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
ALLIANT ENERGY CORPORATION
4902 N. Biltmore Lane
Madison, Wisconsin 53718-2132
608-458-3311
ALLIANT ENERGY CORPORATION
FORM U-9C-3
For the Quarter Ended December 31, 2002
CONTENTS
Page
ITEM 1 - Organization Chart 3
ITEM 2 - Issuances and Renewals of Securities and Capital Contributions 3
ITEM 3 - Associate Transactions 4
ITEM 4 - Summary of Aggregate Investment 5
ITEM 5 - Other Investments 6
ITEM 6 - Financial Statements and Exhibits 6
SIGNATURES 6
EXHIBIT A 7
2
ITEM 1 - ORGANIZATION CHART
Omitted for the fourth quarter pursuant to instructions for "Item 1."
ITEM 2 - ISSUANCES AND RENEWALS OF SECURITIES AND CAPITAL CONTRIBUTIONS:
Investment level at December 31, 2002
-------------------------------------------- --------------------------- -------------- --------------------------------------------
Principal
Company Type of Amount of Person to
Issuing Security Security Whom Security was Issued
Security Issued (in thousands) (1)
-------------------------------------------- --------------------------- -------------- --------------------------------------------
ADI Thermal Power, Corp. Common stock $200 Alliant Energy Resources, Inc.
Alliant Energy Desdemona, LP Partnership capital $1,569 Industrial Energy Applications Delaware Inc.
Partnership capital $1 Alliant Energy Field Services, LLC
Alliant Energy Integrated Services -
Energy Management LLC Money pool borrowings $9,605 Alliant Energy Resources, Inc.
Alliant Energy Integrated Services -
Energy Solutions LLC Money pool borrowings $4,729 Alliant Energy Resources, Inc.
Alliant South Texas Pipeline, LP Partnership capital $6,140 Industrial Energy Applications Delaware Inc.
Partnership capital $9 Alliant Energy Field Services, LLC
American Superconductor Corporation Common stock $963 Alliant Energy Resources, Inc.
AnAerobics, Inc. Preferred stock $1,333 Alliant Energy Resources, Inc
AstroPower, Inc. Common stock $497 Alliant Energy Resources, Inc.
BFC Gas Company LC Capital $1,988 Industrial Energy Applications, Inc.
CellTech Power, Inc. Series A preferred stock $252 Alliant Energy Resources, Inc.
Cogenex Corporation (Incl. subsidiaries) Money pool borrowings $72,394 Alliant Energy Resources, Inc.
Dais Analytic Corporation Common stock $90 Wisconsin Power and Light Company
Distribution Vision 2010 LLC Capital $50 Alliant Energy Corporation
Energys, Inc. Common stock $8,746 Industrial Energy Applications, Inc.
Energy Performance Services, Inc. Money pool borrowings $18,042 Alliant Energy Resources, Inc.
Heartland Energy Group, Inc. Common stock $5,011 Alliant Energy Integrated Services Company
Money pool borrowings $22,590 Alliant Energy Resources, Inc.
Industrial Energy Applications, Inc. Common stock $21,060 Alliant Energy Integrated Services Company
Money pool borrowings $21,306 Alliant Energy Resources, Inc.
New River Synfuel LLC Capital $10,566 Alpha Synfuel LLC
NG Energy Trading, LLC Capital $2,250 Heartland Energy Group, Inc.
Nth Power Technologies Fund II, LP Partnership capital $6,000 Alliant Energy Resources, Inc.
Oak Hill Pipeline LP Partnership capital $1,903 Industrial Energy Applications Delaware Inc.
Proton Energy Systems, Inc. Common stock $499 Alliant Energy Resources, Inc.
Common stock $22 AER Holding Company
ReGENco LLC Class A units $1,083 Heartland Energy Services, Inc.
Class B units $667 Heartland Energy Services, Inc.
RMT, Inc. (Incl. subsidiaries) Common stock $11,822 Alliant Energy Integrated Services Company
SmartEnergy, Inc. Common stock $15,000 Alliant Energy Resources, Inc.
Bridge loan $21,320 Alliant Energy Resources, Inc.
STM Power, Inc. Preferred stock $2,500 Alliant Energy Resources, Inc.
TRANSLink Development Company Capital $288 Alliant Energy TransCo, LLC
Loan $419 Alliant Energy TransCo, LLC
Williams Bulk Transfer Inc. Common stock $1 Alliant Energy Transportation, Inc.
Money pool borrowings $4,543 Alliant Energy Resources, Inc.
-------------------------------------------- --------------------------- -------------- --------------------------------------------
(1) Associate companies.
3
ITEM 3 - ASSOCIATE TRANSACTIONS
For the Quarter Ended December 31, 2002
Part I -- Transactions performed by reporting companies on behalf of
associate companies (a):
-----------------------------------------------------------------------------------------------------------------------------------
Reporting Associate Direct Indirect Total
Company Company Types of Costs Costs Cost of Amount
Rendering Receiving Services Charged Charged Capital Billed
Services Services Rendered (in thousands) (in thousands) (in thousands) (in thousands)
-----------------------------------------------------------------------------------------------------------------------------------
RMT WP&L Environmental consulting $473 $- $- $473
RMT IEA Environmental consulting 56 - - 56
RMT IP&L Environmental consulting 219 - - 219
RMT Resources Environmental consulting 35 - - 35
RMT Barge Environmental consulting 1 - - 1
RMT AE Generation Environmental consulting 14 - - 14
ReGENco WP&L Integrated turbine & generator services 340 - - 340
-----------------------------------------------------------------------------------------------------------------------------------
Part II -- Transactions performed by associate companies on behalf of
reporting companies (a):
----------------------------------------------------------------------------------------------------------------------------------
Associate Reporting Direct Indirect Total
Company Company Types of Costs Costs Cost of Amount
Rendering Receiving Services Charged Charged Capital Billed
Services Services Rendered (in thousands) (in thousands) (in thousands) (in thousands)
----------------------------------------------------------------------------------------------------------------------------------
RMT IEA Environmental consulting $56 $- $- $56
----------------------------------------------------------------------------------------------------------------------------------
(a) The following abbreviations were used:
------------------ ------------------------------------------ -------------- ------------------------------------------
Abbreviation Legal Name Abbreviation Legal Name
------------------ ------------------------------------------ -------------- ------------------------------------------
AE Generation Alliant Energy Generation, Inc. ReGENco ReGENco LLC
Barge IEI Barge Services, Inc. Resources Alliant Energy Resources, Inc.
IEA Industrial Energy Applications, Inc. RMT RMT, Inc.
IP&L Interstate Power and Light Company WP&L Wisconsin Power and Light Company
------------------ ------------------------------------------ -------------- ------------------------------------------
4
ITEM 4 - SUMMARY OF AGGREGATE INVESTMENT
(Dollars in thousands)
Investments in energy-related companies:
---------------------------------------------------------------------------------- -------------------------- ----------
Total consolidated capitalization as of December 31, 2002 (a) $5,089,968 Line 1
---------------------------------------------------------------------------------- -------------------------- ----------
Total capitalization multiplied by 15% (Line 1 multiplied by 0.15) 763,495 Line 2
---------------------------------------------------------------------------------- -------------------------- ----------
Greater of $50 million or total capitalization multiplied by 15% (Line 2) 763,495 Line 3
---------------------------------------------------------------------------------- -------------------------- ----------
Total current aggregate investment subsequent to April 21, 1998 (categorized by
major line of energy-related business):
Energy-related business category i 113,517
Energy-related business category ii 15,022
Energy-related business category iii -
Energy-related business category iv -
Energy-related business category v 62,882
Energy-related business category vi 19,376
Energy-related business category vii 3,557
Energy-related business category viii 240,233 (b)
Energy-related business category ix 14,263
Energy-related business category x -
---------------
Total current aggregate investment 468,850 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) $294,645 Line 5
---------------------------------------------------------------------------------- -------------------------- ----------
Investments in gas-related companies:
------------------------------------------------------------------------ -------------------------
Total current aggregate investment (categorized by major line of
gas-related business):
Gas-related business category i $-
Gas-related business category ii -
-------------------
Total current aggregate investment $-
------------------------------------------------------------------------ -------------------------
(a) Includes common equity, cumulative preferred stock of subsidiaries,
long-term debt, current maturities and sinking funds and short-term debt
(variable rate demand bonds, commercial paper and other short-term
borrowings).
(b) Represents $156,199,000 of payments and $84,034,000 of commitments for
future payments required to purchase generation equipment that Alliant Energy
intends to use to develop one or more qualifying facilities.
5
ITEM 5 - OTHER INVESTMENTS
(Dollars in thousands)
------------------------------------------ ----------------- ---------------- ----------------------------------------------------
Other Other
Major Line Of Investment Investment
Energy-Related In Last In This Reason for Difference
Business U-9C-3 Report U-9C-3 Report In Other Investment
------------------------------------------ ----------------- ---------------- ----------------------------------------------------
Energy-related business category i*
Henwood Energy Services, Inc. $1,342 $0 In the fourth quarter of 2002, AER Holding Company
sold their interest in Henwood Energy Services,
Inc.
Industrial Energy Applications, Inc. $47,133 $42,365 In the fourth quarter of 2002, Industrial Energy
Applications, Inc. repaid $4,768 of money pool
borrowings to Alliant Energy Resources, Inc.
Energy-related business category v*
Heartland Energy Group, Inc. $3,289 $3,289 No change.
Energy-related business category vi*
BFC Gas Company LC $2,109 $1,988 In the fourth quarter of 2002, BFC Gas Company LC
made a distribution of $121 to Industrial Energy
Applications, Inc.
Energy-related business category vii*
RMT, Inc. (including subsidiaries) $11,822 $11,822 No change.
Energy-related business category ix*
Oak Hill Pipeline LP $2,279 $1,903 In the fourth quarter of 2002, Oak Hill Pipeline
LP made a distribution of $376 to Industrial
Energy Applications Delaware Inc.
------------------------------------------ ----------------- ---------------- ----------------------------------------------------
* Item 5 includes aggregate investments that were invested or committed to
be invested in energy-related companies, prior to the date Rule 58 was
effective for Alliant Energy Corporation (April 21, 1998 - Date Alliant
Energy Corporation became a registered holding company), for which there is
recourse, directly or indirectly, to Alliant Energy Corporation or any
subsidiary thereof.
ITEM 6 - FINANCIAL STATEMENTS AND EXHIBITS
List all financial statements and exhibits filed as a part of this report.
A. FINANCIAL STATEMENTS:
Omitted for the fourth quarter pursuant to instructions for "Item 6."
B. EXHIBITS:
1. Exhibit A - Certificate of Alliant Energy Corporation
2. Copies of contracts required by Item 3:
None
SIGNATURES
Pursuant to the requirements of the Public Utility Holding Company Act of
1935, Alliant Energy Corporation has duly caused this report to be signed on
its behalf by the undersigned, thereunto duly authorized on the 31st day of
March 2003.
ALLIANT ENERGY CORPORATION
--------------------------
Registrant
By: /s/ John E. Kratchmer Vice President-Controller and Chief Accounting Officer
--------------------------- (Principal Accounting Officer)
John E. Kratchmer
6
Exhibit A
ALLIANT ENERGY CORPORATION
4902 N. Biltmore Lane, Madison, Wisconsin 53718-2132
CERTIFICATE
Pursuant to the requirements of Rule 58 of the Public Utility Holding Company
Act of 1935, the undersigned certifies that a conformed copy of the quarterly
report on Form U-9C-3 shall be filed with the interested state commissions
promptly after filing with the SEC. The names and addresses of each state
commission having jurisdiction over the retail rates of the public utility
companies that are associate companies of any of the reporting companies are:
Iowa Utilities Board
350 Maple Street
Des Moines, Iowa 50319-0069
Illinois Commerce Commission
527 E. Capitol Avenue
Springfield, Illinois 62701
Minnesota Public Utilities Commission
121 7th Place E. Suite 350
St. Paul, MN 55101-2147
Public Service Commission of Wisconsin
610 North Whitney Way, P.O. Box 7854
Madison, Wisconsin 53707-7854
ALLIANT ENERGY CORPORATION
--------------------------
Registrant
By: /s/ John E. Kratchmer Vice President-Controller and Chief Accounting Officer
--------------------------- (Principal Accounting Officer)
John E. Kratchmer
7