-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, M1hoZFlpEzGSh3cNpJeMA9QqXiqBgGicxMbSpnKIxlIZM1lNF/zpFA9DAMI4b87w M6G3cAgQ8AjTarcBZQFuYw== 0000912057-02-006193.txt : 20020414 0000912057-02-006193.hdr.sgml : 20020414 ACCESSION NUMBER: 0000912057-02-006193 CONFORMED SUBMISSION TYPE: 35-CERT PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CASCADE INVESTMENT LLC CENTRAL INDEX KEY: 0001052192 IRS NUMBER: 911680459 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 35-CERT SEC ACT: 1935 Act SEC FILE NUMBER: 070-09865 FILM NUMBER: 02547913 BUSINESS ADDRESS: STREET 1: 2365 CARILLON POINT CITY: KIRKLAND STATE: WA ZIP: 98033 BUSINESS PHONE: 4258030720 MAIL ADDRESS: STREET 1: 2365 CARILLON POINT CITY: KIRKLAND STATE: WA ZIP: 98033 35-CERT 1 a2070980z35-cert.htm 35-CERT Prepared by MERRILL CORPORATION
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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

*******************************    

In the Matter of
Cascade Investment, L.L.C.
William H. Gates III
 
  
INTERIM REPORT
UNDER RULE 24

File No. 70-9865
 
 

(Public Utility Holding Company Act of 1935)
 
 
*******************************    

        This Interim Report is filed by Cascade Investment, L.L.C. ("Cascade") and William H. Gates III (together, the "Applicants") pursuant to Rule 24 under the Public Utility Holding Company Act of 1935, as amended (the "Act"), and the order of the Commission dated July 17, 2001 (Holding Co. Act Release No. 27427), which authorized the Applicants to acquire 5% or more, but less than 10%, of the issued and outstanding common stock of Avista Corporation ("Avista"), Otter Tail Power Corporation ("Otter Tail"), and PNM Resources, Inc. ("PNM") fka Public Service Company of New Mexico. The information set forth below regarding Cascade's ownership of the common stock of Avista, Otter Tail and PNM is for the three months ended December 31, 2001:

        1.    Number of shares of common stock beneficially held and percentage of total outstanding as of October 1, 2001:

Company
   Number of Shares
   Percentage of Total Outstanding *
  
Avista   2,887,500   6.07 %

Otter Tail
 
1,399,500
 
5.68
%

PNM
 
2,544,500
 
6.50
%

        2.    Number of shares of common stock beneficially held and percentage of total outstanding as of December 31, 2001:

Company
   Number of Shares
   Percentage of Total Outstanding *
  
Avista   3,187,500   6.70 %

Otter Tail
 
1,399,500
 
5.68
%

PNM
 
2,669,500
 
6.82
%

        *(Total outstanding is per applicable issuer's Form 10-Q for the quarterly period ended September 30, 2001)


SIGNATURE

        Pursuant to the requirements of the Act, the undersigned have duly caused this Interim Report to be signed on their behalves by the undersigned thereunto duly authorized.

    CASCADE INVESTMENT, L.L.C.

 
 
By:
 
/s/  MICHAEL LARSON      
    Name:   Michael Larson
    Title:   Manager

 
 
WILLIAM H. GATES III

 
 
By:
 
/s/  MICHAEL LARSON      
    Name:   William H. Gates III, by Michael Larson as attorney-in-fact*

 
 
* Duly authorized under Special Power of Attorney (see Exhibit I to Application/Declaration filed in this proceeding).

Date: February 14, 2002




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