UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM U-9C-3
QUARTERLY REPORT
For the quarter ended March 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 March 31, 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 March 31, 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
-------------------------------------------------------------- ----------- -------------- ---------------- ------------- ----------
Cargill-Alliant, LLC (**) Energy 10/29/97 Wisconsin 50% (v) - 2
-------------------------------------------------------------- ----------- -------------- ---------------- ------------- ----------
Cargill-Alliant Energy Canada, Inc. N/A N/A N/A N/A N/A
-------------------------------------------------------------- ----------- -------------- ---------------- ------------- ----------
Cargill-Alliant Energy Canada, LP (*)(**)(NEW)
(Also owned by Alliant Energy
Resources, Inc) Energy 1/28/02 Delaware 50% (v) - 2
-------------------------------------------------------------- ----------- -------------- ---------------- ------------- ----------
Interstate Power and Light Company N/A N/A N/A N/A N/A
-------------------------------------------------------------- ----------- -------------- ---------------- ------------- ----------
Dais Analytic Corporation (**) (NEW) 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. (**) (NEW) Energy 8/11/97 Washington 4% (ii)
-------------------------------------------------------------- ----------- -------------- ---------------- ------------- ----------
American Superconductor Corporation (**) (NEW) Energy 4/9/87 Delaware < 1% (ii)
-------------------------------------------------------------- ----------- -------------- ---------------- ------------- ----------
AstroPower, Inc. (**) (NEW) Energy 4/28/89 Delaware < 1% (ii)
-------------------------------------------------------------- ----------- -------------- ---------------- ------------- ----------
Cargill-Alliant Energy Canada, LP (*)(**) (NEW)
(Also owned by Cargill-Alliant Energy
Canada, Inc.) Energy 1/28/02 Delaware 50% (v) - 2
-------------------------------------------------------------- ----------- -------------- ---------------- ------------- ----------
CellTech Power, Inc. (**) (NEW) Energy 5/1/00 Massachusetts 1% (ii)
-------------------------------------------------------------- ----------- -------------- ---------------- ------------- ----------
Nth Power Technologies Fund II, LP (**) Energy 2/25/00 California 8% (ii)
-------------------------------------------------------------- ----------- -------------- ---------------- ------------- ----------
Proton Energy Systems, Inc. (**) (NEW) Energy 8/16/96 Delaware < 1% (ii)
-------------------------------------------------------------- ----------- -------------- ---------------- ------------- ----------
SmartEnergy, Inc. (**) Energy 11/3/00 Delaware 95% (v) - 3
-------------------------------------------------------------- ----------- -------------- ---------------- ------------- ----------
AER Holding Company N/A N/A N/A N/A N/A
-------------------------------------------------------------- ----------- -------------- ---------------- ------------- ----------
Henwood Energy Services, Inc. (**) Energy 8/9/85 California 17% (i)
-------------------------------------------------------------- ----------- -------------- ---------------- ------------- ----------
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
-------------------------------------------------------------- ----------- -------------- ---------------- ------------- ----------
3
-------------------------------------------------------------- ----------- ------------- ----------------- ------------ ----------
Alliant South Texas Pipeline, LP (**)
(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)
------------------------------------------------------------- ----------- ------------- ----------------- ------------- -----------
Alliant Energy Integrated Services -
Energy Management LLC (**) Energy 1/1/01 Iowa 100% (i)
------------------------------------------------------------- ----------- ------------- ----------------- ------------- -----------
Enermetrix, Inc. (**) Energy 1/17/95 Delaware 4% (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)
------------------------------------------------------------- ----------- ------------- ----------------- ------------- -----------
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 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
----------------- -----------------------------------------------------------------------------
4
ITEM 2 - ISSUANCES AND RENEWALS OF SECURITIES AND CAPITAL CONTRIBUTIONS:
Investment level at March 31, 2002
----------------------------------------- ------------------------ -------------- -------------------------------------------------
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 $200 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 $13,664 Alliant Energy Resources, Inc. (1)
Alliant Energy Integrated Services -
Energy Solutions LLC Money pool borrowings $1,548 Alliant Energy Resources, Inc. (1)
Alliant South Texas Pipeline, LP Partnership capital $6,140 Industrial Energy Applications Delaware Inc.(1)
Partnership capital $9 Alliant Energy Field Services, LLC (1)
American Superconductor Corporation Common stock $963 Alliant Energy Resources, Inc. (1)
AstroPower, Inc. Common stock $497 Alliant Energy Resources, Inc. (1)
BFC Gas Company LC Capital $2,774 Industrial Energy Applications, Inc. (1)
Cargill-Alliant, LLC Capital $5,000 Alliant Energy Corporation (1)
CellTech Power, Inc. Series A preferred stock $252 Alliant Energy Resources, Inc. (1)
Cogenex Corporation (Incl. subsidiaries) Money pool borrowings $72,762 Alliant Energy Resources, Inc. (1)
Dais Analytic Corporation Common stock $90 Interstate Power and Light Company (1)
Energys, Inc. Capital $8,685 Industrial Energy Applications, Inc. (1)
Money pool borrowings $782 Alliant Energy Resources, Inc. (1)
Energy Performance Services, Inc. Money pool borrowings $18,041 Alliant Energy Resources, Inc. (1)
Enermetrix, 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 $17,069 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 $27,258 Alliant Energy Resources, Inc. (1)
NG Energy Trading, LLC Capital $2,250 Heartland Energy Group, Inc. (1)
Nth Power Technologies Fund II, LP Partnership capital $5,000 Alliant Energy Resources, Inc. (1)
Oak Hill Pipeline LP Partnership capital $3,071 Industrial Energy Applications Delaware Inc.(1)
Proton Energy Systems, Inc. Common stock $499 Alliant Energy Resources, Inc. (1)
ReGENco LLC 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 $1,202 Alliant Energy Resources, Inc. (1)
SmartEnergy, Inc. Preferred stock $15,000 Alliant Energy Resources, Inc. (1)
Bridge loan $12,504 Alliant Energy Resources, Inc. (1)
SVBK Consulting Group, Inc. Common stock $1 Alliant Energy Integrated Services - Energy
Solutions LLC (1)
Money pool borrowings $1,763 Alliant Energy Resources, Inc. (1)
Williams Bulk Transfer Inc. Common stock $1 Alliant Energy Transportation, Inc. (1)
Money pool borrowings $4,884 Alliant Energy Resources, Inc. (1)
----------------------------------------- ------------------------ -------------- -------------------------------------------------
(1) Associate company.
5
ITEM 3 - ASSOCIATE TRANSACTIONS
For the Quarter Ended March 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 $85 $- $- $85
RMT IEA Environmental consulting 40 - - 40
RMT IP&L Environmental consulting 24 - - 24
RMT CRANDIC Environmental consulting 3 - - 3
RMT Resources Environmental consulting 65 - - 65
RMT Barge Environmental consulting 16 - - 16
Williams Cargill-Alliant Coal handling 187 - - 187
------------------------------------------------------------------------------------------------------------------------------------
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 $40 $- $- $40
Williams Cargill-Alliant Coal handling 187 - - 187
------------------------------------------------------------------------------------------------------------------------------------
(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, LLC RMT RMT, Inc.
CRANDIC Cedar Rapids and Iowa City Railway Williams Williams Bulk Transfer Inc.
IEA Industrial Energy Applications, Inc. WP&L Wisconsin Power and Light Company
IP&L Interstate Power and Light Company
----------------- ------------------------------------------- --------------- ---------------------------------------------
6
ITEM 4 - SUMMARY OF AGGREGATE INVESTMENT
(Dollars in thousands)
Investments in energy-related companies:
---------------------------------------------------------------------------------- -------------------------- ----------
Total consolidated capitalization as of March 31, 2002 (a) $4,868,544 Line 1
---------------------------------------------------------------------------------- -------------------------- ----------
Total capitalization multiplied by 15% (Line 1 multiplied by 0.15) 730,282 Line 2
---------------------------------------------------------------------------------- -------------------------- ----------
Greater of $50 million or total capitalization multiplied by 15% (Line 2) 730,282 Line 3
---------------------------------------------------------------------------------- -------------------------- ----------
Total current aggregate investment subsequent to April 21, 1998 (categorized by
major line of energy-related business):
Energy-related business category i 119,634
Energy-related business category ii 12,501
Energy-related business category iii -
Energy-related business category iv -
Energy-related business category v 58,585
Energy-related business category vi 204
Energy-related business category vii 2,750
Energy-related business category viii -
Energy-related business category ix 12,703
Energy-related business category x -
----------------
Total current aggregate investment 206,377 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) $523,905 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).
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 $5,000 No change.
Heartland Energy Group, Inc. 3,289 3,289 No change.
Energy-related business category vi*
BFC Gas Company LC $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 LP $3,220 $3,071 In the first quarter of 2002, Oak Hill Pipeline LP
made a distribution of $149 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 28th day of
May 2002.
ALLIANT ENERGY CORPORATION
--------------------------
Registrant
By: /s/ John E. Kratchmer Corporate Controller and Chief Accounting Officer
-------------------------
John E. Kratchmer (Principal Accounting Officer)
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
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)
9