UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM U-9C-3
QUARTERLY REPORT
For the quarter ended September 30, 2001
Filed Pursuant to Rule 58 of the Public Utility Holding Company
Act of 1935
ALLIANT ENERGY CORPORATION
222 West Washington Avenue
Madison, Wisconsin 53703
608-252-3311
ALLIANT ENERGY CORPORATION
FORM U-9C-3
For the Quarter Ended September 30, 2001
CONTENTS
Page
ITEM 1 - Organization Chart 3
ITEM 2 - Issuances and Renewals of Securities and Capital Contributions 5
ITEM 3 - Associate Transactions 6
ITEM 4 - Summary of Aggregate Investment 7
ITEM 5 - Other Investments 8
ITEM 6 - Financial Statements and Exhibits 8
SIGNATURES 8
EXHIBIT A 9
2
ITEM 1 - ORGANIZATION CHART
(As of September 30, 2001)
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Percentage
Name of Company Energy- or of Voting Nature of
(Organization Chart Hierarchy) Gas-Related Date of State of Securities Business
(Reporting companies denoted with (**)) Company Organization Organization Held (a)
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Alliant Energy Corporation N/A N/A N/A N/A N/A
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Cargill-Alliant, L.L.C. (**) Energy 10/29/97 Wisconsin 50% (v) - 2
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Alliant Energy Resources, Inc. N/A N/A N/A N/A N/A
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Alliant Energy Development, LLC N/A N/A N/A N/A N/A
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Argo Power LLC (**) (*) Energy 6/5/00 Delaware 67% Inactive
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Henwood Energy Services, Inc. (**) Energy 8/9/85 California 17% (i)
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Nth Power Technologies Fund II, L.P. (**) Energy 2/25/00 California 8% (ii)
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
SmartEnergy, Inc. (**) Energy 11/3/00 Delaware 18% (v) - 3
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Alliant Energy Integrated Services Company N/A N/A N/A N/A N/A
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Industrial Energy Applications, Inc. (**) Energy 9/22/83 Iowa 100% (i)
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
BFC Gas Company L.C. (**) Energy 12/7/95 Iowa 60% (vi)
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Energys, Inc. (**) Energy 6/25/84 Wisconsin 100% (i)
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
RMT, Inc. (**) Energy 7/29/83 Wisconsin 100% (vii) - 1
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Residuals Management Technology,
Inc., Ohio (**) Energy 1/22/97 Ohio 48% (vii) - 1
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
RMT North Carolina, Inc. (**) Energy 4/6/69 North Carolina 100% (vii) - 1
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
RMT, Inc., Michigan (**) Energy 12/15/95 Michigan 100% (vii) - 1
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
RMT International, Inc. (**) Energy 10/9/97 Wisconsin 100% (vii) - 1
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Lake Engineering, Inc. (**) Energy 9/2/82 Georgia 100% (vii) - 1
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Heartland Energy Group, Inc. (**) Energy 6/1/95 Wisconsin 100% (v) - 1
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Industrial Energy Applications
Delaware Inc. N/A N/A N/A N/A N/A
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Oak Hill Pipeline L.P. (**) Energy 4/1/97 Texas 99% (ix) - 1
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Alliant South Texas Pipeline, L.P. (**)
(Also owned by Alliant Energy
Field Services, LLC) Energy 4/20/99 Texas 99% (ix) - 1
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Alliant Energy Desdemona, LP (**)
(Also owned by Alliant Energy
Field Services, LLC) Energy 2/14/00 Delaware 99% (ix) - 1
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Bastian Bay Pipeline, LP (**) (Also
owned by Alliant Energy Field
Services, LLC) Energy 8/31/00 Texas 90% (ix) - 1
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Alliant Energy Field Services, LLC N/A N/A N/A N/A N/A
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Alliant South Texas Pipeline, L.P. (**)
(Also owned by Industrial Energy
Applications Delaware Inc.) Energy 4/20/99 Texas 99% (ix) - 1
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Alliant Energy Desdemona, LP (**)
(Also owned by Industrial Energy
Applications Delaware Inc.) Energy 2/14/00 Delaware 99% (ix) - 1
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Bastian Bay Pipeline, LP (**) (Also
owned by Industrial Energy
Applications Delaware Inc.) Energy 8/31/00 Texas 90% (ix) - 1
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
NG Energy Trading, LLC (**) Energy 9/26/00 Oklahoma 50% (v) - 1
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Alliant Energy Integrated Services -
Energy Solutions LLC (**) Energy 1/1/01 Iowa 100% (i)
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Schedin & Associates, Inc. (**) Energy 6/22/82 Minnesota 100% (i)
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
SVBK Consulting Group, Inc. (**) Energy 7/2/85 Florida 100% (i)
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
3
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Alliant Energy Integrated Services -
Energy Management LLC (**) Energy 1/1/01 Iowa 100% (i)
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Enermetrix.com, Inc. (**) Energy 1/17/95 Delaware 3% (v) - 3
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Energy Performance Services, Inc. (**) Energy 12/17/93 Pennsylvania 100% (i)
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Cogenex Corporation (**) Energy 9/26/83 Massachusetts 100% (i)
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
APS Cogenex LLC (**) Energy 9/29/95 Delaware 50% (i)
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Energy Capital and Services I, LP (**) Energy 5/4/90 Massachusetts 100% (i)
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Energy Capital and Services II, LP (**) Energy 11/13/90 Massachusetts 100% (i)
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Energy Holdings Corporation (**) Energy 10/3/94 Delaware 100% (i)
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Cogenex West Corporation (**) Energy 9/26/83 Massachusetts 100% (i)
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
EUA Cogenex-Canada Inc. (**) Energy 10/11/94 Canada 100% (i)
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
EUA Cogenex-Canada Energy
Services, Inc. (**) Energy 12/16/97 Canada 100% (i)
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
AGRA Cogenex Joint Venture (**) Energy 7/8/97 Canada 50% (i)
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Northeast Energy Management, Inc. (**) Energy 1/7/94 Massachusetts 100% (i)
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Alliant Energy Investments, Inc. N/A N/A N/A N/A N/A
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Heartland Energy Services, Inc. N/A N/A N/A N/A N/A
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
ReGENco L.L.C. (**) Energy 4/19/99 Wisconsin 30% (vii) - 2
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Alliant Energy Transportation, Inc. N/A N/A N/A N/A N/A
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
Williams Bulk Transfer Inc. (**) Energy 4/27/99 Iowa 100% (ix) - 2
-------------------------------------------------------------- ------------ ---------------- -------------- ------------ ----------
N/A - Not applicable
(a) The following abbreviations were used:
-------------------- ------------------------------------------------------------------------------------------
Abbreviation Nature of Business
-------------------- ------------------------------------------------------------------------------------------
(i) Energy management services
(ii) Development and commercialization of innovative electrotechnologies
(v) - 1 Brokering and marketing of energy commodities - natural gas
(v) - 2 Brokering and marketing of energy commodities - electricity
(v) - 3 Brokering and marketing of energy commodities - natural gas and electricity
(vi) Production of alternative fuels
(vii) - 1 Environmental licensing, testing, and remediation services
(vii) - 2 Integrated turbine and generator services
(ix) - 1 Fuel transportation facilities services
(ix) - 2 Fuel handling and storage facilities services
-------------------- ------------------------------------------------------------------------------------------
4
ITEM 2 - ISSUANCES AND RENEWALS OF SECURITIES AND CAPITAL CONTRIBUTIONS:
Investment level at September 30, 2001
-------------------------------------------- ----------------------- ------------ -------------------------------------------------
Principal
Amount of
Company Type of Security
Issuing Security (in Person to
Security Issued thousands) Whom Security was Issued
-------------------------------------------- ----------------------- ------------ -------------------------------------------------
Alliant Energy Desdemona, LP Partnership capital $1,668 Industrial Energy Applications Delaware Inc.(1)
Partnership capital $1 Alliant Energy Field Services, LLC (1)
Alliant Energy Integrated Services -
Energy Management LLC Money pool borrowings $12,940 Alliant Energy Resources, Inc. (1)
Alliant Energy Integrated Services -
Energy Solutions LLC Money pool borrowings $1,428 Alliant Energy Resources, Inc. (1)
Alliant South Texas Pipeline, L.P. Partnership capital $6,140 Industrial Energy Applications Delaware Inc.(1)
Partnership capital $9 Alliant Energy Field Services, LLC (1)
Bastian Bay Pipeline, LP Partnership capital $136 Industrial Energy Applications Delaware Inc.(1)
BFC Gas Company L.C. Capital $2,600 Industrial Energy Applications, Inc. (1)
Cargill-Alliant, L.L.C. Capital $5,000 Alliant Energy Corporation (1)
Cogenex Corporation (Incl. subsidiaries) Money pool borrowings $66,472 Alliant Energy Resources, Inc. (1)
Energys, Inc. Capital $8,685 Industrial Energy Applications, Inc. (1)
Money pool borrowings $712 Alliant Energy Resources, Inc. (1)
Energy Performance Services, Inc. Money pool borrowings $18,818 Alliant Energy Resources, Inc. (1)
Enermetrix.com, Inc. Preferred stock $10,040 Alliant Energy Integrated Services - Energy
Management LLC (1)
Heartland Energy Group, Inc. Common stock $5,011 Alliant Energy Integrated Services Company (1)
Money Pool Borrowings $8,969 Alliant Energy Resources, Inc. (1)
Henwood Energy Services, Inc. Common stock $1,342 Alliant Energy Resources, Inc. (1)
Industrial Energy Applications, Inc. Common stock $21,060 Alliant Energy Integrated Services Company (1)
Money pool borrowings $28,853 Alliant Energy Resources, Inc. (1)
Lake Engineering, Inc. Capital $2,650 RMT, Inc. (1)
NG Energy Trading, LLC Capital $2,250 Heartland Energy Group, Inc. (1)
Nth Power Technologies Fund II, L.P. Partnership capital $5,000 Alliant Energy Resources, Inc. (1)
Oak Hill Pipeline L.P. Partnership capital $3,913 Industrial Energy Applications Delaware Inc.(1)
ReGENco L.L.C. Class A Units $1,083 Heartland Energy Services, Inc. (1)
Class B Units $667 Heartland Energy Services, Inc. (1)
RMT, Inc. (Incl. all subsidiaries except
Lake Engineering, Inc.) Common stock $11,822 Alliant Energy Integrated Services Company (1)
Schedin & Associates, Inc. Money pool borrowings $1,006 Alliant Energy Resources, Inc. (1)
SmartEnergy, Inc. Preferred stock $6,500 Alliant Energy Resources, Inc. (1)
Bridge Loan $11,265 Alliant Energy Resources, Inc. (1)
SVBK Consulting Group, Inc. Common stock $1 Alliant Energy Integrated Services - Energy
Solutions LLC (1)
Money pool borrowings $1,814 Alliant Energy Resources, Inc. (1)
Williams Bulk Transfer Inc. Common stock $1 Alliant Energy Transportation, Inc. (1)
Money pool borrowings $4,787 Alliant Energy Resources, Inc. (1)
-------------------------------------------- ----------------------- ------------ -------------------------------------------------
(1) Associate company.
5
ITEM 3 - ASSOCIATE TRANSACTIONS
For the Quarter Ended September 30, 2001
Part I -- Transactions performed by reporting companies on behalf of
associate companies (a):
----------------------------------------------------------------------------------------------------------------------------------
Direct Indirect Total
Reporting Associate Costs Costs Cost of Amount
Company Company Types of Charged Charged Capital Billed
Rendering Receiving Services (in (in (in (in
Services Services Rendered thousands) thousands) thousands) thousands)
----------------------------------------------------------------------------------------------------------------------------------
RMT WP&L Environmental consulting $71 $- $- $71
RMT IEA Environmental consulting 76 - - 76
RMT IESU Environmental consulting 2 - - 2
RMT Barge Environmental consulting 5 - - 5
RMT Resources Environmental consulting 95 - - 95
Williams Cargill-Alliant Coal handling 184 - - 184
----------------------------------------------------------------------------------------------------------------------------------
Part II -- Transactions performed by associate companies on behalf of
reporting companies (a):
--------------------------------------------------------------------------------------------------------------------------------
Direct Indirect Total
Associate Reporting Costs Costs Cost of Amount
Company Company Types of Charged Charged Capital Billed
Rendering Receiving Services (in (in (in (in
Services Services Rendered thousands) thousands) thousands) thousands)
--------------------------------------------------------------------------------------------------------------------------------
RMT IEA Environmental consulting $76 $- $- $76
Williams Cargill-Alliant Coal handling 184 - - 184
--------------------------------------------------------------------------------------------------------------------------------
(a) The following abbreviations were used:
----------------- ------------------------------------------- --------------- ---------------------------------------------
Abbreviation Legal Name Abbreviation Legal Name
----------------- ------------------------------------------- --------------- ---------------------------------------------
Barge IEI Barge Services, Inc. Resources Alliant Energy Resources, Inc.
Cargill-Alliant Cargill-Alliant, L.L.C. RMT RMT, Inc.
IEA Industrial Energy Applications, Inc. Williams Williams Bulk Transfer Inc.
IESU IES Utilities Inc. WP&L Wisconsin Power and Light Company
----------------- ------------------------------------------- --------------- ---------------------------------------------
6
ITEM 4 - SUMMARY OF AGGREGATE INVESTMENT
(Dollars in thousands)
Investments in energy-related companies:
---------------------------------------------------------------------------------- -------------------------- ----------
Total consolidated capitalization as of September 30, 2001 (a) $4,447,901 Line 1
---------------------------------------------------------------------------------- -------------------------- ----------
Total capitalization multiplied by 15% (Line 1 multiplied by 0.15) 667,185 Line 2
---------------------------------------------------------------------------------- -------------------------- ----------
Greater of $50 million or total capitalization multiplied by 15% (Line 2) 667,185 Line 3
---------------------------------------------------------------------------------- -------------------------- ----------
Total current aggregate investment subsequent to April 21, 1998 (categorized by
major line of energy-related business):
Energy-related business category i 114,656
Energy-related business category ii 10,000
Energy-related business category iii -
Energy-related business category iv -
Energy-related business category v 40,746
Energy-related business category vi 31
Energy-related business category vii 5,400
Energy-related business category viii -
Energy-related business category ix 12,742
Energy-related business category x -
_________________
Total current aggregate investment 183,575 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) $483,610 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, notes payable and other
short-term borrowings).
7
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 $1,342 No change.
Industrial Energy Applications, Inc. 47,133 47,133 No change.
Energy-related business category v*
Cargill-Alliant, L.L.C. $5,000 $5,000 No change.
Heartland Energy Group, Inc. 3,289 3,289 No change.
Energy-related business category vi*
BFC Gas Company L.C. $2,569 $2,569 No change.
Energy-related business category vii*
RMT, Inc. (including all $11,822 $11,822 No change.
Subsidiaries except Lake
Engineering, Inc.)
Energy-related business category ix*
Oak Hill Pipeline L.P. $4,259 $3,913 In the third quarter of 2001, Oak Hill Pipeline
L.P. made a distribution of $346 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:
Filed under confidential treatment pursuant to Rule 104 (b).
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 16th day of
November 2001.
ALLIANT ENERGY CORPORATION
--------------------------
Registrant
By: /s/ John E. Kratchmer Corporate Controller and Chief Accounting Officer
------------------------- (Principal Accounting Officer)
John E. Kratchmer
8
Exhibit A
ALLIANT ENERGY CORPORATION
222 West Washington Avenue, Madison, Wisconsin 53703
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
P.O. Box 19280
Springfield, Illinois 62794-9280
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 Corporate Controller and Chief Accounting Officer
------------------------- (Principal Accounting Officer)
John E. Kratchmer
9