2001/2002
File No. 69-78
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
FORM U-3A-2
STATEMENT BY HOLDING COMPANY CLAIMING EXEMPTION UNDER
RULE U-3A-2 FROM THE PROVISIONS OF THE PUBLIC UTILITY
HOLDING COMPANY ACT OF 1935
TO BE FILED ANNUALLY PRIOR TO MARCH 1
ALLETE, INC. (FORMERLY MINNESOTA POWER, INC.)
(NAME OF COMPANY)
hereby files with the Securities and Exchange Commission pursuant to Rule 2, its
statement claiming exemption as a holding company from the provisions of the
Public Utility Holding Company Act of 1935, and submits the following
information:
1. Name, State of organization, location and nature of business of claimant
and every subsidiary thereof, other than any exempt wholesale generator
(EWG) or foreign utility company in which claimant directly or indirectly
holds an interest.
STATE / PROVINCE
NAME OF ORGANIZATION LOCATION NATURE OF BUSINESS
--------------------------------------------------------------------------------------------------------------------------
ALLETE, Inc. Minnesota Duluth, MN Energy and Automotive
Services
Superior Water, Light and Power Wisconsin Superior, WI Electric, Gas and Water
Company Utility
Energy Land, Incorporated Wisconsin Duluth, MN Inactive
MP Investments, Inc. Delaware Duluth, MN Investments
RendField Land Company, Inc. Minnesota Duluth, MN Land Holding
Lakeview Financial Corporation I Minnesota Duluth, MN Financial Services
Lakeview Financial Corporation II Minnesota Duluth, MN Inactive
ALLETE Capital I Delaware Duluth, MN Trust
ALLETE Capital II Delaware Duluth, MN Trust
ALLETE Capital III Delaware Duluth, MN Trust
PCUC Acquisition Sub, Inc. Minnesota Duluth, MN Dissolved June 2001
Split Rock Energy LLC Minnesota Elk River, MN Power Marketing and
Trading
Minnesota Power Enterprises, Inc. Minnesota Duluth, MN Product and Marketing
Coordination
BNI Coal, Ltd. North Dakota Bismarck, ND Coal Mining
Itasca Railroad Company Minnesota Duluth, MN Inactive
MP Affiliate Resources, Inc. Minnesota Duluth, MN Administrative Operations
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STATE / PROVINCE
NAME OF ORGANIZATION LOCATION NATURE OF BUSINESS
--------------------------------------------------------------------------------------------------------------------------
Minnesota Power Telecom, Inc. Minnesota Duluth, MN Telecommunications
Enventis, Inc. Minnesota Duluth, MN Telecommunications
Rainy River Energy Corporation Minnesota Duluth, MN Power Marketing
Rainy River Energy Corporation - Taconite Harbor Minnesota Duluth, MN Generation/Power Marketing
Rainy River Energy Corporation - Wisconsin
Wisconsin Superior, WI Generation/Power Marketing
Rapids Power LLC Minnesota Grand Rapids, MN Co-Generation
Synertec, Incorporated Minnesota Duluth, MN Contract Services
Upper Minnesota Properties, Inc. Minnesota Duluth, MN Affordable Housing Projects
and Economic Development
Upper Minnesota Properties-Meadowlands, Minnesota Duluth, MN Affordable Housing Project
Inc.
Upper Minnesota Properties-Irving, Inc. Minnesota Duluth, MN Affordable Housing Project
Upper Minnesota Properties-Development, Minnesota Duluth, MN Economic Development
Inc.
Minnesota Power Services Group, Inc. Minnesota Duluth, MN Product Development
Electric Outlet, Inc. Minnesota Duluth, MN Retailer
ALLETE Water Services, Inc. Minnesota Orlando, FL Water and Wastewater
Heater Utilities, Inc. South Carolina Cary, NC Water and Wastewater
Treatment Utility
LaGrange Waterworks Corporation North Carolina Fayetteville, NC Water Utility
Brookwood Water Corporation North Carolina Fayetteville, NC Water Utility
Florida Water Services Corporation Florida Orlando, FL Water and Wastewater
Treatment Utility
Florida Gas Services Corporation Florida Orlando, FL Inactive
U.S. Maintenance and Management Florida Orlando, FL Inactive
Services Corporation
Vibration Correction Services, Inc. Minnesota Duluth, MN Inactive
Americas' Water Services Corporation Florida Chicago, IL Contract Operations
Services
Florida Water Consumer Products Corporation Florida Orlando, FL Inactive
Instrumentation Services, Inc. Florida Orlando, FL Predictive Maintenance
Services
Georgia Water Services Corporation Georgia Atlanta, GA Wastewater Treatment
Utility
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STATE / PROVINCE
NAME OF ORGANIZATION LOCATION NATURE OF BUSINESS
--------------------------------------------------------------------------------------------------------------------------
Tennessee Water Services, Inc. Tennessee Nashville, TN Inactive
ALLETE Properties, Inc. Minnesota Lehigh Acres, FL Real Estate
ADESA San Diego, LLC California Los Angeles, CA Real Estate
Cape Coral Holdings, Inc. Florida Cape Coral, FL Subdivider, Developer
Cape Properties, Inc. Florida Cape Coral, FL Inactive
Marina Resources, Inc. Florida Cape Coral, FL Sold June 2001
Palm Coast Forest, LLC Florida Palm Coast, FL Real Estate
Palm Coast Land, LLC Florida Palm Coast, FL Real Estate
Winter Haven Citi Centre, LLC Florida Lehigh Acres, FL Real Estate
Lehigh Acquisition Corporation Delaware Lehigh Acres, FL Real Estate
Interlachen Lakes Estates, Inc. Florida Interlachen, FL Real Estate
Sundowner Properties, Inc. Pennsylvania Williston, FL Real Estate
SRC of Florida, Inc. Florida Lehigh Acres, FL Real Estate
Florida Landmark Communities, Inc. Florida Lehigh Acres, FL Subdivider, Developer
Lehigh Corporation Florida Lehigh Acres, FL Inactive
Lehigh Land & Investment, Inc. Florida Lehigh Acres, FL Inactive
Cliffside Properties, Inc. California Lehigh Acres, FL Inactive
Palm Coast Holdings, Inc. Florida Palm Coast, FL Inactive
Sugarmill Woods Communities, Inc. Florida Homosassa, FL Inactive
Enterprise Lehigh, Inc. Florida Lehigh Acres, FL Real Estate
ALLETE Automotive Services, Inc. Minnesota Duluth, MN Automotive Services
AutoVIN, Inc. Indiana Roswell, GA Field Information Services
ADESA Corporation Indiana Indianapolis, IN Vehicle Redistribution -
Corporate Operation
ADESA Arkansas, Inc. Arkansas N. Little Rock, AR Vehicle Auction
ADESA Ark-La-Tex, Inc. Louisiana Shreveport, LA Vehicle Auction
ADESA Ark-La-Tex, LLC Louisiana Shreveport, LA Vehicle Auction
ADESA Birmingham, Inc. Alabama Moody, AL Vehicle Auction
ADESA California, Inc. California Sacramento, CA Vehicle Auction
ADESA Charlotte, Inc. North Carolina Charlotte, NC Vehicle Auction
ADESA Colorado, Inc. Colorado Fountain, CO Vehicle Auction
ADESA Des Moines, Inc. Iowa Des Moines, IA Vehicle Auction
ADESA Houston, Inc. Texas Houston, TX Vehicle Auction
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STATE / PROVINCE
NAME OF ORGANIZATION LOCATION NATURE OF BUSINESS
--------------------------------------------------------------------------------------------------------------------------
ADESA Illinois, Inc. Illinois Indianapolis, IN Dissolved February 2001
ADESA Importation Services, Inc. Michigan Flint, MI Registered Importer
ADESA Lansing, Inc. Michigan Dimondale, MI Vehicle Auction
ADESA Lexington, Inc. Kentucky Lexington, KY Vehicle Auction
ADESA Missouri, Inc. Missouri Barnhart, MO Vehicle Auction
ADESA New York, Inc. New York Akron, NY Vehicle Auction
ADESA Ohio, Inc. Ohio Franklin, OH Vehicle Auction
ADESA Oklahoma, Inc. Oklahoma Tulsa, OK Vehicle Auction
ADESA Pennsylvania, Inc. Pennsylvania Mercer, PA Vehicle Auction
ADESA San Antonio, Inc. Texas San Antonio, TX Vehicle Auction
ADESA Southern Indiana, Inc. Indiana Columbus, IN Vehicle Auction
ADESA Texas, Inc. Texas Austin, TX Vehicle Auction
ADESA Washington, Inc. Washington Auburn, WA Vehicle Auction
ADESA Wisconsin, Inc. Wisconsin Portage, WI Vehicle Auction
Auto Dealers Exchange of Concord, Inc. Massachusetts Framingham, MA Vehicle Auction
Auto Dealers Exchange of Memphis, Inc. Tennessee Memphis, TN Vehicle Auction
A.D.E. of Knoxville, Inc. Tennessee Lenoir City, TN Vehicle Auction
A & H, LLC Delaware Ocala, FL Vehicle Auction
Auto Banc Corporation New Jersey Manville, NJ Wholesale Vehicle
Redistributor
ADESA New Jersey, Inc. New Jersey Manville, NJ Vehicle Auction
ADESA Atlanta, LLC New Jersey Newnan, GA Vehicle Auction
ADESA Phoenix, LLC New Jersey Chandler, AZ Vehicle Auction
ADESA Florida, Inc. Florida Jacksonville, FL Vehicle Auction
ADESA South Florida, LLC Indiana Opa-Locka, FL Vehicle Recovery Services
Auctions
ADESA Indianapolis, Inc. Indiana Plainfield, IN Vehicle Auction
Great Rigs Incorporated Indiana Moody, AL Vehicle Transport
Automotive Finance Corporation Indiana Indianapolis, IN Financial Services
AFC AIM Corporation Indiana Indianapolis, IN Financial Services
AFC Funding Corporation Indiana Indianapolis, IN Financial Services
Automotive Floorplan Corporation Indiana Indianapolis, IN Financial Services
IRT Receivables Corp. Indiana Indianapolis, IN Financial Services
RAP Co., Inc. Indiana Indianapolis, IN Financial Services
-4-
STATE / PROVINCE
NAME OF ORGANIZATION LOCATION NATURE OF BUSINESS
--------------------------------------------------------------------------------------------------------------------------
Automotive Finance Canada Inc. Ontario Ottawa, ON Financial Services
ComSearch, Inc. Rhode Island E. Providence, RI Vehicle Recovery Services
Auctions
Automotive Recovery Services, Inc. Indiana E. Providence, RI Vehicle Recovery Services
Auctions
ADESA Properties, Inc. Delaware Wilmington, DE Financial Services
ADESA Properties Canada Inc. Delaware Wilmington, DE Financial Services
ADESA Automotive Services Corporation Nova Scotia Toronto, ON Dissolved August 2001
PAR, Inc. Indiana Indianapolis, IN Vehicle Remarketing
EndTrust Lease End Services, LLC Texas Hurst, TX Vehicle Remarketing
ADESA Finance Canada Inc. Nova Scotia Halifax, NS Financial Services
ADESA Canada Inc. Quebec Montreal, QC Holding Company
Bytown Car Carriers Inc. Ontario Ottawa, ON Inactive
Intercity Express Automobile Carriers Inc. Ontario Ottawa, ON Vehicle Transportation
Suburban Auto Parts Inc. Ontario Stouffville, ON Vehicle Recovery Services
Auctions
ADESA Auctions Canada Corporation Nova Scotia Halifax, NS Vehicle Auctions
ADESA Remarketing Services Inc. Ontario Mississauga, ON Vehicle Remarketing
ADESA Montreal Inc. Quebec St. Eustache, QC Dissolved August 2001
Impact Auto Auctions Ltd. Ontario St. Eustache, QC Vehicle Recovery Services
Auctions
Sudbury Auto Auction Ltd. Ontario Sudbury, ON Vehicle Recovery Services
Auctions
ADESA Auctions Montreal Corporation Nova Scotia Halifax, NS Inactive
CAAG Transport Ltd. British Columbia Vancouver, BC Vehicle Transport
504811 NB Ltd. New Brunswick St. John's, NF Holds Auto Dealer License
79378 Manitoba Inc. Manitoba Winnipeg, MB Holds Auto Dealer License
ADESA Automotive Services LP Ontario Mississauga, ON Management Company
3048540 Nova Scotia Company Nova Scotia Halifax, NS General Partner
3048538 Nova Scotia Company Nova Scotia Halifax, NS General Partner
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FOOTNOTES
-----------------------------------
Effective May 8, 2001 Minnesota Power, Inc. was renamed ALLETE, Inc.
ALLETE, Inc. has a 50 percent equity ownership in Split Rock Energy LLC.
Subsidiary of ALLETE, Inc.
Owns 100 percent of Lakeview Financial Partners LP.
Formed effective March 13, 2001.
Subsidiary of Minnesota Power Enterprises, Inc.
Formed effective February 6, 2001.
Subsidiary of Minnesota Power Telecom, Inc.
Incorporated effective February 19, 1999, E Acquisition Company.
Effective July 31, 2001, Enventis, Inc. was merged with E Acquisition
Company, and Enventis, Inc. survived.
Effective June 21, 2001 Rainy River Energy Corporation is a 71.5 percent
partner in Rapids Power LLC.
Subsidiary of Rainy River Energy Corporation.
Incorporated effective September 27, 2001.
Incorporated effective May 15, 2001.
Synertec, Incorporated has a 33.33 percent equity ownership in NaturTek
LLC.
Subsidiary of Upper Minnesota Properties, Inc.
Upper Minnesota Properties-Meadowlands, Inc. is a 99.5 percent partner
in Meadowlands Affordable Housing Limited Partnership.
Subsidiary of ALLETE Water Services, Inc.
Heater Utilities, Inc. is, at the request of the North Carolina
Utilities Commission, the emergency operator of Mobile Hills Estates and
Pine Country Estates. Both are small water utilities in North Carolina.
Subsidiary of Heater Utilities, Inc.
ALLETE Properties, Inc. owns 80 percent of Lehigh Acquisition
Corporation.
Subsidiary of ALLETE Properties, Inc.
Incorporated effective October 3, 2001.
Incorporated effective October 15, 2001.
Incorporated effective August 27, 2001.
Subsidiary of Lehigh Acquisition Corporation.
Subsidiary of Florida Landmark Communities, Inc.
Subsidiary of ALLETE Automotive Services, Inc.
ADESA Corporation owns 95 percent of Great Rigs Incorporated, 80 percent
of ADESA Southern Indiana, Inc. and 51 percent of A&H, LLC.
Subsidiary of ADESA Corporation.
ADESA Ark-La-Tex, Inc. owns 100 percent of ADESA Ark-La-Tex, LLC which
is the auction business in Shreveport, LA.
Incorporated effective March 9, 2001.
Subsidiary of ADESA New Jersey, Inc.
Subsidiary of ADESA Florida, Inc.
ADESA Indianapolis, Inc. owns 5 percent of Great Rigs Incorporated.
Subsidiary of Automotive Finance Corporation.
Incorporated effective November 14, 2001.
Subsidiary of ADESA Properties, Inc.
Incorporated effective April 21, 2001.
PAR, Inc. owns 40 percent of EndTrust Lease End Services, LLC.
Subsidiary of PAR, Inc.
ADESA Finance Canada Inc. owns 33 percent of ADESA Canada Inc.
ADESA Automotive Services LP owns 67 percent of ADESA Canada Inc.
Subsidiary of ADESA Canada Inc.
Effective June 1, 2001 Bytown Car Carriers Inc. purchased 44 percent of
Intercity Express Automobile Carriers Inc.
Subsidiary of Impact Auto Auctions Ltd.
Subsidiary of ADESA Auctions Canada Corporation.
Impact Auto Auctions Ltd. owns 50 percent of Sudbury Auto Auction Ltd.
Incorporated effective December 10, 2001.
3048540 Nova Scotia Company and 3048538 Nova Scotia Company own 99
percent and 1 percent, respectively, of ADESA Automotive Services LP.
Effective July 23, 2001, 3048538 Nova Scotia Company was transferred
from ADESA Corporation to ADESA Properties Canada Inc.
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2. A brief description of the properties of claimant and each of its
subsidiary public utility companies used for the generation, transmission,
and distribution of electric energy for sale, or for the production,
transmission, and distribution of natural or manufactured gas, indicating
the location of principal generating plants, transmission lines, producing
fields, gas manufacturing plants, and electric and gas distribution
facilities, including all such properties which are outside the State in
which claimant and its subsidiaries are organized and all transmission or
pipelines which deliver or receive electric energy or gas at the borders of
such State.
CLAIMANT - ALLETE, Inc.
Reference is made to Annual Report Form 10-K (File No. 1-3548), filed
by the claimant with the Commission on or about February 8, 2002, for
the fiscal year ended December 31, 2001, particularly pages 12 through
13, which is hereby incorporated by reference in this statement.
SUBSIDIARY - Superior Water, Light and Power Company
Same reference as under claimant.
3. The following information for the last calendar year with respect to
claimant and each of its subsidiary public utility companies:
(a) Number of kWh of electric energy sold (at retail or wholesale), and
Mcf. of natural or manufactured gas distributed at retail.
ELECTRICITY GAS
ALLETE, Inc. 10,957,288,960 None
Superior Water, Light and
Power Company 546,461,015 2,049,748
(b) Number of kWh of electric energy and Mcf. of natural or manufactured
gas distributed at retail outside the State in which each such company
is organized.
None
(c) Number of kWh of electric energy and Mcf. of natural or manufactured
gas sold at wholesale outside the State in which each such company is
organized, or at the State line.
ELECTRICITY GAS
ALLETE, Inc. 667,563 None
Superior Water, Light and
Power Company None None
(d) Number of kWh of electric energy and Mcf. of natural or manufactured
gas purchased outside the State in which each company is organized or
at the State line.
ELECTRICITY GAS
ALLETE, Inc. 401,240 None
Superior Water, Light and
Power Company 560,122,727 2,123,700
4. The following information for the reporting period with respect to claimant
and each interest it holds directly or indirectly in an EWG or a foreign
utility company, stating monetary amounts in United States dollars:
Not applicable to ALLETE, Inc.
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EXHIBITS
[This EXHIBIT A contains confidential information which has been omitted, but
filed separately with the Securities and Exchange Commission.]
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The above-named claimant has caused this statement to be duly executed
on its behalf by its authorized officer on this 8th day of February 2002.
ALLETE, Inc.
---------------------------------------------
CORPORATE SEAL (Name of Claimant)
By James K. Vizanko
---------------------------------------------
Vice President,
Chief Financial Officer and Treasurer
Attest:
Mark A. Schober
-----------------------------------
Vice President and Controller
Name, title and address of officer to whom notices and correspondence concerning
this statement should be addressed:
James K. Vizanko Vice President, Chief Financial Officer and Treasurer
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(Name) (Title)
ALLETE, Inc.
30 West Superior Street
Duluth, Minnesota 55802-2093
----------------------------
(Address)
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