2001/2002 File No. 69-78 ----- 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 -1- 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 -2- 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 -3- 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 -5-
FOOTNOTES - ----------------------------------- -6-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. 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. - -------------------------------------------------------------------------------- EXHIBITS [This EXHIBIT A contains confidential information which has been omitted, but filed separately with the Securities and Exchange Commission.] -7-
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 ---------------- ----------------------------------------------------- (Name) (Title) ALLETE, Inc. 30 West Superior Street Duluth, Minnesota 55802-2093 ---------------------------- (Address) -8-