UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM U-9C-3
QUARTERLY REPORT
For the quarter ended December 31, 2001
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, 2001
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, 2001
------------------------------------------- ------------------------ ------------- -------------------------------------------------
Principal
Company Type of Amount of
Issuing Security Security Person to
Security Issued (in thousands) Whom Security was Issued
------------------------------------------- ------------------------ ------------- -------------------------------------------------
ADI Thermal Power, Corp. Common stock $125 Alliant Energy Resources, Inc. (1)
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 $13,103 Alliant Energy Resources, Inc. (1)
Alliant Energy Integrated Services -
Energy Solutions LLC Money pool borrowings $1,516 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)
American Superconductor Corporation Common stock $478 Alliant Energy Resources, Inc. (1)
AstroPower, Inc. Common stock $497 Alliant Energy Resources, Inc. (1)
BFC Gas Company L.C. Capital $2,774 Industrial Energy Applications, Inc. (1)
Cargill-Alliant, L.L.C. Capital $5,000 Alliant Energy Corporation (1)
Cogenex Corporation (Incl. subsidiaries) Money pool borrowings $68,872 Alliant Energy Resources, Inc. (1)
Energys, Inc. Capital $8,685 Industrial Energy Applications, Inc. (1)
Money pool borrowings $676 Alliant Energy Resources, Inc. (1)
Energy Performance Services, Inc. Money pool borrowings $20,136 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 $23,892 Alliant Energy Resources, Inc. (1)
Henwood Energy Services, Inc. Common stock $1,342 AER Holding Company (1)
Industrial Energy Applications, Inc. Common stock $21,060 Alliant Energy Integrated Services Company (1)
Money pool borrowings $26,532 Alliant Energy Resources, 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 $3,220 Industrial Energy Applications Delaware Inc.(1)
Proton Energy Systems, Inc. Common stock $499 Alliant Energy Resources, 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. subsidiaries) Common stock $11,822 Alliant Energy Integrated Services Company (1)
Schedin & Associates, Inc. Money pool borrowings $924 Alliant Energy Resources, Inc. (1)
SmartEnergy, Inc. Common stock $15,000 Alliant Energy Resources, Inc. (1)
Bridge loan $9,450 Alliant Energy Resources, Inc. (1)
SVBK Consulting Group, Inc. Common stock $1 Alliant Energy Integrated Services - Energy
Solutions LLC (1)
Money pool borrowings $2,180 Alliant Energy Resources, Inc. (1)
Williams Bulk Transfer Inc. Common stock $1 Alliant Energy Transportation, Inc. (1)
Money pool borrowings $4,840 Alliant Energy Resources, Inc. (1)
------------------------------------------- ------------------------ ------------- -------------------------------------------------
(1) Associate company.
3
ITEM 3 - ASSOCIATE TRANSACTIONS
For the Quarter Ended December 31, 2001
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 $224 $- $- $224
RMT IEA Environmental consulting 39 - - 39
RMT IESU Environmental consulting 48 - - 48
RMT Barge Environmental consulting 7 - - 7
RMT CRANDIC Environmental consulting 1 - - 1
RMT Resources Environmental consulting 58 - - 58
Williams Cargill-Alliant Coal handling 152 - - 152
----------------------------------------------------------------------------------------------------------------------------------
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 $39 $- $- $39
Williams Cargill-Alliant Coal handling 152 - - 152
--------------------------------------------------------------------------------------------------------------------------------
(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.
CRANDIC Cedar Rapids and Iowa City Railway Co. Williams Williams Bulk Transfer Inc.
IEA Industrial Energy Applications, Inc. WP&L Wisconsin Power and Light Company
IESU IES Utilities Inc.
----------------- ------------------------------------------- --------------- ---------------------------------------------
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ITEM 4 - SUMMARY OF AGGREGATE INVESTMENT
(Dollars in thousands)
Investments in energy-related companies:
---------------------------------------------------------------------------------- -------------------------- ----------
Total consolidated capitalization as of December 31, 2001 (a) $4,708,563 Line 1
---------------------------------------------------------------------------------- -------------------------- ----------
Total capitalization multiplied by 15% (Line 1 multiplied by 0.15) 706,284 Line 2
---------------------------------------------------------------------------------- -------------------------- ----------
Greater of $50 million or total capitalization multiplied by 15% (Line 2) 706,284 Line 3
---------------------------------------------------------------------------------- -------------------------- ----------
Total current aggregate investment subsequent to April 21, 1998 (categorized by
major line of energy-related business):
Energy-related business category i 116,553
Energy-related business category ii 11,599
Energy-related business category iii -
Energy-related business category iv -
Energy-related business category v 62,354
Energy-related business category vi 204
Energy-related business category vii 2,750
Energy-related business category viii -
Energy-related business category ix 12,659
Energy-related business category x -
_______________
Total current aggregate investment 206,119 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) $500,165 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).
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 $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 subsidiaries) $11,822 $11,822 No change.
Energy-related business category ix*
Oak Hill Pipeline L.P. $3,913 $3,220 In the fourth quarter of 2001, Oak Hill Pipeline
L.P. made a distribution of $693 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 25th day of
March 2002.
ALLIANT ENERGY CORPORATION
--------------------------
Registrant
By: /s/ John E. Kratchmer Corporate Controller and Chief Accounting Officer
-------------------------
John E. Kratchmer (Principal Accounting Officer)
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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
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
-------------------------
John E. Kratchmer (Principal Accounting Officer)
7