As filed with the Securities and Exchange Commission on June 14, 2002
File No. 70-09961
United States Securities and Exchange Commission
Washington, D.C. 20549
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Amendment No. 4
to
Form U-1
Application/Declaration
Under the
Public Utility Holding Company Act of 1935
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E.ON AG Powergen plc
E.ON-Platz 1 Powergen US Holdings Limited
40479 Dusseldorf Powergen US Investments
Germany Powergen Luxembourg sarl
Powergen Luxembourg Holdings sarl
Powergen Luxembourg Investments sarl
Powergen US Investments Corp.
City Point
1 Ropemaker Street
London EC2Y 9HT
United Kingdom
(Names of companies filing this statement
and addresses of principal executive offices)
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E.ON AG
(Name of top registered holding company)
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Ulrich Hueppe David Jackson
General Counsel, Executive Vice President Company Secretary and General Counsel
Dr. Guntram Wuerzberg Powergen plc
Vice President General Legal Affairs City Point
E.ON AG 1 Ropemaker Street
E.ON-Platz 1 London EC2Y 9HT
40479 Dusseldorf United Kingdom
Germany Telephone: 011-44-207-826-2742
Telephone: 011-49-211-4579-388 Facsimile: 011-44-207-826-2889
Facsimile: 011-49-211-4579-610
(Names and addresses of agents for service)
The Commission is also requested to
send copies of any communication in
connection with this matter to:
Tia S. Barancik Peter D. Clarke
LeBoeuf, Lamb, Greene & MacRae, L.L.P. Debra J. Schnebel
125 West 55th Street Jones, Day, Reavis & Pogue
New York, NY 10019-5389 77 West Wacker Drive, Ste. 3500
Telephone: (212) 424-8455 Chicago, IL 60601-1692
Facsimile: (212) 424-8500 Telephone: (312) 782-3939
Facsimile: (312) 782-8585
Markian M. W. Melnyk
LeBoeuf, Lamb, Greene & MacRae, L.L.P. Joseph B. Frumkin
1875 Connecticut Ave., N.W. Sullivan & Cromwell
Washington, D.C. 20009-5728 125 Broad Street
Telephone: (202) 986-8212 New York, NY 10004
Facsimile: (202) 986-8102 Telephone: (212)-558-4000
Facsimile: (212) 558-3588
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FORM U-1
APPLICATION/DECLARATION
UNDER THE PUBLIC UTILITY HOLDING COMPANY ACT OF 1935
This pre-effective Amendment No. 4 revises the Form U-1 Application -
Declaration (the "Application") in this proceeding originally filed in File No.
70-9961 on September 4, 2001, and subsequently amended by Amendment No. 1, filed
on October 23, 2001, Amendment No. 2, filed on December 21, 2001, and Amendment
No. 3, filed on June 11, 2002.
Applicants amend the Application by adding the following paragraphs
to the end of Item 3.M.
"Applicants shall file a report with the Commission within two
business days in Germany after the occurrence of any of the following:
(1) A 10% or greater decline in common stock equity for U.S. GAAP purposes
since the end of the last semi-annual reporting period for E.ON, Powergen, LG&E
Energy or either of the Utility Subsidiaries or the capitalization of any of
those companies falls below 30% common stock equity;
(2) E.ON or either of the Utility Subsidiaries defaults on any debt
obligation in principal amount equal to or in excess of $10 million and such
default permits the holder of such debt obligation to demand payment;
(3) Any event described in Rule 53(b) under the Act;
(4) A nationally recognized statistical rating organization has downgraded
the senior debt ratings of E.ON or either of the Utility Subsidiaries by one
full rating level (e.g., from A to BBB); or
(5) Any event that would have a material adverse effect on the ability of
E.ON or any of its subsidiaries to comply with any condition or requirement in
this Order on an ongoing basis.
The report shall describe all material circumstances giving rise to
the event."
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SIGNATURES
Pursuant to the requirements of the Public Utility Holding Company Act
of 1935, the Applicants have duly caused this Application-Declaration to be
signed on their behalf by the undersigned thereunto duly authorized. The
signature of the Applicants and of the persons on their behalf are restricted to
the information contained in this application which is pertinent to the
application of the respective companies.
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Date: June 14, 2002 E.ON AG
By: /s/ Dr. Rolf Pohlig
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Name: Dr. Rolf Pohlig
Title: Executive Vice President
By: /s/ Dr. Guntram Wuerzberg
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Name: Dr. Guntram Wuerzberg
Title: Vice President General Legal Affairs
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Date: June 14, 2002 Powergen plc
Powergen US Holdings Limited
Powergen US Investments
Powergen Luxembourg sarl
Powergen Luxembourg Holdings sarl
Powergen Luxembourg Investments sarl
Powergen US Investments Corp.
By: /s/ David Jackson
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Name: David Jackson
Title: Company Secretary and General Counsel
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