14
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM U-9C-3
QUARTERLY REPORT PURSUANT TO RULE 58
For the Quarterly Period Ended September 30, 2002
ENTERGY CORPORATION
(a Delaware corporation)
639 Loyola Avenue
New Orleans, Louisiana 70113
Telephone (504) 576-4000
_________________________________________________________________
_
(Name of registered holding company and address of principal
executive offices)
ITEM 1 - ORGANIZATION CHART
Name of Energy or Percentage
reporting gas Date of State of of voting
company related organization organization securities Nature of
company held business
Entergy Energy November 3, Delaware a 100% Holding
Holdings, related 1997 owned company
Inc. (EHI) business subsidiary investing in
of Entergy miscellaneou
Corporation s energy
related
companies.
Entergy Energy January 28, Delaware a 100% Production,
Thermal, related 1999 owned sale, and
LLC business subsidiary distribution
(Entergy of EHI of thermal
Thermal) energy
products.
Entergy Energy January 28, Delaware a 100% Energy
Business related 1999 owned management
Solutions, business subsidiary services.
LLC (EBS) of EHI
Entergy Energy February 25, Delaware a 100% Holding
Power related 1999 owned company
Holdings business subsidiary investing in
USA of Entergy qualifying
Corporation Corporation facilities.
(EPH)
Entergy Energy February 25, Delaware a 100% Development
Power RS, related 1999 owned and
LLC business subsidiary ownership of
(EPRS) of EPH qualifying
facilities.
TLG Energy December 30, Connecticut a 100% Provide
Services, related 1986 owned field
Inc. (TLG) business subsidiary services for
of Entergy the
Nuclear, decommission
Inc. ing of
fossil and
nuclear
plants.
Entergy Energy August 30, Texas a 99% Provide
Solutions related 2000 limited competitive
Ltd. business partner energy
(ESLTD) interest service and
held by electric
Entergy sales.
Retail
Holding
Company and
a 1%
general
partner
interest
held by
Entergy
Retail
Texas, Inc.
ITEM 1 - ORGANIZATION CHART - Continued
Name of Energy or Percentage
reporting gas related Date of State of of voting
company company organization organizat- securities Nature of
ion held business
Entergy-Koch Energy January 25, Delaware a 49.5% Energy
Trading, LP related 2001 limited marketing
(EKTLP) business partner and
interest brokering.
and a 0.5%
general
partner
interest,
in each
case
indirectly
held by
Entergy
Power
Internation
al Holding
Corp.
EWO GP LLC Energy October 30, Delaware a 100% Holding
(EWOGP) related 2000 owned company
business subsidiary investing in
of EWO energy
Marketing commodity
Holding, brokering
LLC and related
services.
EWO Energy October 30, Delaware a 99% Energy
Marketing, related 2000 limited marketing
L.P. (EWOM) business partner and
interest brokering.
held by EWO
Marketing
Holding,
LLC and a
1% general
partner
interest
held by EWO
GP LLC
Entergy Energy March 2, Texas a 99% Price-to-
Solutions related 2001 limited Beat retail
Select Ltd. business partner electric
(ESOLS) interest provider.
held by
Entergy PTB
Holding
Company and
a 1%
general
partner
interest
held by
Entergy
Select LLC
ITEM 1 - ORGANIZATION CHART - Continued
Name of Energy or Percentage
reporting gas Date of State of of voting
company related organization organization securities Nature of
company held business
Entergy Energy June 4, 2001 Texas a 99% Provider of
Solutions related limited Last Resort
Essentials business partner retail
Ltd. interest electric
(ESELE) held by provider.
Entergy PTB
Holding
Company and
a 1%
general
partner
interest
held by
Entergy
Select LLC
Entergy Energy July 16, 2001 Delaware a 100% Production,
Thermal- related owned sale, and
UNO, LLC business subsidiary distributio
(Entergy of Entergy n of
Thermal- Corporation thermal
UNO) energy
products.
Entergy Energy February 15, Delaware a 100% Holding
Nuclear related 2002 owned company for
PFS, Inc. business subsidiary investment
(ENPFS) of Entergy in Private
Nuclear, Fuel
Inc. Storage,
LLC.
Private Energy February 21, Delaware a 9.9% Development
Fuel related 2002 Class A ,
Storage LLC business member ownership,
(Private interest and
Fuel held by operation
Storage) ENPFS of a spent
nuclear
fuel
storage
facility.
Tradespark Energy - Delaware Non-voting Electronic
related securities commodity
business only marketplace
for North
America
wholesale
transaction
s in energy-
related
physical
and
financial
products.
Entergy Energy August 30, Texas a 99% Provider of
Solutions related 2000 limited wholesale
Supply Ltd. business partner energy and
(ESSLT) interest energy
(new) held be supply
Entergy acquisition
Retail services to
Holding retail
Company and electric
a 1% providers.
general
partner
interest
held by
Entergy
Retail
Texas, Inc.
EHI Activities
During the quarterly period ended September 30, 2002, EHI
acted as a holding company engaged in investment in energy
related companies consistent with Rule 58.
Entergy Thermal Activities
During the quarterly period ended September 30, 2002,
Entergy Thermal operated a district cooling and heating system in
New Orleans, Louisiana.
EBS Activities
During the quarterly period ended September 30, 2002, EBS
was inactive, but in the future intends to engage in energy
management services.
EPH Activities
During the quarterly period ended September 30, 2002, EPH
acted as a holding company with respect to Entergy's investments
in "qualifying facilities" (QFs) under the Public Utility
Regulatory Policies Act of 1978 (PURPA).
EPRS Activities
During the quarterly period ended September 30, 2002, EPRS
engaged in the development, acquisition and ownership of a 50%
interest in RS Cogen LLC. RS Cogen LLC is developing, and will
own and operate, a 425 MW cogeneration facility in Louisiana
which is a QF under PURPA.
TLG Activities
During the quarterly period ended September 30, 2002, TLG
provided cost estimates and field services for the
decommissioning of fossil and nuclear plants as well as technical
expertise related to environmental testing and remediation.
ESLTD Activities
During the quarterly period ended September 30, 2002, ESLTD
engaged in the purchasing of power on the ERCOT imbalance market
for its Texas customers.
EKTLP Activities
During the quarterly period ended September 30, 2002, EKTLP
engaged in the business of brokering and marketing of energy
commodities, including but not limited to electricity, natural or
manufactured gas, and other combustible fuels. These services
were provided to electric utilities, power marketers, electric
and municipal cooperatives, and various other customers.
EWOGP Activities
During the quarterly period ended September 30, 2002, EWOGP
acted as a holding company for investing in energy commodity
brokering and related services.
EWOM Activities
During the quarterly period ended September 30, 2002, EWOM
engaged in the business of managing the power produced by
electric generation assets of affiliates and third-party
customers as well as fulfilling the electric energy needs of
third-party customers under long-term contracts. The third-party
customers are principally electric utilities and municipal
cooperatives.
ESOLS Activities
During the quarterly period ended September 30, 2002, ESOLS
was in its formative stage and in the future intends to engage in
providing price-to-beat energy service and electric sales.
ESELE Activities
During the quarterly period ended September 30, 2002, ESELE
was in its formative stage and in the future intends to engage in
providing energy service and electric sales as the provider of
last resort.
Entergy Thermal-UNO Activities
During the quarterly period ended September 30, 2002,
Entergy Thermal-UNO was in its formative state and in the future
intends to engage in the production, sale, and distribution of
thermal energy products at the University of New Orleans.
ENPFS Activities
During the quarterly period ended September 30, 2002, ENPFS
acted as a holding company for Entergy's 12.9% member interest in
Private Fuel Storage (including a 9.9% Class A member interest
with voting rights).
Private Fuel Storage Activities
During the quarterly period ended September 30, 2002,
Private Fuel Storage continued efforts relating to obtaining a
Nuclear Regulatory Commission license for a proposed spent
nuclear fuel storage facility.
Tradespark Activities
During the quarterly period ended September 30, 2002,
Tradespark operated as an electronic commodity marketplace for
North America wholesale transactions in energy-related physical
and financial products.
ESSLT Activities
During the quarterly period ended September 30, 2002, ESSLT
provided energy supply acquisition services to retail electric
providers.
ITEM 2 - ISSUANCES AND RENEWALS OF SECURITIES AND CAPITAL
CONTRIBUTIONS
Company Type of Principal Issue Cost of Person Collater Considera-
issuing security amount of or capital to whom al given tion
security issued security renewal security with received
was security for each
issued security
None N/A N/A N/A N/A N/A N/A N/A
Company contributing capital Company receiving capital Amount of capital
contribution
Entergy Retail Holding Company ESLTD $2,227,000
Entergy Retail Holding Company ESSLT $2,920,500
Entergy Retail Texas, Inc. ESLTD $ 23,000
Entergy Retail Texas, Inc. ESSLT $ 29,500
Entergy PTB Holding Company ESOLS $2,426,000
Entergy Select LLC ESOLS $ 24,500
Entergy Nuclear, Inc. TLG $1,000,000
ENPFS Private Fuel Storage $ 40,527
ITEM 3 - ASSOCIATE TRANSACTIONS
Part I - Transactions Performed by Reporting Companies on Behalf
of Associate Companies
Reporting Associate
company company Types of Direct Indirect Total
rendering receiving services costs costs Cost of amount
services services rendered charged charged capital billed
ESSLT ESLTD Energy $64,765 $-0- N/A $64,765
supply
acquisi-
tion
services
ESSLT ESOLS Same as $1,092,878 $-0- N/A $1,092,878
above
Part II - Transactions Performed by Associate Companies on Behalf
of Reporting Companies
Associate Reporting Types of Direct Indirect Total
company company services costs costs Cost of amount
rendering receiving rendered charged charged capital billed
services services
Entergy EHI Professio- $61,150 $-0- N/A $61,150
Enterprises, nal
Inc. services
(EEI) and back
office
support
EEI Entergy Same as $241,487 $-0- N/A $241,487
Thermal above
EEI EBS Same as $169,714 $-0- N/A $169,714
above
EEI ESOLS Same as $1,150,027 $-0- N/A $1,150,027
above
EEI ESELE Same as $ 6,667 $-0- N/A $6,667
above
EEI ESLTD Same as $842,140 $-0- N/A $842,140
above
EEI EPRS Same as $537,801 $-0- N/A $537,801
above
EEI EWOM Same as $950,952 $-0- N/A $950,952
above
EEI TLG Same as $65,372 $-0- N/A $65,372
above
EEI ESSLT Same as $ 314 $-0- N/A $ 314
above
Entergy ESLTD Same as $404,962 $-0- N/A $404,962
Solutions above
Management
Services LLC
Part II - Transactions Performed by Associate Companies on Behalf
of Reporting Companies - Continued
Associate Reporting
company company Types of Direct Indirect Total
rendering receiving services costs costs Cost of amount
services services rendered charged charged capital billed
Entergy ESOLS Same as $172,548 $-0- N/A $172,548
Solutions above
Management
Services
LLC
Entergy ESOLS Same as $(1,390) $-0- N/A $(1,390)
Retail above
Texas, Inc.
Entergy TLG Same as $224,752 $-0- N/A $224,752
Nuclear above
Operations,
Inc.
Entergy TLG Same as $156,856 $-0- N/A $156,856
Nuclear, above
Inc.
Entergy EPRS Same as $ 16 $-0- N/A $ 16
Power above
Operations
U.S., Inc.
Entergy- EWOM Same as $925,000 $-0- N/A $925,000
Koch LP above
Entergy- EKTLP Same as $741,000 $-0- N/A $741,000
Koch LP above
ITEM 4 - SUMMARY OF AGGREGATE INVESTMENT
Investments in energy-related companies:
Total consolidated capitalization as of $16,962,200,000 Line 1
September 30, 2002
Total capitalization multiplied by 15% (line 2,544,330,000 Line 2
1 multiplied by 0.15)
Greater of $50 million or line 2 2,544,330,000 Line 3
Total current aggregate investment:
Energy marketing and brokering (ESLTD, EKTLP, 263,515,565
EWO, EWOM, ESOLS, ESSLT, Tradespark, and ESELE)
Energy related technical and similar services 59,872,122
(EHI, Entergy Thermal, Entergy Thermal - UNO,
EBS, and TLG)
Development and ownership of QFs (EPH and EPRS) 30,207,000
Ownership, operation, and servicing of fuel 740,366
procurement, transportation, handling, and
storage facilities (ENPFS and Private Fuel
Storage) ---------------
Total current aggregate investment* 354,335,053 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) $2,189,994,947 Line 5
===============
ITEM 5 - OTHER INVESTMENTS
Major line of Other Other Reason for
energy-related investment in investment in difference in
business last U-9C-3 this U-9C-3 other
report report investment
N/A -0- -0- N/A
ITEM 6 - FINANCIAL STATEMENTS AND EXHIBITS
A. Financial Statements
Filed under confidential treatment pursuant to Rule 104(b).
B. Exhibits
1. Certificate of filing of Form U-9C-3 for the 2nd Quarter of
2002 with interested state commissions and municipal regulator.
SIGNATURE
Pursuant to the requirements of the Public Utility Holding
Company Act of 1935, the registrant has duly caused this report
to be signed on its behalf by the undersigned hereunto duly
authorized.
Entergy Corporation
By: /s/ Nathan E. Langston
Nathan E. Langston
Senior Vice President and
Chief Accounting Officer
Dated: November 25, 2002