UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM U-9C-3 QUARTERLY REPORT For the quarter ended June 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 June 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 June 30, 2002) --------------------------------------------------------------- --------- ------------ --------------- --------------- ------------- Name of Company Energy- Percentage of (Organization Chart Hierarchy) or 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 (*)(**) (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 (**) 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) --------------------------------------------------------------- --------- ------------ --------------- --------------- ------------- AstroPower, Inc. (**) Energy 4/28/89 Delaware < 1% (ii) --------------------------------------------------------------- --------- ------------ --------------- --------------- ------------- Cargill-Alliant Energy Canada, LP (*)(**) (Also owned by Cargill-Alliant Energy Canada, Inc.) Energy 1/28/02 Delaware 50% (v) - 2 --------------------------------------------------------------- --------- ------------ --------------- --------------- ------------- 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 --------------------------------------------------------------- --------- ------------ --------------- --------------- ------------- 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 --------------------------------------------------------------- --------- ------------ --------------- --------------- ------------- 3 --------------------------------------------------------------- --------- ------------ --------------- --------------- ------------- 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 --------------------------------------------------------------- --------- ------------ --------------- --------------- ------------- 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 (NEW) N/A N/A N/A N/A N/A --------------------------------------------------------------- --------- ------------ --------------- --------------- ------------- Kaufman & Broad-Nexgen LLC (NEW) N/A N/A N/A N/A N/A --------------------------------------------------------------- --------- ------------ --------------- --------------- ------------- West Virginia Synfuel LP (NEW) N/A N/A N/A N/A N/A --------------------------------------------------------------- --------- ------------ --------------- --------------- ------------- Alpha Synfuel LLC (NEW) N/A N/A N/A N/A N/A --------------------------------------------------------------- --------- ------------ --------------- --------------- ------------- New River Synfuel LLC (**) (NEW) 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 ----------------- ----------------------------------------------------------------------------- 4 ITEM 2 - ISSUANCES AND RENEWALS OF SECURITIES AND CAPITAL CONTRIBUTIONS: Investment level at June 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 $1,668 Industrial Energy Applications Delaware Inc. Partnership capital $1 Alliant Energy Field Services, LLC Alliant Energy Integrated Services - Energy Management LLC Money pool borrowings $12,471 Alliant Energy Resources, Inc. Alliant Energy Integrated Services - Energy Solutions LLC Money pool borrowings $4,679 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. AstroPower, Inc. Common stock $497 Alliant Energy Resources, Inc. BFC Gas Company LC Capital $2,584 Industrial Energy Applications, Inc. Cargill-Alliant, LLC Capital $5,000 Alliant Energy Corporation CellTech Power, Inc. Series A preferred stock $252 Alliant Energy Resources, Inc. Cogenex Corporation (Incl. subsidiaries) Money pool borrowings $73,499 Alliant Energy Resources, Inc. Dais Analytic Corporation Common stock $90 Interstate Power and Light Company Energys, Inc. Common stock $8,746 Industrial Energy Applications, Inc. Money pool borrowings $834 Alliant Energy Resources, Inc. Energy Performance Services, Inc. Money pool borrowings $17,129 Alliant Energy Resources, Inc. Heartland Energy Group, Inc. Common stock $5,011 Alliant Energy Integrated Services Company Money pool borrowings $19,378 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 $26,328 Alliant Energy Resources, Inc. New River Synfuel LLC Capital $1,990 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 $2,725 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 Schedin & Associates, Inc. Common stock $1,252 Alliant Energy Integrated Services - Energy Solutions LLC SmartEnergy, Inc. Preferred stock $15,000 Alliant Energy Resources, Inc. Bridge loan $15,517 Alliant Energy Resources, Inc. SVBK Consulting Group, Inc. Common stock $1,791 Alliant Energy Integrated Services - Energy Solutions LLC Williams Bulk Transfer Inc. Common stock $1 Alliant Energy Transportation, Inc. Money pool borrowings $4,898 Alliant Energy Resources, Inc. -------------------------------------------- ------------------------ -------------- ----------------------------------------------- (1) Associate companies. 5 ITEM 3 - ASSOCIATE TRANSACTIONS For the Quarter Ended June 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) ----------------------------------------------------------------------------------------------------------------------------------- ReGENco IP&L Integrated turbine & generator services $495 $- $- $495 RMT WP&L Environmental consulting 75 - - 75 RMT IEA Environmental consulting 55 - - 55 RMT IP&L Environmental consulting 14 - - 14 RMT CRANDIC Environmental consulting 1 - - 1 RMT Resources Environmental consulting 57 - - 57 RMT Barge Environmental consulting 12 - - 12 RMT AE Generation Environmental consulting 2 - - 2 Williams Cargill-Alliant Coal handling 199 - - 199 ----------------------------------------------------------------------------------------------------------------------------------- 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 $55 $- $- $55 Williams Cargill-Alliant Coal handling 199 - - 199 -------------------------------------------------------------------------------------------------------------------------------- (a) The following abbreviations were used: ------------------ ------------------------------------------ -------------- ------------------------------------------ Abbreviation Legal Name Abbreviation Legal Name ------------------ ------------------------------------------ -------------- ------------------------------------------ AE Generation Alliant Energy Generation, Inc. Resources Alliant Energy Resources, Inc. Barge IEI Barge Services, Inc. ReGENco ReGENco LLC 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 June 30, 2002 (a) $4,958,044 Line 1 ---------------------------------------------------------------------------------- -------------------------- ---------- Total capitalization multiplied by 15% (Line 1 multiplied by 0.15) 743,707 Line 2 ---------------------------------------------------------------------------------- -------------------------- ---------- Greater of $50 million or total capitalization multiplied by 15% (Line 2) 743,707 Line 3 ---------------------------------------------------------------------------------- -------------------------- ---------- Total current aggregate investment subsequent to April 21, 1998 (categorized by major line of energy-related business): Energy-related business category i 120,656 Energy-related business category ii 12,522 Energy-related business category iii - Energy-related business category iv - Energy-related business category v 53,867 Energy-related business category vi 6,087 Energy-related business category vii 2,750 Energy-related business category viii 235,619 (b) Energy-related business category ix 12,717 Energy-related business category x - -------------- Total current aggregate investment 444,218 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) $299,489 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 $103,306,000 of payments and $132,313,000 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 $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 $3,071 $2,725 In the second quarter of 2002, Oak Hill Pipeline LP made a distribution of $346 to Industrial Energy Applications Delaware Inc. ------------------------------------------ ----------------- ---------------- ---------------------------------------------------- * Item 5 includes aggregate investments that were invested or committed to be invested in energy-related companies, prior to the date Rule 58 was effective for Alliant Energy Corporation (April 21, 1998 - Date Alliant Energy Corporation became a registered holding company), for which there is recourse, directly or indirectly, to Alliant Energy Corporation or any subsidiary thereof. ITEM 6 - FINANCIAL STATEMENTS AND EXHIBITS List all financial statements and exhibits filed as a part of this report. A. FINANCIAL STATEMENTS: Filed under confidential treatment pursuant to Rule 104 (b). B. EXHIBITS: 1. Exhibit A - Certificate of Alliant Energy Corporation 2. Copies of contracts required by Item 3: B - 1 Integrated turbine and generator services contract between ReGENco LLC and Alliant Energy Corporate Services, Inc. dated January 25, 2002. Copies of other contracts required to be provided by Item 3 have been filed under confidential treatment pursuant to Rule 104 (b). 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 August 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