UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM U-9C-3
QUARTERLY REPORT
For the quarter ended September 30, 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 September 30, 2002
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, 2002)
------------------------------------------------------------- ----------- ------------ ---------------- --------------- ------------
Name of Company Energy- or Percentage of
(Organization Chart Hierarchy) Gas- Voting Nature of
(Inactive companies denoted with (*)) 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
------------------------------------------------------------- ----------- ------------ ---------------- --------------- ------------
Wisconsin Power and Light Company N/A N/A N/A N/A N/A
------------------------------------------------------------- ----------- ------------ ---------------- --------------- ------------
Dais Analytic Corporation (**) Energy 4/19/93 New York 2% (ii)
------------------------------------------------------------- ----------- ------------ ---------------- --------------- ------------
Alliant Energy Resources, Inc. N/A N/A N/A N/A N/A
------------------------------------------------------------- ----------- ------------ ---------------- --------------- ------------
ADI Thermal Power, Corp. (**) Energy 8/11/97 Washington 4% (ii)
------------------------------------------------------------- ----------- ------------ ---------------- --------------- ------------
American Superconductor Corporation (**) Energy 4/9/87 Delaware < 1% (ii)
------------------------------------------------------------- ----------- ------------ ---------------- --------------- ------------
AnAerobics, Inc. (**) (NEW) Energy 5/8/96 Delaware 5% (ix) - 3
------------------------------------------------------------- ----------- ------------ ---------------- --------------- ------------
AstroPower, Inc. (**) Energy 4/28/89 Delaware < 1% (ii)
------------------------------------------------------------- ----------- ------------ ---------------- --------------- ------------
CellTech Power, Inc. (**) Energy 5/1/00 Massachusetts 1% (ii)
------------------------------------------------------------- ----------- ------------ ---------------- --------------- ------------
Nth Power Technologies Fund II, LP (**) Energy 2/25/00 California 8% (ii)
------------------------------------------------------------- ----------- ------------ ---------------- --------------- ------------
Proton Energy Systems, Inc. (**)
(Also owned by AER Holding Company) Energy 8/16/96 Delaware < 1% (ii)
------------------------------------------------------------- ----------- ------------ ---------------- --------------- ------------
SmartEnergy, Inc. (**) Energy 11/3/00 Delaware 95% (v) - 3
------------------------------------------------------------- ----------- ------------ ---------------- --------------- ------------
STM Power, Inc. (**) (NEW) Energy 4/1/93 Michigan 4% (ii)
------------------------------------------------------------- ----------- ------------ ---------------- --------------- ------------
AER Holding Company N/A N/A N/A N/A N/A
------------------------------------------------------------- ----------- ------------ ---------------- --------------- ------------
Henwood Energy Services, Inc. (**) Energy 8/9/85 California 17% (i)
------------------------------------------------------------- ----------- ------------ ---------------- --------------- ------------
Proton Energy Systems, Inc. (**)
(Also owned by Alliant Energy Resources, Inc.) Energy 8/16/96 Delaware < 1% (ii)
------------------------------------------------------------- ----------- ------------ ---------------- --------------- ------------
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 LC (**) 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
------------------------------------------------------------- ----------- ------------ ---------------- --------------- ------------
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 LP (**) Energy 4/1/97 Texas 99% (ix) - 1
------------------------------------------------------------- ----------- ------------ ---------------- --------------- ------------
Alliant South Texas Pipeline, LP (**)
(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, LP (**)
(Also owned by Industrial Energy
Applications Delaware Inc.) Energy 4/20/99 Texas 99% (ix) - 1
------------------------------------------------------------- ----------- ------------ ---------------- --------------- ------------
3
------------------------------------------------------------- ----------- ------------ ---------------- --------------- ------------
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)
------------------------------------------------------------- ----------- ------------ ---------------- --------------- ------------
Alliant Energy Integrated Services -
Energy Management LLC (**) Energy 1/1/01 Iowa 100% (i)
------------------------------------------------------------- ----------- ------------ ---------------- --------------- ------------
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)
------------------------------------------------------------- ----------- ------------ ---------------- --------------- ------------
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 LLC (**) Energy 4/19/99 Wisconsin 30% (vii) - 2
------------------------------------------------------------- ----------- ------------ ---------------- --------------- ------------
Alliant Energy Synfuel LLC N/A N/A N/A N/A N/A
------------------------------------------------------------- ----------- ------------ ---------------- --------------- ------------
Kaufman & Broad-Nexgen LLC N/A N/A N/A N/A N/A
------------------------------------------------------------- ----------- ------------ ---------------- --------------- ------------
West Virginia Synfuel LP N/A N/A N/A N/A N/A
------------------------------------------------------------- ----------- ------------ ---------------- --------------- ------------
Alpha Synfuel LLC N/A N/A N/A N/A N/A
------------------------------------------------------------- ----------- ------------ ---------------- --------------- ------------
New River Synfuel LLC (**) Energy 10/14/99 Colorado 22% (vi)
------------------------------------------------------------- ----------- ------------ ---------------- --------------- ------------
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 electro technologies
(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
(ix) - 3 Waste water treatment
----------------- -----------------------------------------------------------------------------
4
ITEM 2 - ISSUANCES AND RENEWALS OF SECURITIES AND CAPITAL CONTRIBUTIONS:
Investment level at September 30, 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 $12,889 Alliant Energy Resources, Inc.
Alliant Energy Integrated Services -
Energy Solutions LLC Money pool borrowings $4,970 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 $2,109 Industrial Energy Applications, Inc.
CellTech Power, Inc. Series A preferred stock $252 Alliant Energy Resources, Inc.
Cogenex Corporation (Incl. subsidiaries) Money pool borrowings $72,652 Alliant Energy Resources, Inc.
Dais Analytic Corporation Common stock $90 Wisconsin Power and Light Company
Energys, Inc. Common stock $8,746 Industrial Energy Applications, Inc.
Money pool borrowings $777 Alliant Energy Resources, Inc.
Energy Performance Services, Inc. Money pool borrowings $17,158 Alliant Energy Resources, Inc.
Heartland Energy Group, Inc. Common stock $5,011 Alliant Energy Integrated Services Company
Money pool borrowings $21,096 Alliant Energy Resources, Inc.
Henwood Energy Services, Inc. Common stock $1,342 AER Holding Company
Industrial Energy Applications, Inc. Common stock $21,060 Alliant Energy Integrated Services Company
Money pool borrowings $26,646 Alliant Energy Resources, Inc.
New River Synfuel LLC Capital $4,046 Alpha Synfuel LLC
NG Energy Trading, LLC Capital $2,250 Heartland Energy Group, Inc.
Nth Power Technologies Fund II, LP Partnership capital $5,500 Alliant Energy Resources, Inc.
Oak Hill Pipeline LP Partnership capital $2,279 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 $21,795 Alliant Energy Resources, Inc.
STM Power, Inc. Preferred stock $2,500 Alliant Energy Resources, Inc
Williams Bulk Transfer Inc. Common stock $1 Alliant Energy Transportation, Inc.
Money pool borrowings $4,807 Alliant Energy Resources, Inc.
-------------------------------------------- ------------------------ -------------- -----------------------------------------------
(1) Associate companies.
5
ITEM 3 - ASSOCIATE TRANSACTIONS
For the Quarter Ended September 30, 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 $449 $- $- $449
RMT IEA Environmental consulting 35 - - 35
RMT IP&L Environmental consulting 120 - - 120
RMT Resources Environmental consulting 42 - - 42
RMT Barge Environmental consulting 3 - - 3
RMT AE Generation Environmental consulting 1 - - 1
HES WP&L Software license 22 - - 22
-------------------------------------------------------------------------------------------------------------------------------
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 $35 $- $- $35
--------------------------------------------------------------------------------------------------------------------------------
(a) The following abbreviations were used:
------------------ ------------------------------------------ -------------- ------------------------------------------
Abbreviation Legal Name Abbreviation Legal Name
------------------ ------------------------------------------ -------------- ------------------------------------------
AE Generation Alliant Energy Generation, Inc. IP&L Interstate Power and Light Company
Barge IEI Barge Services, Inc. Resources Alliant Energy Resources, Inc.
HES Henwood Energy Services, Inc. RMT RMT, Inc.
IEA Industrial Energy Applications, 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, 2002 (a) $4,982,642 Line 1
---------------------------------------------------------------------------------- -------------------------- ----------
Total capitalization multiplied by 15% (Line 1 multiplied by 0.15) 747,396 Line 2
---------------------------------------------------------------------------------- -------------------------- ----------
Greater of $50 million or total capitalization multiplied by 15% (Line 2) 747,396 Line 3
---------------------------------------------------------------------------------- -------------------------- ----------
Total current aggregate investment subsequent to April 21, 1998 (categorized by
major line of energy-related business):
Energy-related business category i 117,765
Energy-related business category ii 15,022
Energy-related business category iii -
Energy-related business category iv -
Energy-related business category v 61,864
Energy-related business category vi 12,710
Energy-related business category vii 2,850
Energy-related business category viii 240,233 (b)
Energy-related business category ix 14,527
Energy-related business category x -
--------------
Total current aggregate investment 464,971 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) $282,425 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 $128,875,000 of payments and $111,358,000 of commitments for
future payments required to purchase generation equipment that Alliant Energy
intends to use to develop one or more qualifying facilities.
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, LLC $5,000 $0 In the third quarter of 2002, Alliant Energy
Corporation sold their entire investment in
Cargill-Alliant, LLC.
Heartland Energy Group, Inc. 3,289 3,289 No change.
Energy-related business category vi*
BFC Gas Company LC $2,569 $2,109 In the third quarter of 2002, BFC Gas Company LC
made a distribution of $460 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 $2,725 $2,279 In the third quarter of 2002, Oak Hill Pipeline LP
made a distribution of $446 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 22nd day of
November 2002.
ALLIANT ENERGY CORPORATION
--------------------------
Registrant
By: /s/ John E. Kratchmer Vice President-Controller and Chief Accounting Officer
------------------------- (Principal Accounting Officer)
John E. Kratchmer
8
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
9