-----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, QYddsQvwB5wyi6qssGg+nPqKsh43FH8cMgU/ZXZD/DP/2DltApAoNbQGTNy/ZNF9 R2Vqxstl/8uRYzGZbeYTwA== 0000018540-99-000061.txt : 19990624 0000018540-99-000061.hdr.sgml : 19990624 ACCESSION NUMBER: 0000018540-99-000061 CONFORMED SUBMISSION TYPE: U-9C-3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 19990331 FILED AS OF DATE: 19990528 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CENTRAL & SOUTH WEST CORP CENTRAL INDEX KEY: 0000018540 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 510007707 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: U-9C-3 SEC ACT: SEC FILE NUMBER: 074-00017 FILM NUMBER: 99637457 BUSINESS ADDRESS: STREET 1: 1616 WOODALL RODGERS FRWY CITY: DALLAS STATE: TX ZIP: 75202 BUSINESS PHONE: 2147771000 U-9C-3 1 03/31/99 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM U-9C-3 QUARTERLY REPORT PURSUANT TO RULE 58 FOR THE QUARTER ENDED MARCH 31, 1999 Central and South West Corporation (CSW) (Name of registered holding company) 1616 Woodall Rodgers Freeway Dallas, Texas 75202 (Address of principal executive offices) ITEM 1 - ORGANIZATION CHART
Energy or Percentage Gas- of Voting Name of Reporting Company related Date of State of Securities (Ownership Information) Company Organization Organization Held Nature of Business - ----------------------------------------------------------------------------------------------------------------------- Polk Power Partners, L.P. (Polk Energy Feb-92 Delaware 46.25% Qualifying facility Cogen) Orange Cogeneration Limited Energy Feb-93 Delaware 50% Qualifying facility Partnership (Orange Cogen) Brush Cogeneration Partners Energy Nov-91 Delaware 47.25% Qualifying facility (Brush Cogen) (ownership through various intermediate holding company subsidiaries originating with CSW Development-I, Inc./ CSW Energy Inc./CSW) Thermo Cogeneration Partnership, Energy Apr-93 Delaware 50% Qualifying facility L.P. (Thermo Cogen) (ownership through intermediate holding company CSW Ft. Lupton, Inc./ CSW Energy Inc./CSW) Sweeny Cogeneration Limited Energy Sep-95 Delaware 50% Qualifying facility Partnership (Sweeny Cogen) (ownership through various intermediate holding company subsidiaries originating with CSW Sweeny GP I, inc. and CSW Sweeny LP I, Inc./CSW Energy Inc./CSW) Diversified Energy Contractors LLC Energy Jul-97 Delaware 100% Maintenance services (DECO) (CSW Energy Inc. / CSW) CSW Power Marketing, Inc. Energy Mar-96 Delaware 100% Energy marketing (CSW) CSW Services International, Inc. Energy Mar-97 Delaware 100% Energy management (CSW Energy Inc. / CSW) Powerware Solutions, Inc. Energy Feb-94 Texas 4.0% Energy Mgmt Systems (PSO Investment) for water utilities Utility Data Resources, Inc. Energy Dec-97 Delaware 4.5% Electricity pricing (PSO Investment) mgmt consulting and software AEMT, Inc. Energy Dec-97 Florida 0% Power conditioning (PSO Investment) product mfg and sales Energy Services, Inc. (ESI) Energy Sept-97 Delaware 100% Energy marketing (CSW) Enershop Energy Sept-95 Delaware 100% Energy marketing (CSW) services
ITEM 2 - ISSUANCES AND RENEWALS OF SECURITIES AND CAPITAL CONTRIBUTIONS
Principal Person to Consideration Company Type of amount Issue or Cost of whom security Collateral given received for issuing security security issued security renewal capital issued with security each security - ---------------------------------------------------------------------------------------------------------------- (000's) DECO Loan note $830 CSW Energy Eastex Cogeneration LP Loan note 3,145 CSW Energy LP
Company Company Amount of contributing receiving capital capital capital contribution - ------------------------------------ (000's) None ITEM 3 - ASSOCIATE TRANSACTIONS Part I - Transactions performed by reporting companies on behalf of associate companies
Direct Indirect Reporting company Associate company Type of services costs costs Cost of Total amount rendering services receiving services rendered charged charged capital billed - ---------------------------------------------------------------------------------------------------------- (000's) (000's) (000's) Enershop, Inc. Energy Service, Inc. Sales/Marketing $ 6 $ 6 Enershop, Inc. CSW Power Lease Marketing, Inc. Management 2 2 CSW Power Enershop, Inc. Lease Marketing, Inc. Management 57 57 CSW Energy, Inc. Orange Plant Cogeneration services 407 $ 157 564 CSW Energy, Inc. Polk Plant Cogeneration services 411 160 571 CSW Services Sweeny Plant International, Cogeneration services 333 144 477 Inc.
Part II - Transactions performed by associate companies on behalf of reporting companies
Direct Indirect Reporting company Associate company Type of services costs costs Cost of Total amount rendering services receiving services rendered charged charged capital billed - ---------------------------------------------------------------------------------------------------------- (000's) (000's) (000's) CSW Power Enershop, Inc. Lease Marketing, Inc. Management $57 $57 Enershop, Inc. Energy Sales/Marketing 6 6 Service, Inc. Enershop, Inc. CSW Power Lease Marketing, Inc. Management 2 2
For other associate company transactions, please refer to the most recent annual report on Form U-13-60 filed by Central and South West Corporation with the Securities and Exchange Commission. ITEM 4 - SUMMARY OF AGGREGATE INVESTMENT Investments in energy-related companies (millions): Total consolidated capitalization as $7,956 line 1 of: March 31, 1999 Total capitalization multiplied 1,193 line 2 by 15%(line 1 multiplied by 0.15) Greater of $50 million or line 2 1,193 line 3 Total current aggregate investment: (Beginning 4/1/97) (categorized by major line of energy-related business) Energy-related Category 1: Energy Services 15 Energy-related Category 5: Energy Marketing 11 Energy-related Category 7: Maintenance Services 0 Energy-related Category 8: Qualifying Facility 9 Energy-related Categories 2,3,4,6,9,10 -- Total current aggregate investment 35 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) $1,158 line 5 ======== Investments in gas-related companies (millions): Total current aggregate investment: (Beginning 4/1/97) (categorized by major line of energy-related business) Gas-related business -- Categories 1 and 2 Total current aggregate $0 investment ======== ITEM 5 - OTHER INVESTMENTS
Major line of energy- Other investment in Other investment in related business last U-9C-3 report this U-9C-3 report Reason for difference in other investment - ---------------------------------------------------------------------------------------------------------- (000's) (000's) Energy services $ 2,696 $0 Amounts invested prior to April 1, 1997 are excluded from Item 4 Maintenance services -- 0 Qualifying facility $ 194,644 0 Amounts invested prior to April 1, 1997 are excluded from Item 4
ITEM 6 - FINANCIAL STATEMENTS AND EXHIBITS Financial Statements Balance sheets for quarter ended March 31, 1999 are filed confidentially under separate cover for: Exhibit 1 CSW Development-I, Inc. (consolidated) Exhibit 2 CSW Ft. Lupton, Inc. Exhibit 3 Sweeny Companies (consolidated) Exhibit 4 Enershop, Inc. Exhibit 5 CSW Energy Services, Inc. Exhibit 6 CSW Power Marketing, Inc. Exhibit 7 Diversified Energy Contractors Company (DECO) Exhibit 8 CSW Services International Income Statements as of the three months ended March 31, 1999 are filed confidentially under separate cover for: Exhibit 9 CSW Development-I, Inc. (consolidated) Exhibit 10 CSW Ft. Lupton, Inc. Exhibit 11 Sweeny Companies (consolidated) Exhibit 12 Enershop, Inc. Exhibit 13 CSW Energy Services, Inc. Exhibit 14 CSW Power Marketing, Inc. Exhibit 15 Diversified Energy Contractors Company (DECO) Exhibit 16 CSW Services International Exhibits Exhibit A - Certificate of Central and South West Corporation Please contact Mr. Steven K. Bargmann at (214) 777-2210 with inquiries concerning this report. SIGNATURE Central and South West Corporation /s/ Lawrence B. Connors By: Lawrence B. Connors (Name) Controller (Title) May 28, 1999 (Date) EX-99.A 2 EXHIBIT A Exhibit A CENTRAL AND SOUTH WEST CORPORATION CERTIFICATE The undersigned certifies that he is the duly designated and acting Controller of Central and South West Corporation, a Delaware corporation, and that a conformed copy of the Quarterly Report on Form U-9C-3 shall be filed with the Specific State Commissions that have jurisdiction over the retail rates of the public-utility companies that are associate companies of any of the reporting companies. The names and addresses of the Specific State Commissions are: 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 2101 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 May, 1999. /s/ Lawrence B. Connors Lawrence B. Connors Controller -----END PRIVACY-ENHANCED MESSAGE-----