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02. AEP Emissions Marketing, LLC |
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26 |
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01. AEP Pro Serv, Inc. (Not a Rule 58 Company) |
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02. Diversified Energy Contractors Company, LLC |
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27 |
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03. DECCO II LLC |
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28 |
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04. Diversified Energy Contractors, LP |
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29 |
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03. Diversified Energy Contractors, LP |
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29 |
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02. United Sciences Testing, Inc. |
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30 |
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02. AEP Delaware Investment Company III |
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31 |
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01. AEP T&D Services, LLC |
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32 |
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01. AEP Texas POLR, LLC |
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33 |
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02. AEP Texas POLR GP, LLC |
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34 |
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03. POLR Power, LP |
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35 |
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02. POLR Power, LP |
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35 |
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01. AEP Resources, Inc. (Not a Rule 58 Company) |
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02. AEP Energy Services, Inc. |
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36 |
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01. AEP Utilities, Inc. (Not a Rule 58 Company) |
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02. Southwestern Electric Power Company (Not a Rule 58 Company) |
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03. The Arklahoma Corporation |
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37 |
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03. Southwest Arkansas Utilities Corporation |
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38 |
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03. Dolet Hills Lignite Company, LLC |
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39 |
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02. CSW Energy, Inc. (Not a Rule 58 Company) |
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03. CSW Development-I, Inc. |
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40 |
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04. CSW Mulberry II, Inc. |
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41 |
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05. CSW Mulberry, Inc. |
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42 |
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04. Noah I Power GP, Inc. |
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43 |
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05. Noah I Power Partners, LP |
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44 |
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04. Noah I Power Partners, LP |
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44 |
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04. CSW Orange II, Inc. |
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45 |
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05. CSW Orange, Inc. |
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46 |
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03. CSW Ft. Lupton, Inc. |
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47 |
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03. CSW Power Marketing, Inc. |
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48 |
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03. CSW Services International, Inc. |
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49 |
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03. CSW Sweeny GP I, Inc. |
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50 |
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04. CSW Sweeny GP II, Inc. |
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51 |
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05. Sweeny Cogeneration Limited Partnership |
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52 |
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03. CSW Sweeny LP I, Inc. |
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53 |
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04. CSW Sweeny LP II, Inc. |
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54 |
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05. Sweeny Cogeneration Limited Partnership |
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52 |
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02. CSW Energy Services, Inc. |
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55 |
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03. Nuvest, LLC |
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56 |
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04. National Temporary Services, Inc. |
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57 |
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05. Octagon, Inc. |
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58 |
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04. ESG, LLC |
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59 |
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04. ESG Manufacturing, LLC |
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60 |
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01. Mutual Energy, LLC |
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61 |
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02. AEP Ohio Retail Energy, LLC |
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62 |
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ITEM 1 - ORGANIZATION CHART (Continued)
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Reference Code |
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Name of Reporting Company |
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Energy or Gas-Related Company |
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Date of Organization |
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State of Organization |
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Percentage of Voting Securities Held Directly or Indirectly by American Electric Power Company, Inc. |
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Nature of Business |
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1 |
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AEP C&I Company, LLC |
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Energy |
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10/10/00 |
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Delaware |
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100.00 |
% |
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Marketing of natural gas, electricity or energy related products |
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2 |
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AEP Texas Commercial & Industrial Retail GP, LLC |
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Energy |
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12/11/00 |
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Delaware |
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100.00 |
% |
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Marketing of natural gas, electricity or energy related products |
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3 |
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AEP Texas Commercial & Industrial Retail LP |
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Energy |
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12/12/00 |
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Delaware |
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100.00 |
% |
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Marketing of natural gas, electricity or energy related products |
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4 |
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AEP Gas Power GP, LLC |
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Energy |
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12/19/00 |
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Delaware |
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100.00 |
% |
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Distributed generation products |
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5 |
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AEP Gas Power Systems, LLC |
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Energy |
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07/09/96 |
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Delaware |
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92.00 |
% |
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Distributed generation products |
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6 |
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REP Holdco, LLC |
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Energy |
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04/04/01 |
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Delaware |
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100.00 |
% |
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Marketing of natural gas, electricity or energy related products |
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7 |
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Mutual Energy SWEPCO, LP |
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Energy |
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04/04/01 |
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Delaware |
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100.00 |
% |
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Marketing of natural gas, electricity or energy related products |
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8 |
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REP General Partner LLC |
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Energy |
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04/04/01 |
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Delaware |
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100.00 |
% |
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Marketing of natural gas, electricity or energy related products |
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9 |
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AEP Coal, Inc. |
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Energy |
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10/29/01 |
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Nevada |
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100.00 |
% |
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Coal mining |
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10 |
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Snowcap Coal Company, Inc. |
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Energy |
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10/29/01 |
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Delaware |
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100.00 |
% |
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Coal mining |
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11 |
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AEP Kentucky Coal, LLC |
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Energy |
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10/29/01 |
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Delaware |
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100.00 |
% |
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Coal mining |
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12 |
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AEP Ohio Coal, LLC |
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Energy |
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10/26/01 |
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Delaware |
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100.00 |
% |
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Coal mining |
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13 |
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AEP West Virginia Coal, Inc. |
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Energy |
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10/29/01 |
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Nevada |
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100.00 |
% |
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Coal Mining |
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14 |
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AEP EmTech, LLC |
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Energy |
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01/03/01 |
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Delaware |
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100.00 |
% |
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Development & commercialization of electrotechnologies |
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15 |
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Universal Supercapacitors, LLC |
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Energy |
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04/16/02 |
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Delaware |
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50.00 |
% |
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Energy Investments |
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16 |
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Integrated Fuel Cell Technologies, Inc. |
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Energy |
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04/04/01 |
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Delaware |
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0.10 |
% |
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Energy Investments |
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17 |
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Distribution Vision 2010, LLC |
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Energy |
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10/02/01 |
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Delaware |
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20.00 |
% |
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Energy Investments |
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18 |
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Dynelec, Inc. |
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Energy |
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06/03/94 |
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Ohio |
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1.17 |
% |
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Energy Investments |
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19 |
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Intercontinental Exchange, Inc. |
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Energy |
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06/16/00 |
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Delaware |
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5.30 |
% |
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Marketing of natural gas, electricity, or energy-related products |
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20 |
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Powerspan Corporation |
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Energy |
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05/15/97 |
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Delaware |
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9.88 |
% |
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Energy Investments |
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21 |
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Enerwise Global Technologies, Inc. |
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Energy |
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03/02/01 |
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Delaware |
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5.00 |
% |
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Energy Investments |
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22 |
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Powerware Solutions, Inc. |
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Energy |
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02/15/94 |
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Texas |
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4.00 |
% |
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Energy Investments |
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23 |
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PHPK Technologies, Inc. |
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Energy |
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07/01/91 |
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Ohio |
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40.40 |
% |
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Energy Investments |
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24 |
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AEP Power Marketing, Inc. |
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Energy |
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07/22/96 |
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Ohio |
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100.00 |
% |
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Marketing of natural gas, electricity or energy related products |
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25 |
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AEP Coal Marketing, LLC |
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Energy |
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01/22/03 |
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Delaware |
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100.00 |
% |
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Marketing of natural gas, electricity or energy related products |
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26 |
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AEP Emissions Marketing, LLC |
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Energy |
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01/22/03 |
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Delaware |
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100.00 |
% |
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Marketing of natural gas, electricity or energy related products |
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27 |
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Diversified Energy Contractors Company, LLC |
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Energy |
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07/03/97 |
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Delaware |
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100.00 |
% |
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Non-regulated energy-related services and projects |
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28 |
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DECCO II LLC |
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Energy |
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08/08/97 |
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Delaware |
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100.00 |
% |
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Non-regulated energy-related services and projects |
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29 |
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Diversified Energy Contractors, LP |
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Energy |
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08/18/97 |
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Delaware |
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100.00 |
% |
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Non-regulated energy-related services and projects |
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30 |
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United Sciences Testing, Inc. |
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Energy |
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05/07/97 |
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Delaware |
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100.00 |
% |
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Coal cleaning technology |
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31 |
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AEP Delaware Investment Company III |
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Energy |
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09/24/96 |
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Ohio |
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100.00 |
% |
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Broker and market energy commodities |
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32 |
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AEP T&D Services, LLC |
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Energy |
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12/12/00 |
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Delaware |
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100.00 |
% |
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Energy services including operations, supply chain, transmission and distribution |
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33 |
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AEP Texas POLR, LLC |
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Energy |
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12/11/00 |
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Delaware |
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100.00 |
% |
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Marketing of natural gas, electricity or energy related products |
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34 |
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AEP Texas POLR GP, LLC |
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Energy |
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11/14/01 |
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Delaware |
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100.00 |
% |
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Marketing of natural gas, electricity or energy related products |
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35 |
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POLR Power, LP |
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Energy |
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11/14/01 |
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Delaware |
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100.00 |
% |
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Marketing of natural gas, electricity or energy related products |
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36 |
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AEP Energy Services, Inc. |
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Energy |
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09/24/96 |
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Ohio |
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100.00 |
% |
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Broker and market energy commodities |
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37 |
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The Arklahoma Corporation |
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Energy |
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05/16/47 |
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Arkansas |
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47.60 |
% |
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Electric transmission |
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38 |
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Southwest Arkansas Utilities Corporation |
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Energy |
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03/21/28 |
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Arkansas |
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100.00 |
% |
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Real estate |
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39 |
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Dolet Hills Lignite Company, LLC |
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Energy |
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04/09/01 |
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Delaware |
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100.00 |
% |
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Coal mining |
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40 |
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CSW Development-I, Inc. |
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Energy |
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12/06/90 |
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Delaware |
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100.00 |
% |
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Independent power plant/qualifying facility |
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41 |
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CSW Mulberry II, Inc. |
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Energy |
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03/21/95 |
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Delaware |
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100.00 |
% |
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Independent power plant/qualifying facility |
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42 |
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CSW Mulberry, Inc. |
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Energy |
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02/03/94 |
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Delaware |
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100.00 |
% |
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Independent power plant/qualifying facility |
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43 |
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Noah I Power GP, Inc. |
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Energy |
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05/14/91 |
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Delaware |
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100.00 |
% |
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Independent power plant/qualifying facility |
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44 |
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Noah I Power Partners, LP |
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Energy |
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05/16/92 |
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Delaware |
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95.50 |
% |
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Independent power plant/qualifying facility |
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45 |
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CSW Orange II, Inc. |
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Energy |
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03/16/95 |
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Delaware |
|
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100.00 |
% |
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Independent power plant/qualifying facility |
|
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46 |
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CSW Orange, Inc. |
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Energy |
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04/21/93 |
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Delaware |
|
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100.00 |
% |
|
Independent power plant/qualifying facility |
|
|
47 |
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CSW Ft. Lupton, Inc. |
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Energy |
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04/01/93 |
|
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Delaware |
|
|
100.00 |
% |
|
Independent power plant/qualifying facility |
|
|
48 |
|
|
CSW Power Marketing, Inc. |
|
|
Energy |
|
|
03/08/96 |
|
|
Delaware |
|
|
100.00 |
% |
|
Energy management |
|
|
49 |
|
|
CSW Services International, Inc. |
|
|
Energy |
|
|
03/19/97 |
|
|
Delaware |
|
|
100.00 |
% |
|
Energy management |
|
|
50 |
|
|
CSW Sweeny GP I, Inc. |
|
|
Energy |
|
|
09/06/95 |
|
|
Delaware |
|
|
100.00 |
% |
|
Independent power plant/qualifying facility |
|
|
51 |
|
|
CSW Sweeny GP II, Inc. |
|
|
Energy |
|
|
09/06/95 |
|
|
Delaware |
|
|
100.00 |
% |
|
Independent power plant/qualifying facility |
|
|
52 |
|
|
Sweeny Cogeneration Limited Partnership |
|
|
Energy |
|
|
10/10/95 |
|
|
Delaware |
|
|
50.00 |
% |
|
Independent power plant/qualifying facility |
|
|
53 |
|
|
CSW Sweeny LP I, Inc. |
|
|
Energy |
|
|
09/06/95 |
|
|
Delaware |
|
|
100.00 |
% |
|
Independent power plant/qualifying facility |
|
|
54 |
|
|
CSW Sweeny LP II, Inc. |
|
|
Energy |
|
|
09/06/95 |
|
|
Delaware |
|
|
100.00 |
% |
|
Independent power plant/qualifying facility |
|
|
55 |
|
|
CSW Energy Services, Inc. |
|
|
Energy |
|
|
09/24/97 |
|
|
Delaware |
|
|
100.00 |
% |
|
Non-regulated energy-related services and projects |
|
|
56 |
|
|
Nuvest, LLC |
|
|
Energy |
|
|
02/20/96 |
|
|
Delaware |
|
|
92.90 |
% |
|
Staff augmentation to power plants |
|
|
57 |
|
|
National Temporary Services, Inc. |
|
|
Energy |
|
|
12/31/90 |
|
|
Pennsylvania |
|
|
100.00 |
% |
|
Staff augmentation to power plants |
|
|
58 |
|
|
Octagon, Inc. |
|
|
Energy |
|
|
11/05/93 |
|
|
Delaware |
|
|
100.00 |
% |
|
Staff augmentation to power plants |
|
|
59 |
|
|
ESG, LLC |
|
|
Energy |
|
|
11/27/96 |
|
|
Oklahoma |
|
|
50.00 |
% |
|
Staff augmentation to power plants |
|
|
60 |
|
|
ESG Manufacturing, LLC |
|
|
Energy |
|
|
12/09/04 |
|
|
Oklahoma |
|
|
100.00 |
% |
|
Staff augmentation to power plants |
|
|
61 |
|
|
Mutual Energy, LLC |
|
|
Energy |
|
|
12/17/99 |
|
|
Delaware |
|
|
100.00 |
% |
|
Marketing of natural gas, electricity or energy related products |
|
|
62 |
|
|
AEP Ohio Retail Energy, LLC |
|
|
Energy
|
|
|
09/05/00 |
|
|
Delaware |
|
|
100.00 |
% |
|
Marketing of natural gas, electricity or energy related products |
|
ITEM 2 - ISSUANCES AND RENEWALS OF SECURITIES AND CAPITAL CONTRIBUTIONS
SECURITIES:
|
Company Issuing Security |
|
Type of Security Issued |
|
Principal Amount of Security |
|
Issue or Renewal |
|
Cost of Capital |
|
Person to Whom Security Was Issued |
|
Collateral Given with Security |
|
Consideration Received for Each Security |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
None |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
CAPITAL CONTRIBUTIONS:
|
Company Contributing Capital |
|
Company Receiving Capital |
|
Amount of Capital Contributions |
|
|
|
|
|
|
|
(in thousands) |
|
None |
|
|
|
|
|
|
|
|
|
|
|
|
ITEM 3 — ASSOCIATED TRANSACTIONS
Part I — Transactions performed by reporting companies on behalf of associate companies
|
Reporting Company Rendering Services |
|
Associate Company Receiving Services |
|
Types of Services Rendered |
|
Direct Costs Charged |
|
Indirect Costs Charged |
|
Cost of Capital |
|
Total Amount Billed |
|
||||||
|
(in thousands) |
|
||||||||||||||||||
|
None |
|
||||||||||||||||||
Part II — Transactions performed by associate companies on behalf of reporting companies
|
Associate Company Rendering Services |
|
Reporting Company Receiving Services |
|
Types of Services Rendered |
|
Direct Costs Charged |
|
Indirect Costs Charged |
|
Cost of Capital |
|
Total Amount Billed |
|
||||||
|
|
|
|
|
|
|
(in thousands) |
|
||||||||||||
|
|
|
||||||||||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
||||||
|
American Electric Power Service Corporation |
|
|
AEP Energy Services, Inc. |
|
|
Administrative & Marketing |
|
$ |
392 |
|
$ |
626 |
|
$ |
- |
|
$ |
1,018 |
|
|
CSW Services International, Inc. * |
|
|
Sweeny Cogeneration Limited Partnership |
|
|
Plant Services |
|
|
514 |
|
|
1,673 |
|
|
- |
|
|
2,187 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total |
|
|
|
|
|
|
|
$ |
906 |
|
$ |
2,299 |
|
$ |
- |
|
$ |
3,205 |
|
* Also a Reporting Company
ITEM 4 - SUMMARY OF AGGREGATE INVESTMENT
|
Investment in Energy-related Companies |
|
|
|
|
|
|
|
|
||||
|
|
|
|
|
|
|
|
|
|
||||
|
|
|
(in thousands) |
|
|||||||||
|
|
|
|
|
|
|
|
|
|
||||
|
Total Consolidated Capitalization - as of September 30, 2005 |
|
$ |
20,803,000 |
(a) |
|
|
|
|
|
|
Line 1 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total Capitalization Multiplied by 15% (Line 1 multiplied by .15) |
|
|
3,120,450 |
|
|
|
|
|
|
|
Line 2 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Greater of $50 million or line 2 |
|
|
|
|
|
|
$ |
3,120,450 |
|
|
Line 3 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Total Current Aggregate Investment: |
|
|
|
|
|
|
|
|
|
|
|
|
|
(categorized by major line of energy-related business) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Energy-related Category 1: Energy Services |
|
|
- |
|
|
|
|
|
|
|
|
|
|
Energy-related Category 5: Energy Marketing |
|
|
863,953 |
|
|
|
|
|
|
|
|
|
|
Energy-related Category 7: Maintenance Services |
|
|
44,498 |
|
|
|
|
|
|
|
|
|
|
Energy-related Category 8: Qualifying Facility |
|
|
662,145 |
|
|
|
|
|
|
|
|
|
|
Energy-related Category 10: Other Form of Energy |
|
|
113,973 |
|
|
|
|
|
|
|
|
|
|
Energy-related Category 2,3,4,6,9 |
|
|
27,834 |
|
|
|
|
|
|
|
|
|
|
Total Current Aggregate Investment |
|
|
|
|
|
|
|
1,712,403 |
|
|
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) |
|
|
|
|
|
|
$ |
1,408,047 |
|
|
|
|
(a) Includes short-term debt.
Investments in gas-related companies:
NONE
ITEM 5 — OTHER INVESTMENTS
|
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) |
|
|
||||
|
|
|
|
|
|
|
|
|
|
|
CSW Energy Services Invested Prior to April 1, 1997 |
|
$ |
2,696 |
|
$ |
2,696 |
|
Amounts are excluded from Item 4 |
|
Independent Power Plant/Qualifying Facility Invested Prior to April 1, 1997 |
|
|
194,644 |
|
|
194,644 |
|
Amounts are excluded from Item 4 |
ITEM 6 — FINANCIAL STATEMENTS AND EXHIBIT
List all financial statements and exhibit filed as a part of this report.
Financial Statements:
Balance Sheets and Income Statements for period ended September 30, 2005 are filed confidentially under a separate cover for:
Exhibit:
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.
ITEM 6 — FINANCIAL STATEMENTS AND EXHIBIT (Continued)
CERTIFICATE
The undersigned certifies that he is the duly designated and acting Controller and Chief Accounting Officer 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 September 30, 2005 (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”).