Form U-3A-2 statements claiming exemption from PUHCA

Form U-3A-2: annual statements by utility holding companies claiming exemption from PUHCA registration, filed until 2005.

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1,172filings on EDGAR

1994first filed

2005-09-30latest filing

curl -H "Authorization: Bearer $SECFEED_KEY" \
  "https://secfeedapi.com/v1/filings?query=formType:%22U-3A-2%22&size=2"

import os, requests

r = requests.get(
    "https://secfeedapi.com/v1/filings",
    params={'query': 'formType:"U-3A-2"', 'size': '2'},
    headers={"Authorization": f"Bearer {os.environ['SECFEED_KEY']}"},
)
print(r.json())

What is U-3A-2?

Most utility holding companies avoided full registration under the Public Utility Holding Company Act of 1935 by claiming an exemption, often because their operations were predominantly intrastate. EDGAR titles U-3A-2 "Statement by holding company claiming exemption [Rule 2]"; the statement was filed annually to keep the exemption.

The filings list the holding company's utility subsidiaries and their operations. The series ends with PUHCA's repeal.

Who files

Utility holding companies claiming an exemption from registration under PUHCA.

When it is filed

Annually, until PUHCA was repealed.

Filings per year

Every U-3A-2 filing on EDGAR, counted from the SecFeed index, amendments included. Updated daily.

What is inside

Section	Contents
Claimant	The holding company and the exemption claimed.
Subsidiaries	Public utility subsidiaries and their locations.
Financial information	Consolidating financial statements.

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Latest U-3A-2 filings

Company	Form	Filed
IGS Utilities LLC	`U-3A-2`	2005-09-30	EDGAR ↗
Cleco Midstream Resources LLC	`U-3A-2`	2005-07-07	EDGAR ↗
CLECO CORP	`U-3A-2/A`	2005-06-29	EDGAR ↗
CHx Capital Missouri, Inc.	`U-3A-2`	2005-05-31	EDGAR ↗
Sendero SMGC LTD Acquisition Company, LLC	`U-3A-2`	2005-05-27	EDGAR ↗
Sendero SMGC GP Acquisition Company, LLC	`U-3A-2`	2005-05-27	EDGAR ↗
MIDWEST BOTTLE GAS CO	`U-3A-2`	2005-05-19	EDGAR ↗
DPL INC	`U-3A-2/A`	2005-05-17	EDGAR ↗

Use cases

Identify exempt utility holding companies before 2006
Research utility corporate structures

Related forms

U5SPUHCA annual report

Form U5S: annual reports of registered public utility holding companies under Section 5 of PUHCA, filed until 2006.

U-1PUHCA application

Form U-1: applications and declarations under the Public Utility Holding Company Act of 1935, used until the act's repeal in 2006.

FAQ

Why did holding companies claim exemption?

Exemption avoided the extensive regulation that applied to registered holding companies under PUHCA.

When did the series end?

With PUHCA's repeal in 2006; the last filings are in 2005.

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