File No. 074-00015
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM U-9C-3
QUARTERLY REPORT
For the quarter ended December 31, 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 December 31, 2001
CONTENTS
Page
ITEM 1 - Organization Chart 1
ITEM 2 - Issuances and Renewals of Securities and
Capital Contributions 9
ITEM 3 - Associated Transactions 10
ITEM 4 - Summary of Aggregate Investment 11
ITEM 5 - Other Investments 11
ITEM 6 - Financial Statements and Exhibits 12
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. 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
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
01. AEP Energy Services, Inc. 12
02. Energy Trading Platform Holding Company, Inc. 13
02. Intercontinental Exchange, Inc. 91
01. AEP Investments, Inc.
02. AEP EmTech, LLC 14
03. Altra Energy Technologies, Inc. 15
03. Amperion, Inc. 16
01. Mutual Energy L.L.C. 17
02. Mutual Energy Service Company, L.L.C. 18
02. AEP Ohio Retail Energy, LLC 19
01. AEP Power Marketing, Inc. 20
01. AEP T&D Services, LLC 21
01. AEP Pro Serv, Inc.
02. Power-span Corp 22
02. PHPK Technologies, Inc. 23
01. AEP Retail Energy LLC 24
01. AEP Texas POLR, LLC 25
02. AEP Texas POLR GP, LLC 26
03. POLR Power, L.P. 27
02. POLR Power, L.P. 27
01. Central and South West Corporation
02. Public Service Company of Oklahoma
03. Ash Creek Mining Company 28
03. AEMT, Inc. 29
03. Powerware Solutions, Inc. 30
03. Utility Data Resources, Inc. 31
02. Southwestern Electric Power Company
03. The Arklahoma Corporation 32
03. Southwest Arkansas Utilities Corporation 33
03. Dolet Hills Lignite Company, LLC 34
02. CSW Energy, Inc.
03. CSW Development-I, Inc. 35
04. Polk Power GP II, Inc. 36
05. Polk Power GP, Inc. 37
06. Polk Power Partners, LP 38
07. Mulberry Holdings, Inc. 39
04. CSW Mulberry II, Inc. 40
05. CSW Mulberry, Inc. 41
04. Polk Power Partners, LP 38
05. Mulberry Holdings, Inc. 39
04. Noah I Power GP, Inc. 42
05. Noah I Power Partners, LP 43
06. Brush Cogeneration Partners 44
04. Noah I Power Partners, LP 43
05. Brush Cogeneration Partners 44
04. Orange Cogeneration GP II, Inc. 45
05. Orange Cogeneration G.P., Inc. 46
06. Orange Cogeneration Limited Partnership 47
07. Orange Cogen Funding Corp. 48
08. Orange Holdings, Inc. 49
04. CSW Orange II, Inc. 50
05. CSW Orange, Inc. 51
06. Orange Cogeneration Limited Partnership 47
07. Orange Cogen Funding Corp. 48
08. Orange Holdings, Inc. 49
03. CSW Development-II, Inc. 52
03. CSW Ft. Lupton, Inc. 53
04. Thermo Cogeneration Partnership, L.P. 54
03. CSW Sweeny GP I, Inc. 55
04. CSW Sweeny GP II, Inc. 56
05. Sweeney Cogeneration Limited Partnership 57
03. CSW Sweeny LP I, Inc. 58
04. CSW Sweeny LP II, Inc. 59
05. Sweeney Cogeneration Limited Partnership 57
03. CSW Nevada, Inc. 60
03. CSW Services International, Inc. 61
03. Diversified Energy Contractors Company, LLC 62
04. DECCO II LLC 63
05. Diversified Energy Contractors, LP 64
04. Diversified Energy Contractors, LP 64
04. Industry and Energy Associates, L.L.C. 65
03. CSW Eastex GP I, Inc. 66
04. CSW Eastex GP II, Inc. 67
05. Eastex Cogeneration Limited Partnership 68
03. CSW Eastex LP I, Inc. 69
04. CSW Eastex LP II, Inc. 70
05. Eastex Cogeneration Limited Partnership 68
02. EnerShop Inc. 71
03. Envirotherm, Inc. 72
02. CSW Energy Services, Inc. 73
03. Nuvest, L.L.C. 74
04. National Temporary Services, Inc. 75
05. Octagon, Inc. 76
04. Numanco, L.L.C. 77
05. NuSun, Inc. 78
06. Sun Technical Services, Inc. 79
06. Calibration and Testing Corporation 80
05. ESG Technical Services, L.L.C. 81
05. National Environmental Services Technology, L.L.C. 82
05. ESG Indonesia, L.L.C. 83
05. ESG, L.L.C. 84
05. Numanco Services, LLC 85
02. REP Holdco, Inc. 86
03. Mutual Energy CPL L.P. 87
03. Mutual Energy WTU L.P. 88
03. Mutual Energy SWEPCO L.P. 89
03. REP General Partner LLC 90
04. Mutual Energy CPL L.P. 87
04. Mutual Energy WTU L.P. 88
04. Mutual Energy SWEPCO L.P. 89
Percentage
Name of Energy or Of Voting
Reporting Company Gas-related Date of State of Securities
Company Organization Organization Held Nature of Business
----------------- ------- ------------ ------------ ---- ------------------
1AEP C&I Company, LLC Energy 10/10/00 Delaware 100% Marketing of natural gas, electricity or
energy related products
2AEP Ohio Commercial & Industrial Energy 10/10/00 Delaware 100% Marketing of natural gas, electricity or
Retail Company, LLC energy related products
3AEP Texas Commercial & Industrial Energy 12/11/00 Delaware 100% Marketing of natural gas, electricity or
Retail GP, LLC energy related products
4AEP Texas Commercial & Industrial Energy 12/12/00 Delaware 100% Marketing of natural gas, electricity or
Retail Limited Partnership energy related products
5AEP Gas Power GP, LLC Energy 12/19/00 Delaware 100% Distributed generation products
6AEP Gas Power Systems, LLC Energy 07/09/96 Delaware 75% Distributed generation products
7AEP Coal, Inc. Energy 10/29/01 Nevada 100% Coal Mining
8Snowcap Coal Company, Inc. Energy 10/29/01 Delaware 100% Coal Mining
9AEP Kentucky Coal, LLC Energy 10/29/01 Delaware 100% Coal Mining
10AEP Ohio Coal, LLC Energy 10/26/01 Delaware 100% Coal Mining
11AEP West Virginia Coal, Inc. Energy 10/29/01 Nevada 100% Coal Mining
12AEP Energy Services, Inc. Energy 09/24/96 Ohio 100% Broker and market energy commodities
13Energy Trading Platform Holding Energy 04/28/00 Delaware 16.7% Energy Marketing
Company, Inc.
14AEP EmTech, LLC Energy 01/03/01 Delaware 100% Development & commercialization of
electrotechnologies
15Altra Energy Technologies, Inc. Energy 08/19/97 Delaware 5% Energy Marketing software
16Amperion, Inc. Energy 02/16/01 Delaware 38.30% Non-regulated energy-related services
and projects
17Mutual Energy L.L.C. Energy 12/17/99 Delaware 100% Marketing of natural gas, electricity or
energy related products
18Mutual Energy Service Company, Energy 09/05/00 Delaware 100% Marketing of natural gas, electricity or
L.L.C. energy related products
19AEP Ohio Retail Energy, LLC Energy 09/05/00 Delaware 100% Marketing of natural gas, electricity or
energy related products
20AEP Power Marketing, Inc. Energy 07/22/96 Ohio 100% Marketing of natural gas, electricity or
energy related products
21AEP T&D Services, LLC Energy 12/12/00 Delaware 100% Energy services including operations,
supply chain,transmission and distribution
22Powerspan Corp Energy 05/14/97 Delaware 9.80% Pollution Control Technology Development
23PHPK Technologies, Inc. Energy 07/01/91 Ohio 40.40% Cryogenic and Vacuum Equipment
Manufacture & Service
24AEP Retail Energy LLC Energy 06/28/00 Delaware 100% Marketing of natural gas, electricity or
energy related products
25AEP Texas POLR, LLC (fka AEP Texas Energy 12/11/00 Delaware 100% Marketing of natural gas, electricity or
Retail GP, LLC) energy related products
26AEP Texas POLR GP, LLC Energy 11/14/01 Delaware 100% Marketing of natural gas, electricity or
energy related products
27POLK Power, L.P. Energy 11/14/01 Delaware 100.00% Marketing of natural gas, electricity or
energy related products
28Ash Creek Mining Company Energy 11/04/76 Oklahoma 100% Coal mining - inactive
29AEMT, Inc. Energy 12/23/97 Florida 0% Power conditioning product mfg and sales
30Powerware Solutions, Inc. Energy 02/15/94 Texas 4.00% Energy Management Systems for water
utilities
31Utility Data Resources, Inc. Energy 12/30/97 Delaware 4.50% Electricity pricing, management
consulting and software
32The Arklahoma Corporation Energy 05/16/47 Arkansas 44.20% Electric Transmission
33Southwest Arkansas Utilities Energy 03/22/28 Arkansas 100.00% Inactive
Corporation
34Dolet Hills Lignite Company, LLC Energy 04/09/01 Delaware 100% Coal Mining
35CSW Development-I, Inc. Energy 12/06/90 Delaware 100% Qualifying Facility
36Polk Power GP II, Inc. Energy 03/20/95 Delaware 50% Qualifying Facility
37Polk Power GP, Inc. Energy 09/18/91 Delaware 100% Qualifying Facility
38Polk Power Partners, LP Energy 02/19/92 Delaware 50% Qualifying Facility
39Mulberry Holdings, Inc. Energy 10/28/99 Delaware 100% Qualifying Facility
40CSW Mulberry II, Inc. Energy 03/21/95 Delaware 100% Qualifying Facility
41CSW Mulberry, Inc. Energy 02/03/94 Delaware 100% Qualifying Facility
42Noah I Power GP, Inc. Energy 05/14/91 Delaware 100% Qualifying Facility
43Noah I Power Partners, LP Energy 05/16/91 Delaware 100% Qualifying Facility
44Brush Cogeneration Partners Energy 06/17/94 Delaware 50% Qualifying Facility
45Orange Cogeneration GP II, Inc. Energy 03/16/95 Delaware 50% Qualifying Facility
46Orange Cogeneration G.P., Inc. Energy 02/05/93 Delaware 100% Qualifying Facility
47Orange Cogeneration Limited Energy 02/05/93 Delaware 50.00% Qualifying Facility
Partnership
48Orange Cogen Funding Corp. Energy 06/11/92 Delaware 100% Qualifying Facility
49Orange Holdings, Inc. Energy 10/28/99 Delaware 100% Qualifying Facility
50CSW Orange II, Inc. Energy 03/16/95 Delaware 100% Qualifying Facility
51CSW Orange, Inc. Energy 04/21/93 Delaware 100% Qualifying Facility
52CSW Development-II, Inc. Energy 06/11/92 Delaware 100% Qualifying Facility
53CSW Ft. Lupton, Inc. Energy 04/01/93 Delaware 50% Qualifying Facility
54Thermo Cogeneration Partnership, Energy 03/17/93 Delaware 100% Qualifying Facility
L.P.
55CSW Sweeny GP I, Inc. Energy 09/06/95 Delaware 100% Qualifying Facility
56CSW Sweeny GP II, Inc. Energy 09/06/95 Delaware 100% Qualifying Facility
57Sweeney Cogeneration Limited Energy 10/10/95 Delaware 50% Qualifying Facility
Partnership
58CSW Sweeny LP I, Inc. Energy 09/06/95 Delaware 100% Qualifying Facility
59CSW Sweeny LP II, Inc. Energy 09/06/95 Delaware 100% Qualifying Facility
60CSW Nevada, Inc. Energy 06/29/93 Delaware 100% Energy Management
61CSW Services International, Inc. Energy 03/19/97 Delaware 100% Non-regulated energy-related services
and projects
62Diversified Energy Contractors Energy 07/03/97 Delaware 100% Non-regulated energy-related services
Company, LLC
63DECCO II LLC Energy 08/08/97 Delaware 100% Non-regulated energy-related services
and projects
64Diversified Energy Contractors, LP Energy 08/18/98 Delaware 100% Non-regulated energy-related services
and projects
65Industry and Energy Associates, Energy 05/26/98 Delaware 100% Non-regulated energy-related services
L.L.C. and projects
66CSW Eastex GP I, Inc. Energy 09/04/98 Delaware 100% Qualifying Facility
67CSW Eastex GP II, Inc. Energy 09/04/98 Delaware 100% Qualifying Facility
68Eastex Cogeneration Limited Energy 09/09/98 Delaware 50% Qualifying Facility
Partnership
69CSW Eastex LP I, Inc. Energy 09/04/98 Delaware 100% Qualifying Facility
70CSW Eastex LP II, Inc. Energy 09/04/98 Delaware 100% Qualifying Facility
71EnerShop Inc. Energy 09/11/95 Delaware 100% Energy Marketing Services
72Envirotherm, Inc. Energy 01/18/82 Texas 100% Energy Marketing Services
73CSW Energy Services, Inc. Energy 09/24/97 Delaware 100% Energy Marketing Services
74Nuvest, L.L.C. Energy 02/20/96 Delaware 92.90% Staff Augmentation to Power Plants
75National Temporary Services, Inc. Energy 12/31/90 Pennsylvania 100% Staff Augmentation to Power Plants
76Octagon, Inc. Energy 11/05/93 Delaware 100% Staff Augmentation to Power Plants
77Numanco, L.L.C. Energy 04/08/96 Oklahoma 100% Staff Augmentation to Power Plants
78NuSun, Inc. Energy 04/26/88 Delaware 100% Staff Augmentation to Power Plants
79Sun Technical Services, Inc. Energy 01/16/91 California 100% Staff Augmentation to Power Plants
80Calibration and Testing Corporation Energy 01/02/80 California 100% Staff Augmentation to Power Plants
81ESG Technical Services, L.L.C. Energy 07/16/99 Oklahoma 100% Staff Augmentation to Power Plants
82National Environmental Services Energy 11/13/98 Oklahoma 100% Staff Augmentation to Power Plants
Technology, L.L.C.
83ESG Indonesia, L.L.C. Energy 11/13/98 Oklahoma 100% Staff Augmentation to Power Plants
84ESG, L.L.C. Energy 11/27/96 Oklahoma 50% Staff Augmentation to Power Plants
85Numanco Services, LLC Energy 04/08/96 Oklahoma 100% Staff Augmentation to Power Plants
86REP Holdco, Inc. Energy 04/04/01 Delaware 100% Marketing of natural gas, electricity or
energy related products
87Mutual Energy CPL L.P. Energy 04/04/01 Delaware 100% Marketing of natural gas, electricity or
energy related products
88Mutual Energy WTU L.P. Energy 04/04/01 Delaware 100% Marketing of natural gas, electricity or
energy related products
89Mutual Energy SWEPCO L.P. Energy 04/04/01 Delaware 100% Marketing of natural gas, electricity or
energy related products
90REP General Partner LLC Energy 04/04/01 Delaware 100% Marketing of natural gas, electricity or
energy related products
91Intercontinental Exchange, Inc. Energy 06/16/00 Delaware 4.87 Energy Marketing
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)
Sweeny Cogen Unit #4 Loan Note 9,876 - - CSW Energy, Inc.
CSW Power Marketing, Inc. Loan Note 220 - - CSW Energy, Inc.
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 $ 307 - - $ 307
Nuvest, LLC D.C. Cook Engineering 4,733 - - 4,733
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 $25,997 $3,976 $ - $29,973
AEP Resources Gas Holding Company AEPES Administrative 11,428 - - 11,428
CSW Energy, Inc. Polk Power
Partners, L.P. Plant Services 355 203 - 558
CSW Energy, Inc. Orange
Cogeneration
L.P. Plant Services 634 206 - 840
CSW Dev I, Inc. Polk Power
Parnters, L.P. Plant Services 136 - - 136
CSW Services International Inc. Eastex
Cogeneration
L.P. Plant Services 328 - - 328
CSW Services International Inc. Sweeny
Cogeneration
L.P. Plant Services 384 275 - 659
------- ------ ---- -------
Total $39,262 $4,660 $ - $43,922
======= ====== ==== =======
ITEM 4 - SUMMARY OF AGGREGATE INVESTMENT
Investments in energy-related companies:
(in thousands)
Total consolidated capitalization
as of December 31, 2001 $23,914,561(a) Line 1
Total capitalization multiplied by 15%
(line 1 multiplied by 0.15) 3,587,184 Line 2
Greater of $50 million or line 2 $3,587,184 Line 3
Total current aggregate investment:
(categorized by major line of energy-related business)
Energy-related Category 1: Energy Services 19,302
Energy-related Category 5: Energy Marketing 680,948
Energy-related Category 7: Maintenance Services 53,133
Energy-related Category 8: Qualifying Facility 1,440,955
Energy-related Category 10: Other Form of Energy 85,716
Energy-related Category 2,3,4,6,9 62,200
Total current aggregate investment 2,342,254 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) $1,244,930 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 December 31, 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
CSW Energy Consolidated
CSWI 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 September 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 28th day of
March, 2002.
/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
March 28, 2002