UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM U-9C-3
QUARTERLY REPORT
For the quarter ended September 30, 2003
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, 2003
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, 2003)
-------------------------------------------------------------- --------- -------------- --------------- --------------- -----------
Name of Company Energy- Percentage of Nature
(Organization Chart Hierarchy) or Gas- Voting 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
-------------------------------------------------------------- --------- -------------- --------------- --------------- -----------
Alliant Energy TransCo LLC N/A N/A N/A N/A N/A
-------------------------------------------------------------- --------- -------------- --------------- --------------- -----------
TRANSLink Development Company LLC (**) Energy 6/7/02 Delaware 16% (vii) - 4
-------------------------------------------------------------- --------- -------------- --------------- --------------- -----------
Distribution Vision 2010, LLC (**) Energy 10/2/01 Delaware 20% (vii) - 3
-------------------------------------------------------------- --------- -------------- --------------- --------------- -----------
Wisconsin Power and Light Company N/A N/A N/A N/A N/A
-------------------------------------------------------------- --------- -------------- --------------- --------------- -----------
Dais Analytic Corporation (**) Energy 4/19/93 New York 1% (ii)
-------------------------------------------------------------- --------- -------------- --------------- --------------- -----------
Alliant Energy Resources, Inc. N/A N/A N/A N/A N/A
-------------------------------------------------------------- --------- -------------- --------------- --------------- -----------
ADI Thermal Power Corporation (**) Energy 8/11/97 Washington 4% (ii)
-------------------------------------------------------------- --------- -------------- --------------- --------------- -----------
American Superconductor Corporation (**) Energy 4/9/87 Delaware < 1% (ii)
-------------------------------------------------------------- --------- -------------- --------------- --------------- -----------
AnAerobics, Inc. (**) Energy 5/8/96 Delaware 6% (ix) - 3
-------------------------------------------------------------- --------- -------------- --------------- --------------- -----------
AstroPower, Inc. (**) Energy 4/28/89 Delaware < 1% (ii)
-------------------------------------------------------------- --------- -------------- --------------- --------------- -----------
CellTech Power, Inc. (**) Energy 5/1/00 Delaware 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 4/15/99 Delaware 95% (v) - 2
-------------------------------------------------------------- --------- -------------- --------------- --------------- -----------
STM Power, Inc. (**) Energy 3/17/03 Delaware 8% (ii)
-------------------------------------------------------------- --------- -------------- --------------- --------------- -----------
AER Holding Company N/A N/A N/A N/A N/A
-------------------------------------------------------------- --------- -------------- --------------- --------------- -----------
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 LLC (**) 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
-------------------------------------------------------------- --------- -------------- --------------- --------------- -----------
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)
-------------------------------------------------------------- --------- -------------- --------------- --------------- -----------
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 3/9/98 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 - natural gas and electricity
(vi) Production of alternative fuels
(vii) - 1 Environmental licensing, testing, and remediation services
(vii) - 2 Integrated turbine and generator services
(vii) - 3 Distribution system research and development
(vii) - 4 Transmission system maintenance and operations
(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, 2003
------------------------------------------- --------------------------- -------------- ---------------------------------------------
Principal
Company Type of Amount of Person to
Issuing Security Security Whom Security was Issued
Security Issued (in thousands) (1)
------------------------------------------- --------------------------- -------------- ---------------------------------------------
ADI Thermal Power Corporation Common stock $200 Alliant Energy Resources, Inc.
Alliant Energy Desdemona, LP Partnership capital $1,470 Industrial Energy Applications Delaware, Inc.
Partnership capital $1 Alliant Energy Field Services, LLC
Alliant Energy Integrated Services -
Energy Management LLC Money pool borrowings $10,165 Alliant Energy Resources, Inc.
Alliant Energy Integrated Services -
Energy Solutions LLC Money pool borrowings $4,913 Alliant Energy Resources, Inc.
Alliant South Texas Pipeline, LP Partnership capital $4,541 Industrial Energy Applications Delaware, Inc.
Partnership capital $7 Alliant Energy Field Services, LLC
American Superconductor Corporation Common stock $963 Alliant Energy Resources, Inc.
AnAerobics, Inc. Series A preferred stock $2,000 Alliant Energy Resources, Inc.
AstroPower, Inc. Common stock $497 Alliant Energy Resources, Inc.
BFC Gas Company LLC Capital $1,975 Industrial Energy Applications, Inc.
CellTech Power, Inc. Series A preferred stock $252 Alliant Energy Resources, Inc.
Cogenex Corporation (Incl. subsidiaries) Money pool borrowings $78,192 Alliant Energy Resources, Inc.
Dais Analytic Corporation Common stock $90 Wisconsin Power and Light Company
Distribution Vision 2010, LLC Capital $100 Alliant Energy Corporation
Energys, Inc. Common stock $8,747 Industrial Energy Applications, Inc.
Money pool borrowings $132 Alliant Energy Resources, Inc.
Energy Performance Services, Inc. Money pool borrowings $16,935 Alliant Energy Resources, Inc.
Heartland Energy Group, Inc. Common stock $5,011 Alliant Energy Integrated Services Company
Money pool borrowings $19,392 Alliant Energy Resources, Inc.
Industrial Energy Applications, Inc. Common stock $21,060 Alliant Energy Integrated Services Company
Money pool borrowings $19,473 Alliant Energy Resources, Inc.
New River Synfuel LLC Capital $30,775 Alpha Synfuel LLC
Nth Power Technologies Fund II, LP Partnership capital $7,500 Alliant Energy Resources, Inc.
Oak Hill Pipeline LP Partnership capital $1,146 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 $1,084 Heartland Energy Services, Inc.
Class B units $833 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 $24,744 Alliant Energy Resources, Inc.
STM Power, Inc. Series A preferred stock $2,500 Alliant Energy Resources, Inc.
TRANSLink Development Company Capital $288 Alliant Energy TransCo LLC
Loan $1,575 Alliant Energy TransCo LLC
Williams Bulk Transfer Inc. Common stock $1 Alliant Energy Transportation, Inc.
Money pool borrowings $4,504 Alliant Energy Resources, Inc.
------------------------------------------- --------------------------- -------------- ---------------------------------------------
(1) Associate companies.
5
ITEM 3 - ASSOCIATE TRANSACTIONS
For the Quarter Ended September 30, 2003
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 $437 $- $- $437
RMT IEA Environmental consulting 26 - - 26
RMT IP&L Environmental consulting 545 - - 545
RMT Resources Environmental consulting 20 - - 20
RMT Barge Environmental consulting 8 - - 8
RMT AEG Environmental consulting 9 - - 9
ReGENco IP&L Integrated turbine & generator services 458 - - 458
ReGENco AEG Storage lease, handling & maintenance 120 - - 120
------------------------------------------------------------------------------------------------------------------------------------
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 $26 $- $- $26
--------------------------------------------------------------------------------------------------------------------------------
(a) The following abbreviations were used:
---------------- ------------------------------------------ --------------- ------------------------------------------
Abbreviation Legal Name Abbreviation Legal Name
---------------- ------------------------------------------ --------------- ------------------------------------------
AEG AEG Worldwide, 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
---------------- ------------------------------------------ --------------- ------------------------------------------
6
ITEM 4 - SUMMARY OF AGGREGATE INVESTMENT
(Dollars in thousands)
Investments in energy-related companies:
---------------------------------------------------------------------------------- -------------------------- ----------
Total consolidated capitalization as of September 30, 2003 (a) $5,272,748 Line 1
---------------------------------------------------------------------------------- -------------------------- ----------
Total capitalization multiplied by 15% (Line 1 multiplied by 0.15) 790,912 Line 2
---------------------------------------------------------------------------------- -------------------------- ----------
Greater of $50 million or total capitalization multiplied by 15% (Line 2) 790,912 Line 3
---------------------------------------------------------------------------------- -------------------------- ----------
Total current aggregate investment subsequent to April 21, 1998 (categorized by
major line of energy-related business):
Energy-related business category i 119,085
Energy-related business category ii 15,023
Energy-related business category iii -
Energy-related business category iv -
Energy-related business category v 60,858
Energy-related business category vi 39,607
Energy-related business category vii 4,713
Energy-related business category viii 95,698 (b)
Energy-related business category ix 12,524
Energy-related business category x -
-------------
Total current aggregate investment 347,508 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) $443,404 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 $95,698,000 of payments 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*
Industrial Energy Applications, Inc. $41,433 $40,533 In the third quarter of 2003, Industrial Energy
Applications, Inc. repaid $900 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 LLC $1,975 $1,975 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 $1,245 $1,146 In the third quarter of 2003, Oak Hill Pipeline LP
made a distribution of $99 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 20th day of
November 2003.
ALLIANT ENERGY CORPORATION
--------------------------
Registrant
By: /s/ John E. Kratchmer Vice President-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
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
-------------------------
John E. Kratchmer (Principal Accounting Officer)
9