SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
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In the Matter of
CERTIFICATE
AMEREN CORPORATION
OF
File No. 70-9133
NOTIFICATION
(Public Utility Holding Company
Act of 1935)
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This Certificate of Notification is filed by Ameren Corporation, a
Missouri corporation, pursuant to Rule 24. Such filing is made pursuant to
Ameren's Form U-1 Application-Declaration, as amended (the
"Application-Declaration"), and the order of the Securities and Exchange
Commission (the "Commission") dated March 13, 1998. This Certificate is filed
with respect to transactions consummated during the quarter ended September 30,
2001.
1) Ameren common stock - New Issue: None
(Other than pursuant to the plans referred to below under 2))
2) Ameren common stock - dividend reinvestment plan and employee benefit
plans: Ameren purchased 617,492 shares under its dividend reinvestment
plan, 0 shares under its Long Term Incentive Plan and 169,686 shares
under its employee benefit plans.
3) Guarantees issued
No performance guarantees.
No financial guarantees were issued during the 3rd quarter of 2001.
4) Short-term debt issued by Ameren during the 3rd quarter of 2001:
A. Commercial paper issued through J. P. Morgan Securities and/or Banc
of America Securities during the quarter, ranging from $345.0
million to $455.2 million, at an average interest rate of 3.7%.
B. Bank loans from Banca Nazionale del Lavoro and Northern Trust:
BNL - $20 million from 7/9/01 through 7/15/01 at a rate of 4.08%
BNL - $20 million from 7/16/01 through 7/22/01 at a rate of 4.10%
Northern Trust - $10 million from 7/9/01 through 7/15/01 at a rate
of 4.15%
Northern Trust - $10 million from 7/16/01 through 7/22/01 at a rate
of 4.35%
Northern Trust - $10 million from 9/12/01 at a rate of 4.00%
Maximum indebtedness at any one time: $485.2 million from 7/20/01
through 7/22/01.
5) Financings consummated by any Utility Subsidiary not exempt under
Rule 52:
Union Electric Company:
Commercial paper issued through Bank One Capital Markets, Goldman Sachs,
and/or A. G. Edwards & Sons, ranging from a low of $0 to a high of $178
million, at an average interest rate of 3.8%.
6) Financings consummated by any Nonutility Subsidiary, not exempt under
Rule 52:
None.
7) Forms U-6B-2 filed with the Commission:
Quarterly report filed on November 27, 2001 by Ameren Corporation and
various subsidiaries.
8) Balance Sheets:
The consolidated and stand-alone balance sheets of Ameren Corporation,
Central Illinois Public Service Company and Union Electric Company are
attached as Exhibit A.
9) Registration Statements:
None.
SIGNATURE
The undersigned registered holding company has duly caused
this quarterly report to be signed on its behalf by the undersigned officer
thereunto duly authorized pursuant to the requirements of the Public Utility
Holding Company Act of 1935.
Ameren Corporation
By /s/ Steven R. Sullivan
--------------------------------
Steven R. Sullivan
Vice President, General Counsel
and Secretary
November 27, 2001
Exhibit A
Page 1 of 3
AMEREN CORPORATION
CONSOLIDATED BALANCE SHEET
UNAUDITED
---------
(Thousands of Dollars, Except Shares)
September 30, December 31,
ASSETS 2001 2000
------ -------------- -------------
Property and plant, at original cost:
Electric $13,316,855 $12,684,366
Gas 527,071 509,746
Other 104,495 97,214
----------- -----------
13,948,421 13,291,326
Less accumulated depreciation and amortization 6,454,929 6,204,367
----------- -----------
7,493,492 7,086,959
Construction work in progress:
Nuclear fuel in process 87,171 117,789
Other 644,734 500,924
----------- -----------
Total property and plant, net 8,225,397 7,705,672
----------- -----------
Investments and other assets:
Investments 40,187 40,235
Nuclear decommissioning trust fund 174,478 190,625
Other 99,367 97,630
----------- -----------
Total investments and other assets 314,032 328,490
----------- -----------
Current assets:
Cash and cash equivalents 112,112 125,968
Accounts receivable - trade (less allowance for doubtful
accounts of $8,786 and $8,028, respectively) 514,105 474,425
Other accounts and notes receivable 45,081 56,529
Materials and supplies, at average cost -
Fossil fuel 155,955 107,572
Other 120,676 119,478
Other current assets 35,152 37,210
----------- -----------
Total current assets 983,081 921,182
----------- -----------
Regulatory assets:
Deferred income taxes 602,414 600,100
Other 153,012 158,986
----------- -----------
Total regulatory assets 755,426 759,086
----------- -----------
Total Assets $10,277,936 $ 9,714,430
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CAPITAL AND LIABILITIES
-----------------------
Capitalization:
Common stock, $.01 par value, 400,000,000 shares authorized -
137,539,177 shares outstanding $ 1,375 $ 1,372
Other paid-in capital, principally premium on
common stock 1,593,098 1,581,339
Retained earnings 1,772,113 1,613,960
Accumulated other comprehensive income (4,755) -
Other (5,117) -
------------ -----------
Total common stockholders' equity 3,356,714 3,196,671
Preferred stock not subject to mandatory redemption 235,197 235,197
Long-term debt 2,811,148 2,745,068
----------- -----------
Total capitalization 6,403,059 6,176,936
----------- -----------
Minority interest in consolidated subsidiaries 3,534 3,940
Current liabilities:
Current maturity of long-term debt 47,444 44,444
Short-term debt 459,091 203,260
Accounts and wages payable 287,060 462,924
Accumulated deferred income taxes 46,139 49,829
Taxes accrued 390,464 124,706
Other 256,331 300,798
----------- -----------
Total current liabilities 1,486,529 1,185,961
----------- -----------
Accumulated deferred income taxes 1,562,689 1,540,536
Accumulated deferred investment tax credits 160,101 164,120
Regulatory liability 175,573 183,541
Other deferred credits and liabilities 486,451 459,396
----------- -----------
Total Capital and Liabilities $10,277,936 $ 9,714,430
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Exhibit A
Page 2 of 3
UNION ELECTRIC COMPANY
BALANCE SHEET
UNAUDITED
---------
(Thousands of Dollars, Except Shares)
September 30, December 31,
ASSETS 2001 2000
------ -------------- -------------
Property and plant, at original cost:
Electric $ 9,672,334 $ 9,449,275
Gas 250,034 236,139
Other 37,169 37,140
----------- -----------
9,959,537 9,722,554
Less accumulated depreciation and amortization 4,747,725 4,571,292
----------- -----------
5,211,812 5,151,262
Construction work in progress:
Nuclear fuel in process 87,171 117,789
Other 292,651 111,527
----------- -----------
Total property and plant, net 5,591,634 5,380,578
----------- -----------
Investments and other assets:
Nuclear decommissioning trust fund 174,478 190,625
Other 71,948 65,811
----------- ----------
Total investments and other assets 246,426 256,436
----------- ----------
Current assets:
Cash and cash equivalents 58,336 19,960
Accounts receivable - trade (less allowance for doubtful
accounts of $7,315 and $6,251, respectively) 342,195 277,947
Other accounts and notes receivable 45,141 28,216
Intercompany notes receivable 90,860 255,570
Materials and supplies, at average cost -
Fossil fuel 76,016 52,155
Other 85,167 82,161
Other 15,266 16,757
----------- ----------
Total current assets 712,981 732,766
----------- ----------
Regulatory assets:
Deferred income taxes 602,353 599,973
Other 137,190 146,373
----------- ----------
Total regulatory assets 739,543 746,346
----------- ----------
Total Assets $ 7,290,584 $ 7,116,126
=========== ============
CAPITAL AND LIABILITIES
-----------------------
Capitalization:
Common stock, $5 par value, 150,000,000 shares authorized -
102,123,834 shares outstanding $ 510,619 $ 510,619
Other paid-in capital, principally premium on
common stock 701,896 701,896
Retained earnings 1,392,277 1,358,137
Accumulated other comprehensive income (1,428) -
----------- -----------
Total common stockholder's equity 2,603,364 2,570,652
Preferred stock not subject to mandatory redemption 155,197 155,197
Long-term debt 1,710,526 1,760,439
----------- -----------
Total capitalization 4,469,087 4,486,288
----------- -----------
Current liabilities:
Accounts and wages payable 281,043 293,511
Accumulated deferred income taxes 27,751 30,325
Taxes accrued 312,044 86,125
Other 146,518 196,127
----------- -----------
Total current liabilities 767,356 606,088
----------- -----------
Accumulated deferred income taxes 1,342,214 1,315,109
Accumulated deferred investment tax credits 130,731 132,922
Regulatory liability 140,232 148,643
Other deferred credits and liabilities 440,964 427,076
----------- -----------
Total Capital and Liabilities $ 7,290,584 $ 7,116,126
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Exhibit A
Page 3 of 3
CENTRAL ILLINOIS PUBLIC SERVICE COMPANY
BALANCE SHEET
UNAUDITED
---------
(Thousands of Dollars, Except Shares)
September 30, December 31,
ASSETS 2001 2000
------ -------------- -------------
Property and plant, at original cost:
Electric $ 1,208,590 $ 1,195,418
Gas 281,933 273,573
----------- -----------
1,490,523 1,468,991
Less accumulated depreciation and amortization 683,632 654,897
----------- -----------
806,891 814,094
Construction work in progress 10,759 6,558
----------- -----------
Total property and plant, net 817,650 820,652
----------- -----------
Investments and other assets:
Intercompany notes receivable 468,981 511,701
Intercompany tax receivable 184,004 194,975
Other assets 17,996 17,085
----------- -----------
Total investments and other assets 670,981 723,761
----------- -----------
Current assets:
Cash and cash equivalents 25,393 29,801
Accounts receivable - trade (less allowance for doubtful
accounts of $1,470 and $1,777, respectively) 133,509 160,996
Other accounts and notes receivable 41,166 25,035
Intercompany notes receivable 42,720 39,925
Intercompany tax receivable 14,927 15,809
Materials and supplies, at average cost -
Fossil fuel 36,049 22,560
Other 10,256 9,821
Other 5,707 6,240
----------- -----------
Total current assets 309,727 310,187
----------- -----------
Regulatory assets 15,328 12,541
----------- -----------
Total Assets $ 1,813,686 $ 1,867,141
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CAPITAL AND LIABILITIES
-----------------------
Capitalization:
Common stock, no par value, 45,000,000 shares authorized -
25,452,373 shares outstanding $ 120,033 $ 120,033
Retained earnings 445,453 435,211
----------- ----------
Total common stockholder's equity 565,486 555,244
Preferred stock not subject to mandatory redemption 80,000 80,000
Long-term debt 579,015 463,174
----------- ----------
Total capitalization 1,224,501 1,098,418
----------- ----------
Current liabilities:
Current maturity of long-term debt 33,000 30,000
Intercompany notes payable 29,255 223,320
Accounts and wages payable 106,973 106,739
Accumulated deferred income taxes 19,657 19,639
Taxes accrued 36,164 13,899
Other 35,886 33,448
----------- ----------
Total current liabilities 260,935 427,045
----------- ----------
Accumulated deferred income taxes 258,452 273,505
Accumulated deferred investment tax credits 12,170 12,965
Regulatory liability 35,341 34,898
Other deferred credits and liabilities 22,287 20,310
----------- ----------
Total Capital and Liabilities $ 1,813,686 $ 1,867,141
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