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, 2002
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, 2002
CONTENTS
Page
ITEM 1 - Organization Chart 1
ITEM 2 - Issuances and Renewals of Securities and
Capital Contributions 8
ITEM 3 - Associated Transactions 9
ITEM 4 - Summary of Aggregate Investment 10
ITEM 5 - Other Investments 10
ITEM 6 - Financial Statements and Exhibits 11
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. 14
01. AEP Investments, Inc.
02. AEP EmTech, LLC 15
03. Altra Energy Technologies, Inc. 16
03. Amperion, Inc. 17
03. Universal Supercapacitors, LLC 18
03. Integrated Fuel Cell Technologies, Inc. 93
03. Power-span Corp 24
01. Mutual Energy L.L.C. 19
02. Mutual Energy Service Company, L.L.C. 20
02. AEP Ohio Retail Energy, LLC 21
01. AEP Power Marketing, Inc. 22
01. AEP T&D Services, LLC 23
01. AEP Pro Serv, Inc.
02. PHPK Technologies, Inc. 25
01. AEP Retail Energy LLC 26
01. AEP Texas POLR, LLC 27
02. AEP Texas POLR GP, LLC 28
03. POLR Power, L.P. 29
02. POLR Power, L.P. 29
01. Central and South West Corporation
02. Public Service Company of Oklahoma
03. Ash Creek Mining Company 30
03. AEMT, Inc. 31
03. Powerware Solutions, Inc. 32
03. Utility Data Resources, Inc. 33
02. Southwestern Electric Power Company
03. The Arklahoma Corporation 34
03. Southwest Arkansas Utilities Corporation 35
03. Dolet Hills Lignite Company, LLC 36
02. CSW Energy, Inc.
03. CSW Development-I, Inc. 37
04. Polk Power GP II, Inc. 38
05. Polk Power GP, Inc. 39
06. Polk Power Partners, LP 40
07. Mulberry Holdings, Inc. 41
04. CSW Mulberry II, Inc. 42
05. CSW Mulberry, Inc. 43
04. Polk Power Partners, LP 40
05. Mulberry Holdings, Inc. 41
04. Noah I Power GP, Inc. 44
05. Noah I Power Partners, LP 45
06. Brush Cogeneration Partners 46
04. Noah I Power Partners, LP 45
05. Brush Cogeneration Partners 46
04. Orange Cogeneration GP II, Inc. 47
05. Orange Cogeneration G.P., Inc. 48
06. Orange Cogeneration Limited Partnership 49
07. Orange Cogen Funding Corp. 50
08. Orange Holdings, Inc. 51
04. CSW Orange II, Inc. 52
05. CSW Orange, Inc. 53
06. Orange Cogeneration Limited Partnership 49
07. Orange Cogen Funding Corp. 50
08. Orange Holdings, Inc. 51
03. CSW Development-II, Inc. 54
03. CSW Ft. Lupton, Inc. 55
04. Thermo Cogeneration Partnership, L.P. 56
03. CSW Sweeny GP I, Inc. 57
04. CSW Sweeny GP II, Inc. 58
05. Sweeney Cogeneration Limited Partnership 59
03. CSW Sweeny LP I, Inc. 60
04. CSW Sweeny LP II, Inc. 61
05. Sweeney Cogeneration Limited Partnership 59
03. CSW Nevada, Inc. 62
03. CSW Services International, Inc. 63
03. Diversified Energy Contractors Company, LLC 64
04. DECCO II LLC 65
05. Diversified Energy Contractors, LP 66
04. Diversified Energy Contractors, LP 66
04. Industry and Energy Associates, L.L.C. 67
03. CSW Eastex GP I, Inc. 68
04. CSW Eastex GP II, Inc. 69
05. Eastex Cogeneration Limited Partnership 70
03. CSW Eastex LP I, Inc. 71
04. CSW Eastex LP II, Inc. 72
05. Eastex Cogeneration Limited Partnership 70
02. EnerShop Inc. 73
03. Envirotherm, Inc. 74
02. CSW Energy Services, Inc. 75
03. Nuvest, L.L.C. 76
04. National Temporary Services, Inc. 77
05. Octagon, Inc. 78
04. Numanco, L.L.C. 79
05. NuSun, Inc. 80
06. Sun Technical Services, Inc. 81
06. Calibration and Testing Corporation 82
05. ESG Technical Services, L.L.C. 83
05. National Environmental Services Technology, L.L.C. 84
05. ESG Indonesia, L.L.C. 85
05. ESG, L.L.C. 86
05. Numanco Services, LLC 87
02. REP Holdco, LLC 88
03. Mutual Energy SWEPCO L.P. 91
03. REP General Partner LLC 92
04. Mutual Energy SWEPCO L.P. 91
Energy or Gas- State of Nature of
Related Company Organization Business
--------------- ------------ --------
Percentage of
Date of Voting Securities
Name of Reporting Company Organization Held
------------------------- ------------ ----
1 AEP C&I Company, LLC Energy 10/10/00 Delaware 100% Marketing of natural gas, electricity or
energy related products
2 AEP Ohio Commercial & Industrial Energy 10/10/00 Delaware 100% Marketing of natural gas, electricity or
Retail Company, LLC energy related products
3 AEP Texas Commercial & Industrial Energy 12/11/00 Delaware 100% Marketing of natural gas, electricity or
Retail GP, LLC energy related products
4 AEP Texas Commercial & Industrial Energy 12/12/00 Delaware 100% Marketing of natural gas, electricity or
Retail Limited Partnership energy related products
5 AEP Gas Power GP, LLC Energy 12/19/00 Delaware 100% Distributed generation products
6 AEP Gas Power Systems, LLC Energy 07/09/96 Delaware 75% Distributed generation products
7 AEP Coal, Inc. Energy 10/29/01 Nevada 100% Coal Mining
8 Snowcap Coal Company, Inc. Energy 10/29/01 Delaware 100% Coal Mining
9 AEP Kentucky Coal, LLC Energy 10/29/01 Delaware 100% Coal Mining
10 AEP Ohio Coal, LLC Energy 10/26/01 Delaware 100% Coal Mining
11 AEP West Virginia Coal, Inc. Energy 10/29/01 Nevada 100% Coal Mining
12 AEP Energy Services, Inc. Energy 09/24/96 Ohio 100% Broker and market energy commodities
13 Energy Trading Platform Holding Energy 04/28/00 Delaware 16.70% Energy Marketing
Company, Inc.
14 Intercontinental Exchange, Inc. Energy 06/16/00 Delaware 4.87% Energy Marketing
15 AEP EmTech, LLC Energy 01/03/01 Delaware 100% Development & commercialization of
electrotechnologies
16 Altra Energy Technologies, Inc. Energy 08/19/97 Delaware 5% Energy Marketing software
17 Amperion, Inc. Energy 02/16/01 Delaware 38.30% Non-regulated energy-related services and
projects
18 Universal Supercapacitors, LLC Energy 04/16/02 Delaware 50% Non-regulated energy-related services and
projects
19 Mutual Energy L.L.C. Energy 12/17/99 Delaware 100% Marketing of natural gas, electricity or
energy related products
20 Mutual Energy Service Company, L.L.C. Energy 09/05/00 Delaware 100% Marketing of natural gas, electricity or
energy related products
21 AEP Ohio Retail Energy, LLC Energy 09/05/00 Delaware 100% Marketing of natural gas, electricity or
energy related products
22 AEP Power Marketing, Inc. Energy 07/22/96 Ohio 100% Marketing of natural gas, electricity or
energy related products
23 AEP T&D Services, LLC Energy 12/12/00 Delaware 100% Energy services including operations,
supply chain, transmission and distribution
24 Powerspan Corp Energy 05/14/97 Delaware 9.80% Pollution Control Technology Development
25 PHPK Technologies, Inc. Energy 07/01/91 Ohio 40.40% Cryogenic and Vacuum Equipment Manufacture
& Service
26 AEP Retail Energy LLC Energy 06/28/00 Delaware 100% Marketing of natural gas, electricity or
energy related products
27 AEP Texas POLR, LLC (aka AEP Texas Energy 12/11/00 Delaware 100% Marketing of natural gas, electricity or
Retail GP, LLC) energy related products
28 AEP Texas POLR GP, LLC Energy 11/14/01 Delaware 100% Marketing of natural gas, electricity or
energy related products
29 POLR Power, L.P. Energy 11/14/01 Delaware 100% Marketing of natural gas, electricity or
energy related products
30 Ash Creek Mining Company Energy Oklahoma Sold 8/5/02
31 AEMT, Inc. Energy 12/23/97 Florida 0% Power conditioning product mfg and sales
32 Powerware Solutions, Inc. Energy 02/15/94 Texas 4.00% Energy Management Systems for water
utilities
33 Utility Data Resources, Inc. Energy 12/30/97 Delaware 4.50% Electricity pricing, management consulting
and software
34 The Arklahoma Corporation Energy 05/16/47 Arkansas 44.20% Electric Transmission
35 Southwest Arkansas Utilities Energy 03/22/28 Arkansas 100% Inactive
Corporation
36 Dolet Hills Lignite Company, LLC Energy 04/09/01 Delaware 100% Coal Mining
37 CSW Development-I, Inc. Energy 12/06/90 Delaware 100% Qualifying Facility
38 Polk Power GP II, Inc. Energy 03/20/95 Delaware 50% Qualifying Facility
39 Polk Power GP, Inc. Energy 09/18/91 Delaware 100% Qualifying Facility
40 Polk Power Partners, LP Energy 02/19/92 Delaware 50% Qualifying Facility
41 Mulberry Holdings, Inc. Energy 10/28/99 Delaware 100% Qualifying Facility
42 CSW Mulberry II, Inc. Energy 03/21/95 Delaware 100% Qualifying Facility
43 CSW Mulberry, Inc. Energy 02/03/94 Delaware 100% Qualifying Facility
44 Noah I Power GP, Inc. Energy 05/14/91 Delaware 100% Qualifying Facility
45 Noah I Power Partners, LP Energy 05/16/91 Delaware 100% Qualifying Facility
46 Brush Cogeneration Partners Energy 06/17/94 Delaware 50% Qualifying Facility
47 Orange Cogeneration GP II, Inc. Energy 03/16/95 Delaware 50% Qualifying Facility
48 Orange Cogeneration G.P., Inc. Energy 02/05/93 Delaware 100% Qualifying Facility
49 Orange Cogeneration Limited Partnership Energy 02/05/93 Delaware 50% Qualifying Facility
50 Orange Cogen Funding Corp. Energy 06/11/92 Delaware 100% Qualifying Facility
51 Orange Holdings, Inc. Energy 10/28/99 Delaware 100% Qualifying Facility
52 CSW Orange II, Inc. Energy 03/16/95 Delaware 100% Qualifying Facility
53 CSW Orange, Inc. Energy 04/21/93 Delaware 100% Qualifying Facility
54 CSW Development-II, Inc. Energy 06/11/92 Delaware 100% Qualifying Facility
55 CSW Ft. Lupton, Inc. Energy 04/01/93 Delaware 50% Qualifying Facility
56 Thermo Cogeneration Partnership, L.P. Energy 03/17/93 Delaware 100% Qualifying Facility
57 CSW Sweeny GP I, Inc. Energy 09/06/95 Delaware 100% Qualifying Facility
58 CSW Sweeny GP II, Inc. Energy 09/06/95 Delaware 100% Qualifying Facility
59 Sweeney Cogeneration Limited Energy 10/10/95 Delaware 50% Qualifying Facility
Partnership
60 CSW Sweeny LP I, Inc. Energy 09/06/95 Delaware 100% Qualifying Facility
61 CSW Sweeny LP II, Inc. Energy 09/06/95 Delaware 100% Qualifying Facility
62 CSW Nevada, Inc. Energy 06/29/93 Delaware 100% Energy Management
63 CSW Services International, Inc. Energy 03/19/97 Delaware 100% Non-regulated energy-related services and
projects
64 Diversified Energy Contractors Energy 07/03/97 Delaware 100% Non-regulated energy-related services and
Company, LLC projects
65 DECCO II LLC Energy 08/08/97 Delaware 100% Non-regulated energy-related services and
projects
66 Diversified Energy Contractors, LP Energy 08/18/98 Delaware 100% Non-regulated energy-related services and
projects
67 Industry and Energy Associates, L.L.C. Energy 05/26/98 Delaware 100% Non-regulated energy-related services and
projects
68 CSW Eastex GP I, Inc. Energy 09/04/98 Delaware 100% Qualifying Facility
69 CSW Eastex GP II, Inc. Energy 09/04/98 Delaware 100% Qualifying Facility
70 Eastex Cogeneration Limited Partnership Energy 09/09/98 Delaware 50% Qualifying Facility
71 CSW Eastex LP I, Inc. Energy 09/04/98 Delaware 100% Qualifying Facility
72 CSW Eastex LP II, Inc. Energy 09/04/98 Delaware 100% Qualifying Facility
73 EnerShop Inc. Energy 09/11/95 Delaware 100% Energy Marketing Services
74 Envirotherm, Inc. Energy 01/18/82 Texas 100% Energy Marketing Services
75 CSW Energy Services, Inc. Energy 09/24/97 Delaware 100% Energy Marketing Services
76 Nuvest, L.L.C. Energy 02/20/96 Delaware 92.90% Staff Augmentation to Power Plants
77 National Temporary Services, Inc. Energy 12/31/90 Pennsylvania 100% Staff Augmentation to Power Plants
78 Octagon, Inc. Energy 11/05/93 Delaware 100% Staff Augmentation to Power Plants
79 Numanco, L.L.C. Energy 04/08/96 Oklahoma 100% Staff Augmentation to Power Plants
80 NuSun, Inc. Energy 04/26/88 Delaware 100% Staff Augmentation to Power Plants
81 Sun Technical Services, Inc. Energy 01/16/91 California 100% Staff Augmentation to Power Plants
82 Calibration and Testing Corporation Energy 01/02/80 California 100% Staff Augmentation to Power Plants
83 ESG Technical Services, L.L.C. Energy 07/16/99 Oklahoma 100% Staff Augmentation to Power Plants
84 National Environmental Services Energy 11/13/98 Oklahoma 100% Staff Augmentation to Power Plants
Technology, L.L.C.
85 ESG Indonesia, L.L.C. Energy 11/13/98 Oklahoma 100% Staff Augmentation to Power Plants
86 ESG, L.L.C. Energy 11/27/96 Oklahoma 50% Staff Augmentation to Power Plants
87 Numanco Services, LLC Energy 04/08/96 Oklahoma 100% Staff Augmentation to Power Plants
88 REP Holdco, LLC Energy 04/04/01 Delaware 100% Marketing of natural gas, electricity or
energy related products
91 Mutual Energy SWEPCO L.P. Energy 04/04/01 Delaware 100% Marketing of natural gas, electricity or
energy related products
92 REP General Partner LLC Energy 04/04/01 Delaware 100% Marketing of natural gas, electricity or
energy related products
93 Integrated Fuel Cell Technologies, Inc. Energy 04/04/01 Delaware .10% Non-regulated energy-related services and
projects
- 8 -
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)
None
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 $ 1,689 - - $ 1,689
Nuvest, LLC D.C. Cook Engineering 8,214 - - 8,214
Nuvest, LLC Regional Service
Office - West Engineering 3,607 - - 3,607
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 $8,433 $16,786 $ - $25,219
Houston Pipeline AEPES Asset Management 6,250 - - 6,250
Jefferson Island AEPES Asset Management 1,250 - - 1,250
CSW Energy, Inc. Polk Power
Partners, L.P. Plant Services 440 204 - 644
CSW Energy, Inc. Orange
Cogeneration
L.P. Plant Services 811 196 - 1,007
CSW Dev I, Inc. Polk Power
Parnters, L.P. Plant Services 100 - - 100
CSW Services International Inc. Eastex
Cogeneration
L.P. Plant Services 472 716 - 1,188
CSW Services International Inc. Sweeny
Cogeneration
L.P. Plant Services 474 570 - 1,044
------- ------- ---- -------
Total $18,230 $18,472 $ - $36,702
======= ======= ==== =======
ITEM 4 - SUMMARY OF AGGREGATE INVESTMENT
Investments in energy-related companies:
(in thousands)
Total consolidated capitalization
as of December 31, 2002 $21,949,869(a) Line 1
Total capitalization multiplied by 15%
(line 1 multiplied by 0.15) 3,292,480 Line 2
Greater of $50 million or line 2 $3,292,480 Line 3
Total current aggregate investment:
(categorized by major line of energy-related business)
Energy-related Category 1: Energy Services 24,810
Energy-related Category 5: Energy Marketing 948,742
Energy-related Category 7: Maintenance Services 79,091
Energy-related Category 8: Qualifying Facility 679,500
Energy-related Category 10: Other Form of Energy 151,516
Energy-related Category 2,3,4,6,9 63,551
Total current aggregate investment 1,947,210 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) $1,345,270 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, 2002 are
filed confidentially under a separate cover for:
AEP C&I Company, LLC
AEP Coal, Inc.
AEP EmTech LLC
AEP Energy Services, Inc.
AEP Gas Power GP, LLC
AEP Gas Power System GP, LLC
AEP Ohio C&I Retail Company
AEP Power Marketing, Inc.
AEP Retail Energy, LLC
AEP T&D Services, LLC
AEP Texas C&I Retail LP
AEP Texas C&I Retail GP, LLC
AEP Texas GP, LLC
CSW Development-I, Inc. (consolidated)
CSW Energy Consolidated
CSW Energy Services, Inc.
CSW Ft. Lupton, Inc.
CSW Power Marketing, Inc.
CSW Services International Inc.
CSWI Consolidated
Diversified Energy Contractors Company (DECCO)
Dolet Hills Lignite Company
Eastex Cogeneration LP
Enershop, Inc.
Mutual Energy LLC (consolidated)
Mutual Energy SWEPCO L.P.
Nuvest, LLC
POLR Power, L.P.
REP General Partner LLC
Sweeny Companies (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 December 31, 2002 (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 State Commission
211 Sower Boulevard
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
February, 2003.
/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
February 28, 2003