aum RECEIVED February 11, 2014 p^g i j 2014
Secretary of the Commission PA PUBLIC UTILITY COMMISSION Keystone Building, 400 North Streel SECRETARY'S BUREAU 2,ld Floor, Room N201 Harrisburg, PA 17120
RE: American Utility Management, Inc.'s ("AUM") Application to become a Gas Broker/Marketer
Dear Public Utility Commission:
Founded in 1994, American Utility Management (AUM) is the premier Energy Services and Utility Management partner to the multifamily industry. Through energy management, bill processing, and resident utility billing, the company provides invaluable expertise to its partners by finding lost revenue, identifying areas for cost savings, and providing technology and innovation in managing utility and energy expenses.
As AUM continues to broaden its services in additional states, it must be vigilant wilh staying in compliance with stale and local rules and regulations. Therefore, AUM has attached the original registration application, 3 copies, an electronic copy and Financials sealed as confidential for your consideration.
If additional information is required for AUM to become licensed as a gas broker/marketer in the Commonwealth of Pennsylvania, please let mc know and it will be provided.
Sincerely,
Michele Smurzynski AUM Corporate Paralegal
American Utility Management, Inc. j 333 East Butterndd Road, 3"s Floor I Lombard, Illinois 6014S 800.418.5393 | 630.218.1401 f I blog.aum-inccom | aum-inc.com energy ::aum management
BEFORE THE PENNSYLVANIA PUBLIC UTILITY COMMISSION
Application of American Utility Management, Inc. , d/b/a AUM, for approval to offer, render, furnish, or as a Broker/Marketer/Aggregator to the public in the Commonwealth of Pennsylvania.
To the Pennsylvania Public Utility Commission:
1. IDENTITY OF THE APPLICANT: American Utility Management, Inc. (AUM): 333 E. Butterfield Rd., 3rd Floor Lombard IL 60148: 630-218-1400: 630-218-1401 There have been no other predecessor(s) for this company.
2. a. CONTACT PERSON: Dimitris Kapsis: Chief Energy Officer: 333 E. Butterfield Rd., 3rd Floor Lombard IL 60148: 630-218-1445: 630-218-1401
2. b. CONTACT PERSON-PENNSYLVANIA EMERGENCY MANAGEMENT AGENCY: Dimitris Kapsis: Chief Energy Officer: 333 E. Butterfield Rd., 3rd Floor Lombard IL 60148: 630-218-1445: 630-218-1401
3. a. ATTORNEY: Jeffrey Peterson: General Counsel: 333 E. Butterfield Rd., 3rd Floor Lombard IL 60148: 630-218-1414: 630-218-1401
3. b. REGISTERED AGENT: Corporation Service Company: 2595 Interstate Drive, Suite 103, Harrisburg, PA 17110
4. FICTITIOUS NAME: AUM
5. BUSINESS ENTITY AND DEPARTMENT OF STATE FILINGS: The Applicant is a foreign Corporation (15 Pa.C.S.§4124). The Applicant is incorporated in the state of Illinois. Name and address of officers: Michael Miller: 333 E. Butterfield Rd., 3rd Floor Lombard IL 60148 Robert Malpasuto: 333 E. Butterfield Rd., 3rd Floor Lombard IL 60148 rd Jeffrey Peterson: 333 E. Butterfield Rd.( 3 Floor Lombard IL 60148 Daniel Witte: 333 E. Butterfield Rd., 3rd Floor Lombard IL 60148 David Carpenter: 333 E. Butterfield Rd., 3fd Floor Lombard IL 60148
RECEIVED
FEB 11 2014
PA PUBLIC UTILITY COMMISSION SECRETARY'S BUREAU
One company. One platform. One focus. One team. The Power of One. 1
American Utllitv Manaqement. Inc. 800.418.5393 I aum-inc.com I bloq.aum-lnc.com energy auim management
5a. Exhibit: Proof of compliance with appropriate Department of State filing requirements.
COMMONWEALTH OF PENNSYLVANIA DEPARTMENT OK STATE CORPORATION BUREAU 40] NORTH STREET. ROOM 206 P.O. BOX 8722 HARRISBURG, PA 17105-8722 WWW.CORPOKATIONS.STATE.PA.US/CORP
AMERICAN UTILITY MANAGEMENT, INC.
TH1-: COKPORATION BUREAU IS HAPPY TO SEND YOU YOUR FILED DOCUMENT. THE CORPORATION HUR1-AU IS HERE TO SERVE YOU AND WANTS TO THANK YOU POR DOING BUSINESS IN PENNSYLVANIA.
IF YOU HAVE ANY QUESTIONS PERTAINING TO THE CORPORA TION BUREAU, PLEASE VISIT OUR WED SITE LOCATED AT WWW C'OKPORATIONS. STAT E.I'A. US/CORP OR PLEASE CALL OUR MAIN INFORMATION TELEPHONE NUMBER (717)787-1057. FOR ADDITIONAL INFORMATION REGARDING BUSINESS AND / OR UCC FILINGS. PLEASE VISI T OUR ONLINE "SEARCHABLE DATABASE" LOCATED ON OUR WEB SITE.
ENTITY NUMBER: 3979885
One company. One platform. One focus. One team. The Power of One. 2
American Utility Manaqement. Inc. 800.418.5393 I aum-lnc.com I bloq.aum-inc.com energy ::aum management
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5b. Exhibit: Articles of Incorporation and Bylaws for State of Illinois
«L BCA-2.10 ARTICLES OF INCORPORATtON IR. .an IWM Tld tpaov Iw ut* by SacntCa^ ol SxnW OaaiBBhi Ryan .'in/i.'.ur Di.w.-can: I DoacwyotSinu SpongtaM. IL 69750 FILED
M4 PAID POymtnl muts be moflo by cwttte* M0VZ" ctioo*. extKern check. Idrcii aaor- n€i/»c**eV.61noi*C,P.A'i=hockm GEORGE H. RYAN *M 2 ' »»• RfeQFm 3 'TT^T- /nonty ontor, payaMi to 'Sccwiiy SECRETARY OF STATE ef 9wn."
1. CORPORATE NAME: ^W^ff^cj fihl^
2. FrtbUl R*ciBlosod Agenl; 4 2)) Co* 3. Pioposo ot puiposes tcx which cw ctHporatton is orgonizBd: ut im wnctm tptn ia anwi ttM torn «d0 OM v oefo MiU ei As m) AH) 4. Paragmph 1; Aalhadzod Sham. Jscuad Shmts and Conattforntlon UKamxl: •nneetct&WM OonMtmaaniaba tD.cao PamQraph Z: Tto preftscrtw, auBkRcations. UmllDtfona, restrtato-iBand BpodaioriBtetivo r^hto m ratpocio f Iho shsina of eneti dsn ar»: or suuwii «po» ID CMT mi pdrt. odd am er men itiwb ol BU •!» f EXPEDITED HOV 21 t*9* SECRETARY OF ST (over) FEB 11 2014 PA PUBLIC UTILITY COMMISSION SECRETARY'S BUREAU One company. One platform. One focus. One team. The Power Of One. American Utilitv Manaqement. inc. 800.41B.5M3 I aum-lnc.com I bloq.aum-inc.com energy ::aum management 5. OPTiQJML; (a) Numbw of dffocteftt comttulhd iho initial board of droctoni of Gn oofporfltion:. (61 Namas and ndtlroBsoa at the panuna wrha aro to seno as d&ctoa uMia Uto Krsl annualrtjoolbg i aharehotdBra at uniil Cioir Cwaoosaors AJB olocted anil qusQty: 6. CPTlOfMi: ta\ Ik fs estknaWItf>at »i o vafos of a9 prapaity 1ft bo cnmAd by tho corparalkm lor Iho iBltotKrqj your vfttsrevartocaind win be: % ,., Ct>) H lo oshmalfld thai tho vnhm cd Ihe pfapwty to bo locawd urilWn ihe Saco of Ifinab durfng Iho roitowing yvsf wttl bo: » (cJ tl is esttnAtod thai lha flftra vnoum of buaawos Ihsi vvi9 bo iramadBtf by tho corponufon durfcg tho frtknwnff ysar well bo: I 7 (d) li in cKtlmafiwt Oiot Ihft gmaa omouni ai buslnuso ifwt will bo envtcactad (wn plncosolbuctnou Fn tno Stax of nUrtob duimg Ihs tatewtng fvnr 7. OPTIONAL: OTHER PROVtSiONS AttaOi a septuxto shMt ot 'Wa sin ft» any cdhor proKSbn to be iocfuclMf tn Vw AitKfos of InootporBfion. OS-. Buthotulng fmen^ttve rista, danytftB cumutativo vofing, reguteSfeg (rtomal aMalrsL voting meAtftty requtramentn, flitlng a duration ether man potpofiral otc, 0. NAME(S) ft ADORESSfES) OF tNCORPORATOR(S} Tho uriffarslgiMd fncorponttortftl hereby declarejs), UHdsr parj&'e? ol po^uiy. dot tno Uaismonis modo bi Ihe farogo/ig Aitfctes of tnoofpanillan arc tma. . Dated . 19 AcfdroBs SffM SUmmt <&lCnit^fo» crvtl Dom rm atifrft»J iaaair»o»l. CcOon copy, pN^onvy cr iua» • ThoMUall^ncMM ton teossoiMd nl (To raioot r&rioo al > preant (Bl JO porji .000) an thopaiifencQpiaJrcgrocsiTtad tn ihh atnin, wtjs • idnlmuo of 625. • TTtomngioofo 373. • TTw mlrfmum tots) duo ffrtrtfiae uu * tlno '•*<>> U SI00, (Acptte wten tho Ccnikd»»Trt*of» l& be AocoWod n ut trjrtn fn Own 4 tfow not orcfiod tta.CST) • Tho OooBtment nf Boiimss Sutviom In fiprtngi'eW w(B prawttto autaamco 4i oateui«Snii c» toted teM ti mcautity. UtiKA Sacmtaxy or Qimt Sprtr»gt-BU.ILB275« OopaiUnonl at Suslnmi Soraleos TolPfftCno (217) 7074523 - One platform. One focus. One team. The Power of One. One company. 800.418.5393 I aum-lnc.com 1 bloq.aum-lnc.com American Utility Manaqement. Inc energy aum management FOSW BCA 5.10/5.20 (iw. Ooc 2003) ST&TenfiNT OF CKAKGG Of REOSTEHED ACCNT ANWOR RECISTERED OFFICE Uuchiats Coiponttlon Ad JDSGO WTtia, Socntlary ol Sfcrt* AUG 3 0 2Cfl5 0«psit?«n of Duilnwn P-*r.lcii9 FILED SftrtngmM, i. e^Tsii DEPAflTMEi^T OF 217.7BZ-3MT BUSINESS SERVICES H'Mw.cytiDntrivQllhc*!, aom AUG 2 6 2015 Rttntt caymsit In lha lonn al a JESSflVWfTE lo &«c/cuirv o( Slste. FI)o# • Submit tn dupUcato < • Typ* cu Print clOBrfy In ttaak ir* ' Oo not wrfea Dbova Oils Uno —- \. CotccraiE Naing: AME^^CAN UTIUTY MANAGEMENT, tNC. OIIQDlllI CP074a*T* 2. 34(ito Of Cowtry erf incorptualfcin: .[LUWOIS. 3, Mama and Adaraaa ol Rug^Oawd Agerrt end Regurtarad OffXM as CH&y eppoar Uw rooatds the Qmc& 0/ iho S&crotary of Stale jbefum ctiange.l: MICHAEL G. Wbdd Hum Uitt rwni Ropsicrcd CNfice 4415 W. HARRISON ST, #503 5u*n NS- ll^u. eta is urox+pufni HILLSIDE 6D162 COOK cty zv Crtt (Wit/ Nftino nnd AGUress o< KoftifllHrtHl Ajieefl nnd RnglKlnrod OKco sfiult bo taflw S1 criangoa IBOIOH roportod): RaotewwO Aoflnj MICHAEL 6. MILLER H^teinrftrt Otnnn 2211 YORK ROAD M20 SuIO Ma {RO, Da* ttsm » ureacipUt4«> OAK BROOK 60523 DUPAGE JCfl'Cau* ' 'Oewtf Tha address of Che (ftyislBf eiJ ctT.co and the address of &tt txjsnSSB cfih» -Cf Iho roglttorod ogcrrt. as chsnj^d, wi) bo (danlical. 6. The asovo chan[?e WSA author^l by: pi* ono box only) a, Hi Hcsokillon duly ocftvited by the board of d^sctoro. INoto &[ b. a AoUan of the registered s^eflt. INnto S| SEE HBMERSG FOR StQNATU-RE^S). Pntw* by juaioiiy iK IM SU»«r dl-tf i- • AW - 23M - qi-135.11 One company. One platform. One focus. One team. The Power of One. 7 American Utilitv Manaqement. Inc. 800.418.5393 I aum-Inc.com I bloq.aum-inc.com energy Bum management 7. IF authorfiod by* trt« board of diracton, sl(jJ> nofo. SOD MOID 5 below. fVic unders/gntMj wafpofatlon hen wiused lha sisiamcnt» bo alRned by u duly euyicrtzott olTVatir wfiu affnrta, undor porwiitkiB of peijury, Ifiai (fte tacts BtKori futroin ar* true and corrocl. 0a!od AUGUST IS , 2005 AMERICAN UTTUTY MANAGEMENT. INC . MtCHAEL G, MILLER, PRESIDENT •fJwro ins Htn (^w w pifnil If ocionga of re^Htorad odlce by ragintnrad sgftnl. »lBfl bcro. 3eo Note 6 b«low. THO undersiB"611. under penal lies of parlay, nfiflrms lhat tf» faols stated herein ttrt* liun anil corrncL DzAaa , ^ NOTES 1. The regitfitfM otflco may, out need iwt be, the BEiino ns thtt princttiel odico of the oarparslton. Howover, tha i^gscored office ond tho offwa addrfias ol tho rogi£iU*rmt agent mo si to iho same. 2. The regtetcrod office muiU Fhtftide a Umax or road ad(;.*6«« (P.O, 8nx atonn fa unaiceptaWo}. 3. A csrpurution Mnnoi ad as Its own rttglstfirod agnnrt. 4. fl \t\6 reg'eterea ofttco b. changed fratu 3. Any changoof regljierod ngsn; mutt be by reaoluUon adepwd by tho board o/dfrectorg. Tbb stntemcrrt must faeafgned ty a tfuV authortoed aRicor. 6. Tl-n r«yl6lAr«d agent may report • ctetiflo ot (ho ro^btorcd office of the caiporalbn fcr >iticch hafBtie Is a regliafined t^ciit. When Che apont reports sucffi a ohango, (hi* Btfltflfnona musi bo olgned by Iho rogiainrad acanL If u a»por(rtkwi Is acting on tho ragisferwd aijftnl, s duty nuiwrized officflr of ftien ooiporaslan must sign this statnmari. One company. One platform. One focus. One team. The Power Of One. 8 American Utilitv Manaqement. Inc. 800.418.5393 I aum-inc.com I bloq.aum-Inc.com energy management 6. AFFILIATES AND PREDECESSORS WITHIN PENNSYLVANIA: Applicant is not affiliated with any company doing business in Pennsylvania. 7. APPLICANT'S PRESENT OPERATIONS: Other: Third-Party billing company, water submeter activation and maintenance 8. APPLICANT'S PROPOSED OPERATIONS: The Applicant proposes to operate as a Broker/Marketer engaged in the business of supplying natural gas services. 9. PROPOSED SERVICES: See attached Exhibit A: Energy Procurement Services. 10. SERVICE AREA: Areas serviced by Columbia Gas of Pennsylvania, Inc.; Peoples Natural Gas Company; Equitable Gas Company; National Fuel Gas Distribution, Pennsylvania Division; PECO Energy Company, Gas Division; Philadelphia Gas Works (PGW); UGI Gas Services Including UGI Central Penn Gas (Formerly PPL Gas), UGI Penn Natural Gas, UGI Utilities, Inc.; NUI- Valley Cities Gas 11. CUSTOMERS: Customer Class to be served owners of multifamily industry which can be listed as residential or commercial and regular commercial buildings. 12. START DATE: The Applicant proposed to begin delivering services upon approval of this application. 13. NOTICE: Pursuant to Section 5.14 of the Commission's Regulations, 52 Pa Code §5.14, serve a copy of the signed and verfied Application with attachments on the following: Office of Consumer Advocate, Office of the Attorney General, Small Business Advocate and Department of Revenue. Applicant proposes to operate as a Broker/Marketer/Aggregator and therefore will not need any Natural Gas Distribution Company for transmission and distribution facilities to supply customers. However, see attached letters from the Natural Gas Distribution Companies regarding their requirements or lack thereof on AUM (bonding letters). Exhibit B 14. TAXATION: Applicant has completed the Tax Certification Statement and is attached as Appendix A to this application. 15. COMPLIANCE: The Applicant, an affiliate, a predecessor of either, or a person identified in this Application has not been convicted of a crime involving fraud or similar activity. Within the last five years American Utility Management, Inc. (AUM) has been involved in a few proceedings with regards to its third-party billing aspect. AUM is contracted with landlords/management companies of apartment complexes to bills their tenants for utilities (commonly water/sewer charges). Occasionally AUM receives Better Business Bureau complaints, various state Attorney General complaints and has been involved in litigation. Most complaints stem from the same general issues, late fees, administrative fees and just receiving a bill. The current pending case is in the state of Minnesota court file no. 27CV13-13415 Persigehl & Bodley v. Ridgebrook Investments Limited Partnership;MNS Investors, LLP d/b/a Bar-Ett Investment Company;Steven Scott Management, Inc.; and American Utility Management, Inc. The Order dated December 9, 2013 dismissed count two against AUM and is currently in the appeals process. The case involved landlord tenant utility billing allowable One company. One platform. One focus. One team. The Power Of One. 9 American Utility Manaqement. Inc. 800.418.5393 I aum-inc.com I bloq.aum-inc.com energy ::aum management under Minn. Stat. §5046.215 and administrative fees. Two other cases regarding late fees and whether AUM was a debt collection agency were settled. 16. STANDARDS, BILLING PRACTICES, TERMS AND CONDITIONS OF PROVIDING SERVICE AND CONSUMER EDUCATION: All services should be priced in dearly stated terms to the extent possible. Common definitions should be used. All consumer contracts or sales agreements should be written in plain language with any exclusions, exceptions, add-ons, package offers, limited time offers or other deadlines prominently communicated. Penalties and procedures for ending contracts should be clearly communicated. 16a. CONTACTS FOR CONSUMER SERVICE AND COMPLAINTS: Dimitris Kapsis: Chief Energy Officer: 333 E. Butterfield Rd., 3rd Floor Lombard IL 60148: 630-218-1445: 630-218-1401 Jeff Peterson: General Counsel: 333 E. Butterfield Rd., 3rd Floor Lombard IL: 630-218-1414: 630-218-1401 16b. STANDARD FORM/CONTRACT: Confidential 16c. DISCLOSURE STATEMENT: Applicant not proposing to serve customers only act as Broker/Marketer. 17A. FINANCIAL FITNESS: In order to demonstrate financial fitness Applicant will provide its organizational structure, evidence of Applicant's credit rating with a copy of its Dun and Bradstreet Credit Report. A copy of Applicant's balance sheet and income statement for the most recent fiscal year will be provided as Confidential. American Utility Management, Inc. is a privately owned Illinois corporation. American Utility Management Inc.'s Organizational Chart as of August 9, 2013 is noted below and on page 12. Page 11 is enlarged to show only the Executives and the Energy Management Department consisting of the Chief Energy Officer, Energy Manager and Energy Analysts. American Utility Management Inc. is not affiliated and does not have any subsidiary companies that supply retail or wholesale electricity or natural gas to customers and companies that aggregate customers in North American. One company. One platform. One focus. One team. The Power Of One. 10 American Utilitv Manaqement. Inc. 800.418.5393 I aum-inc.com I bloq.aum-inc.com energy ::aum management AUM Oi sanizationa] Chart us of 8-9-13 Bob Malpausto Michael Miller CFO CEO JennvDe Hoff Exec. Assistant Joe Slackhouse President & COO Bob Ricobone Dimitris Kapsis VP Commercial Energy Chief Energy Officer Sana Choudttuiv Manager James Parker Energy A natyst Meltsa Kwatro Energy Anatyst Myrna Cepeda Energy Analyst AUM Organizational Chart as of 8-9-13 One company. One platform. One focus. One team. The Power Of One. 11 American Utilitv Manaqement. Inc. 800.418.5393 I aum-inc.com I bloq.aum-inc.com energy ::aum management i -—- ^3 d ->r-ir^rn m ID One company. One platform. One focus. One team. The Power of One. 12 American Utilitv Manaqement. Inc. 800.418.5393 I aum-inc.com I bloq.aum-lnc.com energy ssaum management DNBI" Klsh Mnnutjemenl A nN.M«u Teiojn Rithd Uadera Live Report: Af.lERtC^J-J UTILITY MANAGEMEiNT. WC. tnduiMtnnUUIIttg Itcftmnca: UmSniVQaixaiti LcMtftai lypo Stag. L»IK Cornpany Summarv Boors Ear DAB PAYDEXS 0 7C DSD PAVOEX® 76© Lcw«iRblnCO.HltfMiii Rbi :l CasfnacU Clod: Zttite CUM Mart mti&toc by xnouni. FtYmozato u.pt£an rirancUl 2; IBM CtttM O 3 Credl Lt=n - 01= Cafl»fVC£Na PiijttoFOnoc CtSS imcrttl PATOEXS MjrrCe* of H-vtRooent RooordTyp* Roocntc FlCng Osto 3-nionlh DSD PAYOEX®: 77^ 0 UMOII Alii: 1 OO-.tfOil risk 11 D V.ten wab^ad by anoun. fay no res lo Uera 0 SJa UCO) Is Tho pLfctc raftiidCem i cfireahed MKhauy tiM Tide fc a ctnoki kxuSon botfl MU, tafrrtmi»d, va MM cr reteaio: prtcr lo MOO SIC Financial Stress Score Class: B'O IX-w o( bocioac* UndBtermUiotf KAtCS IfJCOMr-LcTE Conmenfal Creed Soon Ctacc One company. One platform. One focus. One team. The Power Of One. 13 American Utilitv Manaqement. Inc. 800.418.5393 I aum-inc.com I bloq.aum-inc.com energy management Commercial Credit Score Class: 2 ® Lowest RistcliHighest Risk :5 Predictive Scores Currency: Shown in USD unless otherwise indicated Credit Capacity Summary This credit rating was assigned because ot O&Bs asDessment of the componys cretfitwoithiness. For more InformaTion, see the D&B Ratioq Kev Number of employees: Not Available DAB Rating: ; •: ERN Certain lines of business, primarily banks, insurance companies and government entities, do not lend themselves :o classification under the O&B Rating system. Instead, we assign these types of businesses an Employee Range symbol based on the number of people employed. No other significance should be attached to this symbol. The ERN should not be interpreted negatively. It simply means we do not have information indicating how many people are employed al this firm. Below is an overview of the companys rating history since 02-14- Number of Employees i 2009 Um etermined Total: D&B Rating Date Applied ERN 06-11-2012 02-14-2009 Payment Activity: (based on 49 experiences) Average High Credit: 3,344 Highest Credit: 20,000 : Total Highest Credit: 100,250 One company. One platform. One focus. One team. The Power Of One. 14 American Utilitv Manaqement. Inc. 800.418.5393 I aum-inc.com I bloq.aum-inc.com DO energy management a DNBI* 3 RbkMonnijcmcnl AJTri.yirJu Tefaiu Zwtid Uilflsm Live Report : ANtERICAN UTILITY MANAGEMENT. INC. tMunmrmBtlllUttit HttBrtntn: %l*lnMtt£iti cam •dSnsj m c tu^rtmkl Iti St. JOO LKtvd li • eoua ^ftoo. OOJU-JWO Company Summarv D&B PAYOEX® 760 Lewtdi ftfaHicO;-J^«ri: Shi :i CoeHnwcUl C "iiuniUi £lito* Ota* Ctedl L*T.T - Cxi?. Corat»* OiB Ajnerin PAYD6XS neoomTypa UoctR0a»m Rwxntt RDng CSCB 3-month DSD PAYDEX®; 77^ 0 • Uem 0 - ; MB Cotrpany Ovotvtow UGC4 15 Uus ft a dnokr loosaon baen poU, rorrrfrotod. mcui*! «teteaioj pnc< io CTJaf ExBOUtto MX£ UILl£n, T-AI^PAL (Mays dKa .X09 Entptoywc UrWotefn-inoJ RnaneteJ Itrecc Soon CbBC Fln£no£.ia SIC ConvnenU OKJ.". Socrv Ctacc One company. One platform. One focus. One team. The Power Of One. 15 American Utilitv Manaqement, Inc. 800.418.5393 I aum-inc.com I bloq.aum-inc.com energy aum management Commercial Credit Score Class: 2 & Predictive Scores _ _= _ ^ Cwrency: £*KA%TI In USD trlett uhsvlM iwkcrod Q Tra troJi redr>; was aialspftfl boefcae rfDASa aaacaagatt ot tho tsccreon'^ siodT^rxthlniraa. f er mcf* Inlonnciiirt, soo ths DSB R=t^j: ERN KuM a' "^P*^1 Ku, A"ltut*' Ceitah I'M bushesa, prtnj!t>- tienka. L-jcrufteo cctnsarioa *nd fltrrtcrmcri entUea, -fle net tantf iherrotfvui» daaiacedm ic«Jof tha DAE HEdrc s-/^oa. Ira^od, -o a»2Kr)'.r»ao TYTO a! Uraiiaajoj wErndtr^a FUnoo ivmtielbftsoaoottto rtirter a'poocio on-level. Ite afriir sJjnfietfnio arcuU to dfltredDarJi i^nt«H Tho£fiW itictjlenet t« In^fcnnnJ neffiitrtY c sSrj/y maifti wo do nas have hiamftUcrt tdbtUrtg tuw' r/uny Moote aia etrelcrrBd a ito firm. 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One company. One platform. One focus. One team. The Power Of One. 16 American Utilitv Manaqement. Inc. 800.418.5393 I aum-Inc.com I bloq.aum-inc.com DO energy OQ management Ito firuntltl ZVaB CUajto<&a?.a th e trf3 fjm ihirei •sfiw of tJ» tf^ne^a jnc Tftfji^ ihnziitoitilak Tte EutnMjj 3i BefitoftlEA'T NDRi-r CENTRAL SO lnlusr>-. v:i Ertcia/xt rtfflo: LU> Vita h Bmh&u: 3-c 3^ Trti B^dneaa Cua A FlTonefei areas ro;ttft:irs ihfl ihtw.*: KBtief rbi.irun etrief i>xfCnricd in tho tamo to&bx hlohef rfat. ITun emef oarreqrfiUi win a totnuxmHo nunber at >iuf3 In bmhtti. CnM *oor» Surnma-y Tte Ceflmaitiil CrotSt £fiiio tf«2aa ite De^iood tMt A oef(eofT» wllla bSa h a aetrtfef, colfwusm m«nt? 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The Power of One. 17 American Utilitv Manaqement, inc. 800.418.5393 I aum-lnc.com I bloq.aum-inc.com energy management Trade Paymente _ Cumncy. £ho*fi In USD tninaa iiriKv.1»o indteKod Q O&B PAYDEXO ^ „ „ _ „ Tte DAE P.tYQEX Is t urter-o, •Aoljiretd Indke-at t/ pff^snrc peiftirminca tsao? an ptti^anc cuteilauM as rtt Tkndhcaj Hsanfitf wstnena Ilia i»t5ariv- c r«n-KAVBtxla r* Eqiultoedffp tn^onciKm* I Ptvnm«« alowt,Ifcantte ontflao totaabdiarcrfgtrt-BCvwtWl Ul ' " isms) miiatiy MadlHi la: ss Eqiul bi carief*Cy wtfin cumo ti fcdteiUens rf oiownoaa ces bo tte IMUJ rf iJscua tpvtf m«ri*n(£aa. attotol h*doea ott. Atouuroj aiosomctlmsa dtted fcf tsslaeznn mm roujh tfio cditttw Of «tneurerfllio daU tadbjt^cd. teU [Mjtmrt! tipa-'teMca to D&Si Hie |tta) I'r/SMtiti vffDita Inert wmd^ilmlj Ql % t^ada tjpeilcBCM MDi Blow 01 •ttatHin lHiO*. tctd I'ljcad Her OstacDon 0 Hl^iail Mew OMTJQ 10,000 Hl^tol rnl Uua £,£00 DftB PATDEX* ; 760 (Lawea: AbVilOO. Higteac AUk.i) 3-Monni DSB PAVOEX^ : 770 (UwttH Risir.OOi HifiteS! Hbi.-.!) UaMd oti pflyamit* caOactsd owr test 3 mcegia. W^sn iwtV^ by utvsunL payrmrfti to supsttais «mma t dty* bayond toitia D&B PAYOEXOCompartean FAYD=X£> rf ttta &Lalte» oxn&itod ia tho Pdmaiy teduuiv f.w* oacheTnotosf fcufdu&r.efa. ThoPrtntrv tfti-airy li Ur»2etefmhoi*, tuaad en cedo QDCO. Bliows CM Vttid In D&U I'AYDtJt accKtao cvw Sta paal 12 exnDis. 7rt1 5/11 ani tGrtl 12.11 1/12 2/12 3)12 4^12 &rt2 612 Thfc BuckWCS TS Ji 76 T5 75 77 T3 7j 77 77 73 75 Industry OuartDsc Ujpof . . -0 =0 . SO Liadtfi ..30 . ai . . SO . . . l£rme} 70 . 70 . . 70 . . - • Oinont r-AYOEX to Suiheas Ss 7fl, ar ocui! to 5 dft^s beyen; lama • Tte iS-Tarca KtfS b 79. ot ofiud to 3 DAY* Eri'OKD lams One company. One platform. One focus. One team. The Power Of One. 18 American Utilitv Manaqement. Inc. 800.418.5393 I aum-inc.com I bloq.aum-lnc.com energy mm management 17B. APPLICANT MUST PROVIDE THE FOLLOWING INFORMATION: Identify Applicant s chief Officers including names and their professional resumes. Michael MillerChief Executive Officer Mr. Miller joined AUM in 2000 as an Executive Vice President and was named President in 2001. Before joining AUM, Michael worked in property management and was Vice President, Asset Management for AMLI Residential Properties, a Chicago-based REIT. Michael;.oversaw the expansion of AUM from a small regional utility conservation company, focused dn'resideht billing and utility submetering services, to a national energy management services provider offering invoice processing and energy procurement services. In addition to his responsibilities as President of AUM, Michael sen/es on the Board of Directors of the National Multi Housing Council (NMHC), a participating member of the Data Taxonomy Group funded by the MacArthur Foundation, and has held similar positions with industry groups such as the Chicagoland Apartment Association. Bob Malpasuto:Chief Financial Officer Mr. Malpasuto joined AUM in July, 2000 as Executive Vice President of Finance and Technology. Before this he spent five years at AMLI Residential Properties as Chief Information Officer. Prior to joining AMLI, Bob spent four years at Starwood Lodging as Director of Financial Development, With his financial and technological expertise, Bob has helped AUM develop the multifamily industry's leading platform for resident billing and utility management services. By employing a robust and infinitely scalable Oracle-based system, AUM is the only provider in the industry housing all of these services on the same platform. In addition to overseeing systems development at AUM, Bob helped create our highly sophisticated Invoice Processing Service, which today processes more than 50,000 invoices a month while eliminating late fees and capturing consumption and cost data to a degree and detail that is unmatched in the multifamily industry. One company. One platform. One focus. One team. The Power of One. 19 American Utilitv Manaqement. Inc. 800.418.5393 I aum-inc.com I bloq.aum-lnc.com energy management Dave Carpenter:Chief Strategic Officer Mr. Carpenter is the product development executive responsible for the creation and enhancement of strategic processes, systems, interfaces and reports of all AUM Products and Services. He is our resident expert in bill payment, system interfaces and data exchange, submetering, web and custom reporting, vacant cost recovery and utility invoice data capture and analysis. Dave came to AUM in 2002 from Higgins Development, where he provided civil engineering services for residential and commercial properties. He began at our engineering department, where he handled meter installation, repairs, billing and customer support. In this role, he developed the multi-housing industry's first meter diagnostic report. In 2005, Dave initiated invoice pay processing services for AUM that build, test and implement interfaces, controls procedures, work flows, staffing, and metrics. Dimitris Kapsis:Executive Vice President and Chief Energy Officer Before joining AUM in 2008, Mr. Kapsis worked in the property Management industry and served as Director, Energy management for Archstone, a Denver-based property ownership and management firm. Dimitris has helped AUM grow into a national energy management services provider that offers energy management planning, facilities audits and energy procurement services. Dimitris is also active in the Association of Energy Engineers (AEE) and the American Society of Heating, Refrigerating and Air-Conditioning (ASHRE). He aiso hoids several professional certifications, including Certified Energy Manager (CEM®) and Certified Energy Procurement Professional (CEP®). One company. One platform. One focus. One team. The Power Of One. 20 American Utilitv Manaqement. Inc. 800.418.5393 I aum-inc.com I bloq.aum-inc.com energy management 18. TECHNICAL FITNESS: Dimitris joined AUM in 2008, and is responsible for the creation and management of the Energy Solutions group. His leadership had allowed AUM to expand its offerings and become a leading national energy management services provider for the multi-family industry. These Energy Management solutions are inclusive of energy management planning, facility utility auditing, energy commodity procurement, utility variance analysis, rate & tariff analysis, budgeting and benchmarking in addition to AUM's traditional Invoice Processing, Resident Services, and Utility Submetering services. Under Dimitris1 Leadership: • AUM now offers Energy Management services to approximately 1,100 multi-family properties consisting of 200,000 residential apartment units nationwide. • AUM is responsible for managing a $15-$20 million energy commodity hedging program in areas with deregulated electric and natural gas service. • AUM Rate and Tariff and Tax Exemption Services have contributed to over $1.2 Million in recovered erroneously billed energy and utility commodity charges and sales taxes. These savings are'both immediate in the form of refunds and credits and on-going in the form of reduced rates and tax exemptions. • AUM is now responsible with the evaluation of energy conservation and sustainability projects for both existing portfolio properties and future property acquisitions & developments, including: Review and evaluation of Return On Investment calculations, project and equipment reliability, lifecycle rate of return, financing options, local and/or federal rebates. • Directly involved with EPA's Energy Star Portfolio Manager for the creation of national cross- portfolio multifamily property energy and water usage benchmarks. Assisting several clients with properties located within regions that have adopted Portfolio Manager as their energy benchmark tool of choice to conform to new laws and regulations. • The Company created the definitive solution to Multifamily Benchmarking, AUM Score, including the industry-leading White Paper: Multifamily Energy Benchmarking for Reduced Energy • Expense Prior to joining AUM, Dimitris served as Director, Energy Services for Archstone, a leading multifamily Property owner with an ownership position in 432 communities located in the United States and Europe, representing 72,996 units, including units under construction. Dimitris was responsible for the creation and update of the Energy Management Program for the entire company. Under Dimitris' watch Archstone: • Developed a companywide Energy Sustainability guide for new developments and upcoming renovations. • Integrated energy conservation opportunities, LEED requirements, Energy Star requirements and local, state and federal laws and mandates. • Managed a $15 Million energy commodity hedging program in areas with deregulated electric and natural gas service. • Creation and management of a $75 Million utility budget and re-forecast for electric, natural gas, diesel and water for all the properties owned and managed by the company. Monthly and One company. One platform. One focus. One team. The Power Of One. 21 American Utilitv Manaqement. Inc. 800.418.5393 I aum-inc.com I bloq.aum-lnc.com energy management quarterly variance reports for review by Executive team. Direct communication with accounting team regarding payment issues and accruals In addition to his responsibilities at AUM, Dimitris is active in the Association of Energy Engineers (AEE) and the American Society of Heating, Refrigerating and Air-Conditioning (ASHRE). He also holds several professional certifications, including Certified Energy Manager (CEM®) and Certified Energy Procurement Professional (CEP®). He is a frequent speaker on Energy Management in Multifamily including: • Guest Lecturer at Georgia Tech's School of Building Construction • National Apartment Association • NMHC Leadership Conference • EPA Panel Speaker on Energy Star Dimitris is an advisor to the EPA's development of a Multifamily benchmarking standards, and a member of the Data Taxonomy Data Taxonomy Think Group lead by Fannie Mae, the EPA and funded by the MacArthur Foundation. He received his B:S:,. Urban Systems Engineering in 1993, and his M.S., Facilities Management in 1997 from George Washington University. 19. TRANSFER OF LICENSE: The Applicant understands that if it plans to transfer its license to another entity, it is required to request authority from the Commission for permission prior to transferring the license. See 66 Pa. C.S. Section 2208(D). Transferee will be required to file appropriate licensing application. 20. UNIFORM STANDARDS OF CONDUCT AND DISCLOSURE: As a condition of receiving a license, Applicant agrees to conform to any Uniform Standards of Conduct and Disclosure as set forth by the Commission. 21. REPORTING REQUIREMENTS: Applicant agrees to provide the following information to the Commission or the Department of Revenue, as appropriate: Reports of Gross Receipts: Applicant shall report its Pennsylvania intrastate gross receipts to the Commission on an annual basis no later than 30 days following the end of the calendar year. Applicant will be required to meet periodic reporting requirements as may be issued by the Commission to fulfill the Commission's duty under Chapter 22 pertaining to reliability and to inform the Governor and Legislature of the progress of the transition to a fully competitive natural gas market. 22. FURTHER DEVELOPMENTS: Applicant is under a continuing obligation to amend its application if substantial changes occur in the information upon which the Commission relied in approving the original filing. 23. FALSIFICATION: The Applicant understands that the making of false statement(s) herein may be grounds for denying the Application or, if later discovered, for revoking any authority granted pursuant to the Application. This Apptication is subject to 18 Pa. C.S. §4903 and 4904, relating to perjury and falsification in official matters. Om.- company. One platform. One focus. One team. The Power Of One. 22 American Utilitv Manaqement. Inc. 800.418.5393 I aum-lnc.com I bloq.aum-inc.com energy mmau m management 24. FEE: The Applicant has enclosed the required initial licensing fee of $350.00 payable to the Commonwealth of Pennsylvania. Applicant: American Utilitv Management. Inc. By: Jeffrey Peterson Title: Secretary & General Counsel FE8 11 -rn (TY COMMISSION One company. One platform. One focus. One team. The Power of One. 23 American Utilitv Manaqement. Inc. 800.418.5393 I aum-inc.com I bloq.aum-inc.com energy ::aum management RECEIVED AFFIDAVIT FEB 112014 PA PUBLIC UTILITY COMMISSION State of Illinois SECRETARY'S BUREAU SS. County of DuPage Jeffrey Peterson, Affiant, being duly affirmed according to law, deposes and says that: He is the Secretary and General Counsel of American Utility Management, Inc.; That he is authorized to and does make this affidavit for said Applicant; That American Utility Management, Inc., the Applicant herein, acknowledges that American Management, Inc. may have obligations pursuant to this Application consistent with the Public Utility Code of the Commonwealth of Pennsylvania, Title 66 of the Pennsylvania Consolidated Statutes; or with other applicable statutes or regulations including Emergency Orders wich may be issued verbally or in writing during any emergency situations that may unexpectedly develop from time to time in the course of doing business in Pennsylvania. That American Utility Management, Inc., the Applicant herein, certifies to the Commission that it is subject to, will pay, and in the past has paid, the full amount of taxes imposed by Articles II and XI of the Act of March 4,1971 (P.L. 6, No. 2 ), known as the Taz Reform Act of 1971 and any tax imposed by Chapter 22 of Title 66. The Applicant acknowledges that failure to pay such taxes or toerhwise comply with the taxation requirements of, shall be cause for the Commission to revoke the license of the Applicant. The Applicant acknowledges that it shall report to the Commission its jurisdictional natural gas sales for ultimate consumption, for the previous year or as otherwise required by the Commission. The Applicatn also acknowledges that it is subject to 66Pa. C.S. §506 (relating to the inspection of facilities and records). Applicant, by filing of this application waives confidentiality with respect to its state tax information in the possession of the Department of Revenue, regardless of the source of the information, and shall consent to the Department of Revenue providing that information to the Pennsylvania Public Utility Commission. One company. One platform. One focus. One team. The Power Of One. 24 American Utilitv Manaqement. Inc. 800.418.5393 I aum-inc.com I bloq.aum-inc.com energy management That American Utility Management, the Applicant herein, acknowledges that it has a statutory obligation to conform with 66 Pa. C.S. §506, and the standards and billing practices of 52PA. Code Chapter 56. That the Applicant agrees to provide all consumer education materials and information in a timely manner as requested by the Commission's Office of Communications or other Commission bureaus. Materials and information requested may be analyzed by the Commission to meet obligations under applicable sections of the law. That the facts above set forth are true and correct to the best of his knowledge, information, and belief. Signature of Affiant Confirmed and subscribed before me this day of January, 2014. Signature of Notary confirming Affiant My commission expires June 13, 2016. OFFICIAL SEAL MICHELE SMURZYNSKI Notary Public - State of Illinois My Commtosion Expires June 13, 2016 RECEIVED FEB 11 2014 PA PUBUC UTILITV COMMISSION SECRETARY'S BUREAU One company. One platform. One focus. One team. The Power Of One. 25 American Utilitv Manaqement. Inc. 800.418.5393 I aum-inc.com I bloq.aum-lnc.com energy management AFFIDAVIT State of Illinois FEB 11 20H P SS. A PUBLIC UTl, rrv County of DuPage Jeffrey Peterson, Affiant, being duly affirmed according to law, deposes and says that: He is the Secretary and General Counsel of American Utility Management, Inc.; That he is authorized to and does make this affidavit for said Applicant; That American Utility Management, Inc., the Applicant herein certifies that it has caused the notice of its license application to be filed and published in several newspapers. A copy of the notice as it appeared in each newspaper is attached. Noted on each copy is the newspaper section and if applicable, and the page number on which the notice appeared. That the facts above set forth are true and correct to the best of his knowledge, information, and belief, and that he expects said Applicant to be able to prove the same at hearing. OFFICIAL SEAL ignature of Affiant MICHELE SMURZYNSKI Notary Public - State of Illinois My Comml8Bion Expires June 13,2016 Confirmed and subscribed before me this day of January, 2014. JL Signature of Notary confirming Affiant My commission expires June 13, 2016. One company. One platform. One focus. One team. The Power of One. 26 American Utilitv Manaqement. Inc. 800.418.5393 I aum-Inc.com I bloq.aum-inc.com energy management RECEIVED AFFIDAVIT FES 11 20K State of Illinois PA PUBLIC UTILITY COMMISSION SS. SECRETARY'S BUREAU County of DuPage Jeffrey Peterson, Affiant, being duly affirmed according to law, deposes and says that: He is the Secretary and General Counsel of American Utility Management, Inc.; That he is authorized to and does make this affidavit for said Applicant; That the Applicant herein American Utility Management, Inc. has the burden of producing information and supporting documentation demonstrating its technical and financial fitness to be licensed as a natural gas supplier pursuant to 66 Pa. C.S. §2208 ( c) (1). That the Applicant herein American Utility Management, Inc. has answered the questions on the application correctly, truthfully, and completely and provided supporting documentation as required. That the Applicant herein American Utility Management, Inc. acknowledges that it is under a duty to update information provided in answer to questions on this application and contained in supporting documents. That the Applicant herein American Utility Management, Inc. acknowledges that it is under a duty to supplement information provided in answer to questions on this application and contained in supporting documents as requested by the Commission. That the facts above set forth are true and correct to the best of his knowledge, information, and belief, and that he expects said Applicant to be able to prove the same at hearing. OFFICIAL SEAL MICHELE SMURZYNSKI ignature of Affiant Notary Public - State of Illinois My Commission Expires June 13, 2016 Confirmed and subscribed before me this day of January, 2014 Signature of Nol v confirms ng Affiant My commission expires June 13, 2016. One company. One platform. One focus. One team. The Power Of One. 27 American Utilitv Manaqement. Inc. 800.418.5393 I aum-lnc.com I bloq.aum-inc.com APPENDIX D Standards of Conduct (1) The [natural gas distribution company] should apply its tariffs in a nondiscriminatory manner to its affiliate, its own marketing division and any nonaffiliate. (2) The [natural gas distribution company] should likewise not apply a tariff provision in any manner that would give its affiliate or division an unreasonable preference over other marketers with regard to matters such as scheduling, balancing, transportation, storage, curtailment, capacity release and assignment, or nondelivery, and all other services provided to its affiliated suppliers. (3) If a tariff provision is mandatory, the [natural gas distribution company] should not waive the provision for its affiliate or division absent prior approval of the Commission. (4) If a tariff provision is not mandatory or provides for waivers, the [natural gas distribution company] should grant the waivers without preference to affiliates and divisions or non-affiliates. (5) The [natural gas distribution company] should maintain a chronological log of tariff provisions for which it has granted waivers. Entries should include the name of the party receiving the waiver, the date and time of the request, the specific tariff provision waived and the reason for the waiver. Any chronological log should be open for public inspection during normal business hours. (6) The [natural gas distribution company] should process requests for transportation promptly and in a nondiscriminatory fashion with respect to other requests received in the same or a similar period. The [natural gas distribution company] should maintain a chronological log showing the processing of requests for transportation services. Any chronological log should be open for public inspection during normal business hours. (7) Transportation discounts and fee waivers and rebates provided to the [natural gas distribution company's] or its marketing affiliate's favored customers should be offered to other similarly situated customers and should nol be tied to any unrelated service, incentive or offer on behalf of either Ihe parent of affiliate. A chronological Naiiirnl Gas Supplier License Ajvlicalion I'A I'UC Dociu.iem «: 139346 log should be maintained showing the date, party, time and rationale for the action. Any chronological log should be open for public inspection during normal business hours. (8) The [natural gas distribution company] should not disclose any customer proprietary information to its marketing affiliate or division, and to the extent that it does disclose customer information, it should contemporaneously paovide this same information to other similarly situated marketers in a similar fashion so as not to selectively disclose, delay disclosure, or give itself or its affiliate any undue advantage related to the disclosure. A chronological log should be maintained showing the date, time and rationale for the disclosure. Any chronological log should be open for public inspection during normal business hours. A natural gas distribution company should nol provide information received from non-affiliated customers or suppliers to its affiliated natural gas suppliers. (9) The [natural gas distribution company] should justly and reasonably allocate to its marketing affiliate or division the costs or expenses for general administration or support services. (10) The [natural gas distribution company] selling surplus gas supplies and/or upstream capacity on a short-term basis (as defined by the Federal Energy Regulatory Commission) to its affiliate should make supplies available to similarly situated marketers on a nondiscriminatory basis. The [natural gas distribution company] should not make any gas supplies and/or upstream capacity available through private disclosure to the [natural gas distribution company's] affiliate unless the availability is made simultaneously with public dissemination in a manner that fairly apprises interested parties of the availability of the gas supplies and/or upstream capacity. The [natural gas distribution company] should maintain a chronological log of these public disseminations. Any chronological log should be open for public inspection during normal business hours. (11) The [naiural gas distribution company] should not condition or tie agreements to release interstate pipeline capacity to any service in which the [natural gas distribution company] or affiliate is involved. (12) The [natural gas distribution company] should not directly or by implication . . . represent to any customer, supplier or third party that an advantage may accrue to any parly through use of the [natural gas distribution company's] affiliate or subsidiary. Nntmal CM Sii|i|i]ici l.tcense ApplicMton PA I'UC DocKiicm H: 139346 (13) The [natural gas distribution company] should establish and file with the Commission a complaint procedure for dealing with any alleged violations of any of the standards listed in paragraphs (1) through (12), this paragraph or paragraphs (14) and (15), excepting for paragraph (9), which should be exclusively under the purview of the Commission. These procedures should be developed in consultation with interested parties during consideration of any tariff guided by this section and §69.191 (relating to general). The Commission may expect establishment of a complaint procedure or other recordkeeping requirements if warranted by subsequent facts or circumstances. (14) The [natural gas distribution company] should keep a chronological log of any complaints, excepting paragraph (9), regarding discriminatory treatment of natural gas suppliers. This chronological log should include the date and nature of the complaint and the [natural gas distribution company's] resolution of it. Any chronological log should be open for inspection during normal business hours. (15) Parties alleging violations of these standards may pursue their allegations through the Commission's established complaint procedures. A complainant bears the burden of proof consistent with 66 Pa. C.S. (relating to Public Utility Code) in regard to the allegations. (16) Licensees shall provide accurate information about their natural gas supplier services using plain language and common terms. Where new terms are used, such terms must be defined again using plain language: Information should be provided in a format which will allow for comparison of the various natural gas supply services offered and the prices charged for each type of service. (17) Licensees shall provide notification of the change in conditions of service, intent to cease operation as an natural gas supplier, explanation of denial of service, proper handling of deposits and proper handling of complaints in accordance with Commission regulations where applicable. (18) Licensees shall maintain the confidentiality of customers' historic payment information and right of access to their own load and billing information. Nnlurnl Giu Supplier Licence Applicalion ['A PUC Documenl U; \ mi6 (19) Licensees shall not discriminate in the provision of natural gas supply services as to availability and terms of service based on race, color, religion, national origin, sex, marital status, age receipt of public assistance income, and exercise of rights under the Consumer Credit Protection Act, 15 U. S. C. §§I691-1691f; Regulation B, 12 C.F.R. §§202-202.14. (20) Licensees will be responsible for any fraudulent deceptive or other unlawful marketing or billing acts performed by their agents or representatives. Licensee shall inform consumers of state consumer protection laws that govern the cancellation or rescission of natural gas supply service contracts. 73 P. S. §201-7. (21) The natural gas distribution company shall not give any affiliate or marketing division preference over a non-traditional affiliate in the provision of goods and services such as processing requests for information, complaints and responses to service interruptions. The natural gas distribution company shall provide comparable treatment without regard to a customer's chosen natural gas supplier. (22) No transaction between the natural gas distribution company and an affiliated natural gas supplier shall involve an anti-competitive cross- subsidy and all such transactions shall comply with applicable law. (23) Naiural gas distribution company employees who have responsibility for operating the distribution system, including natural gas delivery or billing and metering, shall not be shared with an affiliated or divisional Supplier, and their offices shall be physically separated from the office(s) used by those working for the Supplier. Such natural gas distribution company employees may transfer to a Supplier provided such transfer is not used as a means to circumvent these interim standards of conduct. Any supplier shall have its own direct line management. Any shared facilities shall be fully and transparently allocated between the natural gas distribution company function and the Supplier function. The natural gas distribution company accounts and records shall be maintained such that the costs a Supplier incurs may be clearly identified. (24) (a) Neither the natural gas distribution company nor an affiliated or divisional Supplier may directly or by implication falsely and unfairly represent: Naiural Gas Supplici License Ajiplicatii I'A I'UC Dotuiiienl *. IJ9J46 • lhat the Pa PUC jurisdictionally regulated services provided by the natural gas distribution company are of a superior quality when power is purchased from an affiliated or divisional Supplier; or • that the merchant services (for natural gas) are being provided by the natural gas distribution company rather than an affiliated or divisional Supplier; • lhat the natural gas purchased from a Supplier lhat is not an affiliate or division of the natural gas distribution company may not be reliably delivered; • that natural gas must be purchased from an affiliate or divisional Supplier to receive Pa PUC jurisdictional regulated services. (b) The natural gas distribution company shall not jointly market or jointly purchase its Pa PUC jurisdictional regulated services with the services of an affiliated or divisional Suppler. This prohibition includes prohibiting the natural gas distribution company from including bill inserts in its natural gas distribution company bills promoting an affiliated or divisional Supplier's services, and further precludes a reference or link from the natural gas distribution company's web-site to any affiliated or divisional supplier. (c) When an affiliated or divisional Supplier markets or communicates to the public using the natural gas distribution company name or logo, it shall include a disclaimer lhat states: (i) That the Supplier is not the same company as the natural gas distribution company; (2) thai the prices of the Supplier are nol regulated by the Pa PUC; and (3) that a customer does not have to by natural gas or other products from the Supplier in order to receive the same quality service from the natural gas distribution company. When a Supplier advertises or communicates verbally through radio or television to the public using the natural gas distribution company name or logo, the Supplier shall include at the conclusion of any such communication a disclaimer that includes all of Ihe disclaimers listed in this paragraph. (25) The natural gas distribution company must: (a) make interstate capacity available for release, assignment, or transfer to its affiliated or divisional Supplier only through the intestate pipeline electronic bulletin boards and the competitive bidding procedures in place on those interstate systems; (b) Naimal Gas Sup|iticr Ijctmc Appliimlion PA PUC Docuiiem tf; \J91i6 not give its affiliated or divisional Supplier any preference over non affiliated or non-divisional Suppliers, or potential non-affiliated or non- divisional Suppliers, in matters relating to the assignment, release, or other transfer of the natural gas distribution company's capacity rights on interstate pipeline systems; and (c) not condition or tie its agreement to release, assign, or otherwise transfer interstate pipeline capacity lo any agreement by a gas Supplier, customer or other third party relating to any service in which its marketing affiliate is involved. Natianl Gas Supplici License Applicalion PA I'UC DoeuroeiMfl; 139346 Proof of Publication in The Philadelphia Daily News Under Act. No 587, Approved May 16,1929 STA TE OF PENNSYL VANIA Copy of Notice of Publication COUNTY OF PHILADELPHIA . PENNSYLVANIA PUBUC UTILITY COMMISSION ,• .NOTICE., . AppllcutlahD of.Amorkwn Utility Manaa«m«fil. Ino. (d/b/a "AUM") por Approval To.Ollor.iRwn- dor, or Furnlnh Sorvlcoa an o Suppllor. Aggroga- • tor, nnd'Markotor/Brokbr Enoogod Affiant further deposes and says that she is an employee of the publisher of said newspaper and has been authorized to verify the foregoing statement and that she is not interested in the subject matter of the aforesaid notice of publication, and that all allegations in the foregoing statement as to time, place and character of publication are true. Sworn to and subscribed before me this 16th day of December, 2013. COMMONWEALTH OF PCHNVVLVAMM My Gommission Expires: NOTARIAL SEAL ftMRYANNE LOGAN. Fttfc CMrofPhtetelphia.Phia. My Commtefon Expires March 30, 17 The Patriot-News Co. 2020 Tectwrertogy Pkwy Suite 300 Mechanicsburg, PA 17050 Now you know Inquiries - 717-255-8213 AUM 333 EAST BUTTERFIELD ROAD, 3RD FLOOR ATTN; MICHELE SMURZYNSKI LOMBARD IL 60148 -PA p03 THE PATRIOT NEWS UC/ THE SUNDAY PATRIOT NEWS Proof of Publication Under Act No. 587, Approved May 16, 1929 Commonwealth of Pennsylvania, County of Dauphin} ss Marianne Miller, being duly sworn according to law, deposes and says: That she is a Staff Accountant of The Patriot News Co., a corporation organized and existing under the faws of the Commonwealth of Pennsylvania, with its principal office and place of business at 2020 Technology Pkwy, Suite 300, in the Township of Hampden, County of Cumberland, State of Pennsylvania, owner and publisher of The" Patriot-News and The Sunday Patriot-News newspapers of general circulation, printed and published at 1900 Patriot Drive, in the City, County and State aforesaid; that The Patriot-News and The Sunday Patriot-News were established March 4th, 1854, and September 18th, 1949, respectively, and all have been continuously published ever since; That the printed notice or publication which is securely attached hereto is exactly as printed and published in their regular daily and/or Sunday/ Community Weekly editions which appeared on the date(s) indicated below. That neither she nor said Company is interested in the subject matter of said printed notice or advertising, and that all of the allegations of this statement as to the time, place and character of publication are true; and That she has personal knowledge of the facts aforesaid and is duly authorized and empowered to verify this statement on behalf of The Patriot-News Co. aforesaid by virtue and pursuant to a resolution unanimously passed and adopted severally by the stockholders and board of directors of the said Company and subsequently duly recorded in the office for the Recording of Deeds PENNSYLVANIA . phin in Miscellaneous Book "M", Volume 14, Page 317. PUBLIC UTILITY COMMISSION NOTICE Appllcutlonsof American Utility ran on the dates shown below: Managethont, Inc. (d/b/a ".AUM",) For • Approval To Offer, Rcndor/oKFurnish Services as a Supplier, Aggregator, and December 19, 2013 Markelec/Broker Engaged In The Business of Suppfyfno Natural Gas Supply Services and Electricity Supply or Electric Generation Services, To The public In.The Cotnmonwealth Of Pcnnsylvohla. " AUM will be'tlllnH an application with . I the Pennsylvania Public Utility • .' 2014 A.D. ; Commlssion't'PUC") lor a license to [ provide naiural gas supply services as a brokcr/rriarketer engaged in the business ot providing natural gas services. AUM will also be filing aii j application wlth the'FJUC tor a license to supply oJecfrfdfy.'orelecfrfCBonerdfion services AMERICAN UTILITY MANAGEMENT INC MICHELE SMURZYNSKI 333 EAST BUTTERFIELD ROAD, 3RD LOMBARD IL 60148 Account # 591381 Order # 81408434 Ad Price: 243.05 LEGAL NOTICE PENNSYLVANIA Gina Krushinski Being duly sworn according to law. deposes and says that (s)he is Billing clerk for The Scranton Times, owner and publisher of The Scranton Times, a newspaper of general circulation, established in 1870," published in the city of Scranton, county and state aforesaid, and that the printed notice or publication hereto attached is exactly as printed in the regular editions of the said newspaper 1 2014 on the following dates: PA p UBLIC 12/18/2013 12/18/2013 lARy SS/O/v Affiant further deposes and says that neither the affiant nor-The Scranton Times is interested in tho subject matter of the aforesaid notice or advertisement and that all allegations in the foregoing statement as time, place and character or publication are true ,J^/]lA^ fflfUJ/) lls/^t/)/^ ^ • LEGAL' NOTICE - Sworn and subscribed to before ine 1 PENNSYLVANIA • PUBLIC UTTUTY . COMMISSION I NOTICE _ . this 18th day of December A.D., 2013 'Applications - 'of American' Utility Management,-Inc. (d/b/a. •AIM') For Approval To Offer, Render. orfFur-\ nish Services as,a Supplier, Aggrega-' tor, and Marketer/Broker Engaged-In The Business Of Supplying, Natural' Gas Supply Services and' Electridty' (Notary Publi Supply or Electric Generation Services. 'To'The Public In The^Commonwealth COMMONWEALTH OF PENNSYLVANIA Of Pennsylvania. Notarial Seal Joseph D. Strubeck, Notary Public 'AUM.will be filtng an application.with, City of Scranton, Lackawanna County .tha. Pennsylvania Public Utllity-Com-i mission ("PUC"), for a'license to pro My Commission Expires Aug. 19, 2017 vide naiural gas supply; services as a MEMBER. PENttSYLVAfJIA ASSOCIATION OF NOTARIES broker/marketer engaged in the.busi- BMS.01 [i^ 0,'l-dlf^.Q'na,UfB, fl8S services. AUMiwill'alsl o be filing an apDlicatiori wlth'ths PUCfor. a'liS>nse ^ Sv eeciricity or electric'generalion Mr- ral gas, and related services through- out,all of Pennsylvania under the,pro-, visionSjOf tho1 new:Natural Gas Choice', and Competition Act and the Electricity. Generation Customer Choice and Com-! petition Act. The PUC may consider this.application, without a hearing." Protests directed to! the technical or financial fitness of I :AUM may be filed within^ days of 'the-date of thisinotice with the Secre- .r , •• . jary'of-the PUC, P.0: Box 3265, Harris bur^. PA 17105-3265. You should send copies of any protest to" AUM's attor- ,ney at the address"listed belowi • By and through Counsel: ; Jeffrey Peterson' ' AUM 1 PO Box 4957 Oak Brook, IL 60522-4957 < 866-520-1245 888-493-3454 , . No. Term, 19 PROOF OF PUBLICATION OF NOTICE IN THE WILLIAMSPORT SUN-GAZETTE UNDER ACT NO. 587, APPROVED MAY 16, 1929 STATE OF PENNSYLVANIA COUNTY OF LYCOMING SS: Bernard A. Oravec Publisher of the Sun-Gazette Company, publishers of the Williamsport Sun-Gazette, successor to the Williamsport Sun and the Gazette & Bulletin, both daily newspapers of general circulation, published at 252 West Fourth Street Williamsport, Pennsylvania, being, duly sworn, deposes and says that the Williamsport Sun was established in 1870 and the Gazette & Bulletin was established in 1801, since which dates said successor, the Williamsport Sun-Gazette, has been regularly issued and pub lished in the County of Lycoming aforesaid, and that a copy of the printed notice is attached hereto exactly as the same was printed and published in the regular editions of said Williamsport Sun-Gazette on the following dates, viz: Affiant further deposes that he is an officer daily authorized by the Sun-Gazette Company, publisher of the Williamsport Sun-Gazette to verify the foregoing statement under oath and also declares that affiant is not interested in the subject matter of the aforesaid notice of publication! ' "VENflsYLVANlA'n',''0tions " the foregoing statement as to time, place and character of publication are true. PUBUC UTILITY COMMISSION NQUCE .. ; " Applications o<: Ameri can Utility Management, Inc. (d/b/a 'AUM-) For Approval'- .To' Olfer. Render, or. Furnish Ser SUN-GAZETTE COMPANY vices as a • Supplier, Aggregator, and' Marketer/ Sworn to subscribed before mS Broker 'Engaged' In. The Business , Or Supplying Natuml Gas -Supply Ser- the wcos and Electricity Sup- , ply or -'Eleclric Generation Services,. To-The Public • In The Commonwealth Of Pennsylvania. ' Notary Public The PUC may^conskJ- or this ^application without SHER'S RECEIPT FOR ADVERTISING COSTS a hearing. Protests' direct ed to the technical or THE SUN-G/ financial Illness of AUM hereby acknowledges receipt of the aforesaid advertising and pubJif aJiipn.cost^. --^ may be filed within. 15 and certifies t days of Ihe 'dale of this >een fully paid. notice with the Secretary of the PUC, P.O. 'Box RECEXVcD 3265,. 'Harrisburg,,. PA SUN-GAZETTE COMPANY 17105-3205: 'You-should send, copies ol 'any prd- lesl to AUM's attorney' al BY Bernard A. Oravec FEB 11 2014 the address listed below. By.and through Counsel:' PA PUBLIC UTILITV COMMISSION . ' Jeffrey Pelerson • AUM "' SECRETARY'S BUREAU COMMOJNWKALTH OF PENNSYL VANIA 1 County of Cambria ) SS On this 26th day of Dactuntwr A. I). PENNSYLVANIA PUBLIC UTILITY COMMISSION • '. 2013, imforfi mt:, tin: subscriber, a NOTICE ::*•-. AWfiry f'ubltc in tindfur said Applications" of AmeiicanJWlty-Jtawement,. inc Comity find SlttN;. personally m/a-^iim For, Approval To Offer; Bender, or Furnish Services as a Supplier, Aggregator, and ait/Hittrnd Mary A inn: liizzo, who Marketer/Brcker Erigaged ln The Business Of Supplying Natural-Gas Supply-Services'and.Electricity Supply,or btiing duly siuont (iccording to hitu, Electric Generation Servjces, To The'Public In The dc./ioso.s and says as lint ail Commonwealth Of Pennsylvania. . Aduartising Matntgar of the AUM-will, be.filing 'an ai^^n^^P^S^n 'irihuna-Outnocrat, Johnstown, I'A, Public'Utility Commission CPUC") lor a Jicense to provide natural gas supply services as ji.brokerAnariM^ir a nttwsjxtpur of general circ.nlation engaged in the business .of .providing' natufa gas sewices. AUM;will also be filing an apphcatjon wi h the as dvftnud by tin: "Newsimpur PUC for a license' to supply. electricity, .or.elertric Advertising Act". a nmrgar geheration.services'as a broker/marketer^engaged in t^e business of supplying electricity.-AUM proposes to sel Scptiunhuv 8,1952, of the. Juhnsloivn Sffiiy..nal ra1?gM. andjrelated services throughout U Tribtnni, astablislicd all of Pennsylvania under the .proyisions;-of tne'new Natural' Gas Choice and Competition Act and the Dtico.iniit'.r 7.}8r>H; and of tha Electricity Generation Customer Choice'and Competition Act. - Johnstown Dv.iiumrttt, uslahlistwd The PUC may consider this application, without a March 5, IflC.i, hearing, Protests directed'to'the'technical, or financial ,)' oj Cambria, and Common wealth of I'minsytvaiiia and ptllilisli (if! fitness of'AUM may.be.filad.withlri 15 days ol ttie date of t : mnltur publi.slmd in .•mid publictifion in fin: regular issitas ////// the n this notice "with the Secretary of the PUC; P.O. Box 3265, Harrisburg, PA 17105-3265. You should send ufThr. j\i copies of any protest to AUM's attorney at;the address on l)t'.ccnibi:r 18, iJDI.'i; and thaLLhsiAJ'fiant is nol . i; listed below. • _ lisi}tF\ind lhat all ofahc alltflftTtMins as to*tjin<:, place, oral tnI crustua * .'By and through Counsel: Jeffrey.Peterson'' t;h(i r Sworn ;uiil SnliscrilMnf luifort: mc lliis 2611! ilav ol' Uccr.mlHii'. 2i)l.l. l).DO I.,iin:s @ S'ZSA) |M-.r IIIH: 0.00 7.5 \nc,\it:s @ $25.00 |.<:r mt-At 187,50 Notury IMJC 5.0 Clcri.-.i.l Fin 2.50 Tolnl Cost 195.00 . COMMONWEALTH OF PENNSYLVANIA Notarial Seal Vivian Obs, Notary Public City of Johnstown, Cambria County To Tin: Trilxinc-DiMnocriil. J oIlllKloWll. PA My Commission Expires Dec 6 2016 I'"or |Mil)Iisliin<; lln: iii>ti(:<: or | inhlii^il ion :il L;H;III:II Iici clu on tin: iiliovi: sl;ih:il ilalcs. IMJlilJSMKirS JUCCIillT l-Olt ADVKKTlSlNi; COSTS for publisher of. ;i ncw'spiijici' ul ^ciiicrnl circulaliou, hiirnby acknowledges reeeipi ol lite al'nres.-iitl and iMiblicalioti eosls and cerlilies thai the same has been duly jninl. (Name of [Newspaper) iiy. RECEIVED FEB 11 2014 PA PUBLIC UTILITY COMMlSSlOKf SECRETARY'S BUREAU PROOF OF PUBLICATION In THE ERIE TIMES-NEWS COMBINATION EDITION Michelle Smurzynski American Utility Management, Inc. 333 East Butterfield Road 3rd Floor Lombard IL 60148 REFERENCE: 78133 44162 PUC Notice STATE OF PENNSYLVANIA) COUNTY OF ERIE)SS: Debra McGraw, being duly sworn, deposes and says that: (1) he/she is a designated agent of the Times Publishing Company (TPC) to execute Proofs of Publication on behalf of the TPC; (2) the TPC, whose principal place of business is at 205 W. 12th Street, Erie, Pennsylvania, owns and publishes the Erie Times-News, established October 2, 2000, a daily newspaper of general circulation, and published at Erie, Erie County Pennsylvania; (3) the subject notice or advertisement, a true and correct copy of which is attached, was published in the regular edition(s) of said newspaper on the date(s) referred to below. . PENNSYLVANIA PUBLIC UTILITY-COMMISSIOW UpJIp^- Affiant further deposes that he/she is duly Applications.of American Utility Management. lnc.:(d/b/a-"AUM") For Approval To Offer,-Render, or Furnish Services as a Supplier. Aggregator, and authorized by the TPC, owner and publisher of the .Marketer/Broker Engaged In The Business Ol'SiJpplyJng^Natura] Gas_Supply Services and Electricily Supply or Electric Generation Services. To The Public Erie Times-News, to verify the foregoing statement In The Commonweallti 01 Pennsylvania. " t . AUM1 will be filing an'application with the Pennsylvania'Put)lic.JUtility under oath, and affiant is not interested in the 'Commission ("PUC") lor a license to provide natural gas supply services as subject matter of the aforesaid notice or 'a broker/marketer, engaged in the business of providing natural gas services' AUM will also be filing:an application with the PUC for a license to supply advertisement, and that all allegations in the electricity or electric generation services as-a broker/marketer engaged, in foregoing statement as to time, place and the business'of supplying electricity. AUM proposes to sell, electricity,, ''natural gas. and'relatcd services thrpugtiout all of Pehnsylvanfasunder the .'provisions of; the'new Natural Gas Choice 'and Competition Acl and the character of publication are true. Electricity Generation Cuslomer Choice and Competition Act! * * The PUC, may consider this application "without a hearing. Protests idirecled to •the technical or financial fitness'of.AUM may befiled withfnls PUBLISHED ON: 12/20/13 'days' of the da'te:of this notice with Ihe Secretary ol iheiPUC'tRO. Box 3265; Harrisburg, PA 17105-3265.'You should send copies of any protest to AUM's attorney al Ihe address listed below. . •' By and through Counsel: Jeflrey. Peterson TOTAL COST: $409.00 AD SPACE: 0 Lines AUM PO Box 4957 Oak BrookjC 60522-4957' | 866-520-1245 % FILED ON: 12/20/13 888-493-9454 i Sworn to and subscribed before me this day ^2013 COMMONWEALTH OF PENHSYIVAMT* Affiant notarial Seal Laurene A. Daughetty, .'Jotary Public City of Erie. G:j-:- County Hy Commission Exp.'res Nov. 5, 2017 NOTARY; •EHBE*, PEXfttYLVAJUA ASSOCIAIIOK Of NOTARIES No. Term, Proof of Publication of Notice in Pittsburgh Post-Gazette Under Act No 587, Approved May 16, 1929, PL 1784, as last amended by Act No 409 of September 29, 1951 Commonwealth of Pennsylvania, County of Allegheny, ss C. Mohamcd t being duly sworn, dqioses and says that the Pittsburgh Post-Gazette, a newspaper of general circulation published in the City of Pittsburgh, County and Commonwealth aforesaid, was established in 1993 by the merging of the Pittsburgh Post-Gazette and Sun-Telegraph and The Pittsburgh Press and the Pittsburgh Post- Gazette and Sun-Telegraph was established in 1960 and the Pittsburgh Post-Gazette was established in 1927 by the merging of the Pittsburgh Gazette established in 1786 and the Pittsburgh Post, established in 1842, since which date the said Pittsburgh Post-Gazelle has been regularly issued in said County and that a copy of said printed notice or publication is attached hereto exactly as the same was printed and published in the regular editions and issues of the said Pittsburgh Post-Gazette a newspaper of general circulation on the following dates, viz: 20 of December, 2013 Affiant further deposes (hat he/she is an agent for the PG Publishing Company, a corporation and publisher of the Pittsburgh Post-Gazette, that, as such agent, affiant is duly authorized to verify the foregoing statement under oath, that affiant is not interested in the subject matter of the afore said notice or publication, and that all allegations in the foregoing statement as to time, place and character of publication are true. COPY OF NOTICE OR PUBLICATION PENNSYLVANIA PUBLIC UTILITY COMMISSION I'G I'liblisliitig Company NOTICE Swom to and subscribed before me this day of: Applications o ( Americrm utility Mmi- December 20, 2013 agomerit. Inc. (d/D/a "AUM") Fot Approval TO Otfer. Rendet. or Futnisli services as a Supplier, AygioHatoi. and Market er/Broker Engaged in Tlie Business of supplying N.nural Gas supply Ser vices "iiul Electricity COMMONWEALTH OF PENNSYLVANIA Sopuly or Electric Genet- -o atlon services, TO The Notarial Seal Public in The Common Linda M. Gaertner, Notary Public o wealth Of Pennsylvania. Qty of Pittsburgh, Allegheny County AUM will be Ming an applicalion with the My Commission Expires Jan. 31, 2015 Pennsylvania Public utili MRMWR "BNNSVLVANIA ASSOQATION OF NOTARIES ty Commission ("PUC") lor a license to provide natural gas supply ser vices as a broker/mar- keter erigaged in the business ol pfovidlng notmai gas servlcfis. AUM will also be filing an nuplication with the PUC lot a license to supply elecitlcity or electric genor,-nion services as a o b( oket /mar keier en STATEMENT OF ADVERTISING COSTS gaged in the business of American Utility Management, Inc supplying electricity. AUM pr oposes to sell 333 East Butterfield Rd, 3rd Flo electnclty. natmal gas. an d tela ted services attn: Michele Smurzynski throughout all ol Penn sylvania under the provi- Lombard IL 6014 8 smns nl the new Natural (ias choice and compe tition Act and ihe Elec tricity Generation Cus- rorner Choice and To PG Publishing Company Compeiiilon Act. The PUC may consid er ihis application with- our a hearing. Protests iiirected to the teclmical Total $540.00 or financial fitness of AUM may be filed within IS days of the date of this notice with the Sec- retary ol Ihe PUC, P.O. BOX 3265. Harrisburg, PA 17105-3365. You should Publisher^ Receipt for Advertising Costs send copies of any pro test ro AUM's attorney at PG PUBLISHING COMPANY, publisher of the Pittsburgh Post-Gazette, a newspaper tne address listed below. of general circulation, hereby acknowledges receipt of the aforsaid advertising and By and througfi Counsel: Jeffrey Peterson publication costs and certifies that the same have been fijlly paid. AUM PO Box 4957 Oak Brook. IL Office PG Publishing Company, a Corporation, Publisher of 60522-4957 866-520-124 5 34 Boulevard of the Allies Pittsburgh Post-Gazette, a Newspaper qf General Circulation 888-<193-94S4 PITTSBURGH, PA 15222 Phone412-263-1338 By I hereby certify that the foregoing is tlic original Proof of Publication and receipt for the Advertising costs in the subject matter of said notice. Atlomcy For energy ssaum management 2012 WINNER MHN2012 American Utility TECHNOLOGY Management (AUM) Category: Utility Management aum Founded in 1994, American Utility Management (AUM) is the premier energy service and utility management partner to the multifamily industry. We are the only company providing full service, turnkey Energy Management, Invoice Processing, and Resident Billing Services under one roof. AUM's -suilv ot SCH ICLS is .1 irompMc hulpj Mwnt'is ni.tiiii^tf lli^ir Ulilicies Energy Management energy .md ulilily m.in.»n<.''n'.'|'l •iijlulinn. mur»r«(fediwlv. AUM's <»hiliiy to -ib-nv fifYeciivr «:n*tf;v mjn.i^rnifnl rn:iiitc-s lc^^(im^, il.il.i >in CJndtfsf.mclinj; utiliiy usjyt: and tvptnai.' AUM Adv.mctd An.ilyttci di;livv(> (ht * AUM Invnire rrnresKing Strrvirtrs resulted in Ijfe Ice reductiom month li mici.il foi |» *.rimij-, *uJ(t t*nrlc*i * luitttitOlltl'/ Blir.rvl^o * Over the pj*! 12 inunlhi, AUM Vjf.ml Coil Rt-covety S^fVlcea Energy V *UMS 'iifiml Kft">'tli>H MPIailbla Una llami S!22%KO fur jusf onu- client c Ullily Budaitlnfl 4 Radilani Elilamarii Clai Itj/lli, 4 AUM Unetjiy Prt'irurcmr-nl Omit Vslldallon * Arra.ixManaaamanl •) dull l«Mlt rnia ( On Dam and Srrvkp.i; sjv^d chcnls up to EPA PnrlloUa Managa Lala Nalliai 30Mi un ene(>;V rjica 0BriMrrti Cw Crnltr Invalca Croc tn 30 jnpiBmtwi am:' | .Viiif-HMr-i-vgN^A^ One company. One platform. One focus. One team. The Power Of One. American Utility Management, Inc. 800.418.5393 I aum-lnc.com I blog.aum-inccom energy aum management Energy Procurement Services Procurement Strategy Services AUM will evaluate a Client's potential for reducing its expense by purchasing natural gas and/or electricity through a deregulated supplier. This is done by: • Preparing and executing a procurement and risk strategy with Client. • Submitting a Strategy for Client's approval within thirty (30) days of receipt of the existing consulting and supply contracts and past energy bills. Once Client approves the Strategy, AUM will commence soliciting and negotiating energy procurement contracts in accordance with the Strategy. • Reviewing competitive priced electric and natural gas commodity supply contracts in regions with active energy deregulation if such action will present potential savings to Client. • Soliciting quotes for commodity pricing from at least two pre-screened suppliers (if available). Suppliers will be pre-screened for financial stability, service reliability, contract terms, customer service records and market recognition. • Reviewing and evaluating the supplier pricing bids and discussing its recommendations with Client. Due to volatility of the commodity market, pricing of the winning bid will not always remain constant. • Negotiating the terms and pricing with the suppliers and presenting the final contract to Client for execution. • Once effective, AUM will manage the implementation of the rates. In the case of an existing energy procurement contract, AUM will review and evaluate its terms and present Client with AUM's findings and recommendations. • Upon termination of any existing energy procurement contract, AUM will negotiate a replacement or extension contract between Client and Supplier. • Pursuing extensions or amendments to existing energy commodity supply contract prior to their expiration, and any extensions or amendments to be submitted to Client's authorized agent for review and execution. AUM will manage all aspects of Client's energy commodity supply contracts (renewals, price solicitations, and bidding) on behalf of Client and monitor existing suppliers. One company. One platform. One focus. One team. The Power of One. American Utility Management, Inc. 800.418.5393 I aum-inc.com | blog.aum-lnc.com energy aum management AUM Energy Procurement Opportunities Deregulation Status by State (as of December 2010) ;x-.j. State Electricity Natural Gas State Electricity Natural Gas Alabama Nebraska ^ Limited Alaska Nevada 2{C Limited Arizona Limited New Hampshire 1 * Arkansas Limited New Jersey * California Suspended * New Mexico Colorado % Limited New York Connecticut North Carolina Delaware North Dakota Florida ^ Limited Ohio * Georgia Oklahoma Limited Oregon Limited Idaho Pennsylvania Illinois * Rhode Island Indiana South Carolina Iowa South Dakota Kansas ^ Limited Tennessee 2fC Limited Kentucky Limited Texas ^ Limited Louisiana Utah Maine * 2{C Limited Vermont Maryland Virginia Re-regulated Massachusetts Washington Michigan ^ Limited Washington DC Minnesota % Limited West Virginia Limited Mississippi % Limited Wisconsin ^ Limited Missouri % Limited Wyoming One company. One platform. One focus. One team. The Power of One. American Utility Management, Inc. 800.41S.5393 I aum-inc.com | blog.aum-inc.com energy ::aum management Continuous Service Agreement and Resident Referral Program AUM will evaluate a Client's potential for reducing its vacant expense by negotiating optimal Continuous Service Agreements (CSAs) and resident referral programs with a supplier in deregulated states. Not all states offer these opportunities, so please contact AUM to discuss your options! States that currently offer these include: Texas (Electric), Georgia (Natural Gas), NY (Electric), MI (Natural Gas), IL (Electric). Continuous Service Agreement (CSA) CSAs address the unique needs of Multi-Family property owners and managers by automatically transferring electric or natural gas service into the community's name once a resident has moved out. Resident Referral Program A Resident Referral Program pays the property owners and/or managers a fee each time a resident signs up with the preferred electric or gas supplier. AUM will help owners secure these fees, which can range from $15 to $45 per occurrence. Execution of CSA and Resident Referral Program Strategy • AUM reviews existing CSA and Referral Program terms and rates. • AUM Submits a strategy for Client's approval within thirty (30) days of receipt of the existing contracts. • Once Client approves the Strategy, AUM solicits suppliers for competitive contracts. Suppliers will be pre-screened for financial stability, service reliability, contract terms, customer service records and market recognition. • AUM then reviews the bids and discusses its recommendations with Client. Due to volatility of the commodity market, pricing of the winning bid will not always remain constant. ? AUM will negotiate the terms and pricing with the suppliers and present the final contract to Client for execution. • Once effective, AUM will manage the implementation of the CSA and Referral Program. • AUM ensures suppliers provide training and marketing materials to property teams about Referral Program. • AUM will manage all aspects of Client's CSA and Referral contracts (renewals, extensions, amendments, price solicitations, and bidding) on behalf of Client and monitor existing suppliers. One company. One platform. One focus. One team. The Power of One. American Utility Management, Inc. 800.418.5393 I aum-lnc.com I blog.aum-inccom energy aum management Interruptible Natural Gas Management In many large metropolitan areas, natural gas providers may provide rate incentives to dual-fuel heated facilities with available heating oil storage. These properties may be equipped to heat via natural gas or heating oil. These incentives are offered by the corresponding natural gas utilities in order to enable them to manage peak fuel usage during high demand periods and transfer capacity. As an example, in areas where weather extremes can cause very cold temperatures in the winter, a natural gas provider may offer a rate incentive for the dual-fuel property to go "off of the grid" and heat their building via heating fuel if the temperature falls below a certain point. This enables the provider to move natural gas to the smaller users and meet extra ordinary fuel demands. AUM provides guidance to dual-fuel property owners to help take advantage of the rate incentives that may be available for "interruptible natural gas" management. For property owner wishing to take advantage of such discounts: 1. AUM will negotiate on behalf of the property owners for the best possible rate incentive available. 2. Alert the property when the utility provider sends notification of a mandatory or optional "fuel switch" day. 3. Continuously monitor the market and advise you on which fuel you should be using based on market pricing to take advantage of all off-peak pricing available. To be considered for these incentives the property or facility must have dual-fuel capacity and a master heating account. If AUM is managing your commodity through its Procurement Services AND you have a master heating account, AUM is managing your interruptible natural gas supply contracts at no additional cost to you. One company. One platform. One focus. One team. The Power of One. American Utility Management, Inc. 800.418.5393 I aum-inc.com I blog.aum-inc.com VALLEY ENERGY 523 S. Keystone Avenue, RO. Box 340, Sayre, PA 18840 800/998-4427 • 570/888-9664 • FAX 570/888-6199 January 22, 2014 VIA EMAIL Ms. Michele Smurzynski, Corporate Paralegal American Utility Management, Inc. 333 East Butterfield Road, 3rd Floor Lombard, IL 60148 Dear Ms. Smurzynski: We understand that American Utility Management, Inc. has applied with the Pennsylvania Public Utility Commission to supply natural gas services to the public in Pennsylvania Including our company's service area. Because American Utility Management, Inc. intends to only provide natural gas aggregating, brokering and consulting services at this time, we have determined that American Utility Management, Inc. will not be required to post a bond or other form of financial security instrument to provide these services in our service area. However, if the services provided or failure to meet our requirements for credit worthiness changes in the future, we reserve the right to require security from American Utility Management, Inc. as deemed appropriate. If you have any questions, please contact Mrs. Marjorie Johnston at 570-888-9664. Sincerely, [/ Robert J. Crocker President & CEO RJC/ss cc: M. Johnston, Valley Energy Philadelphia Gas Works ^QfStiAB- Raymond M. Snyder - Vice President, Gas Management 800 W. Montgomery Avenue, Philadelphia, PA 19122 Telephone: (215)684^405 Fax: (215)684-6602 February 5, 2014 Ms. Michele Smurzynski American Utility Management, Inc. (AUM) 333 East Butterfield Road, 3rd Floor Lombard, IL 60148 Re: Security Requirement Bond for American Utility Management, Inc. (AUM) Dear Ms. Smurzynski: Philadelphia Gas Works ("PGW") is aware that American Utility Management, Inc. (AUM) has filed an application with the Pennsylvania Public Utility Commission to supply natural gas services to the public in Pennsylvania and specifically within the services territory of Philadelphia Gas Works. As you know, in making such an application, American Utility Management, Inc. (AUM) must furnish acceptable security to each utility where American Utility Management, Inc. (AU M) will do business. As such, under its tariff, Philadelphia Gas Works could require American Utility Management, Inc. (AUM) to provide a bond or other financial security instrument in an amount that Philadelphia Gas Works determines to be appropriate. However, you have indicated, and it is Philadelphia Gas Works' understanding, that American Utility Management, Inc. (AUM) intends only to provide natural gas aggregating, brokering and consulting services at this time. You have stated that, in performing these services, American Utility Management, Inc. (AUM), will never take title to any delivered natural gas. Based upon your representations, Philadelphia Gas Works has determined that, at this time, American Utility Management, Inc. (AUM) does not need to post a bond or other form of security to operate in its service territory. If the services provided by American Utility Management, Inc. (AUM) should change, Philadelphia Gas Works reserves the right to require security from American Utility Management, Inc. (AUM) as it deems appropriate. If you have any questions concerning the foregoing, please contact me at (215) 684-6405. Sincet Raymond M. Snyder Vice President Gas Management RMS:b CblumtfiSi Gas1 of Pennsylvania A NiSourco Company January 22,2014 Michele Smurzynski Corporate Paralegal American Utility Management, Inc. 333 East Butterfield Road, 3I'd Floor Lombard, IL 60148 Dear Ms. Smurzynski: We are pleased that American Utility Management, Inc. ("AUM") has applied for a license to provide Natural Gas Broker/Marketer Services on the distribution system of Columbia Gas of Pennsylvania, Inc. ("Columbia Gas1'). Under Paragraph 2.4.5 of the Rules Applicable to Distribution Service section of the Tariff of Columbia Gas, AUM could be required to provide to Columbia Gas a bond or other financial security instrument in an amount that Columbia Gas detennines to be appropriate. AUM has indicated only brokering and consulting services will be provided. Therefore, we have determined at this time that AUM does not need a bond or other financial security requirement to provide broker natural gas services to Columbia Gas customers. If the creditworthiness requirement or Columbia Gas' exposure to AUM changes in the future, Columbia Gas might deem it appropriate to require AUM to provide a bond or other financial security instrument. Please feci free to contact me at 614-460-6841 should you have any questions regarding a bond or other financial security instrument requirements of Columbia Gas. Sincerely, Michele Caddell Manager, Supplier Services An Exelon Company January 23rd, 2013 Michele Smurzynski American Utility Management, Inc d/b/a AUM 333 EButterfield Rd 3r5R Lombard IL 60148 Re: Bonding Requirements Dear Michele Smurzynski: PECO is aware American Utility Management, Inc d/b/a AUM has applied for a license to provide brokering and consulting services to commercial and industrial customers on the distribution system of PECO. In making such an application, American Utility Management, Inc d/b/a AUM could be required to provide to PECO a bond or other acceptable financial security in an amount that PECO determines to be appropriate. American Utility Management, Inc d/b/a AUM has indicated that it intends to provide only brokering and consulting services to commercial and industrial customers will not take title to any delivered natural gas; nor will accept any customer payments or deposits. Therefore, PECO has determined at this time that American Utility Management, Inc d/b/a AUM does not need a bond or other financial security requirement, since they are not directly engaging in business with PECO and only providing brokering or consulting services to PECO customers. However, if the services provided American Utility Management, Inc d/b/a AUM or the creditworthiness requirement for PECO's exposure to American Utility Management, Inc d/b/a AUM changes in the future, PECO reserves the rightt o require American Utility Management, Inc d/b/a AUM to provide a bond or other financial security instrument. If you should have any questions regarding this matter, please contact Chris Sauerbaum at 215- 841 -6422 or myself at 215-841 -6452. Respectfully submitted, Carlos P. Thillet Manager, Gas Supply and Transportation 2301 Market St S9-1 Philadelphia, Pa 19103 UGlUtiliiiss.lnc. 2525 North I2ih Sweet urmnss, INC. Suite360 Post Office Box 12677 fleatiing, FA 19612-267? (fi10)79S-34GI3Te!eplione January 27, 2014 Michele Smurzynski American Utility Management, Inc. 333 Bast Butterfield Road, 3rd Floor Dallas, TX 75207 RB: American Utility Management's Pennsylvania application to serve as a natural gas broker Dear Ms Smurzynski, Based on your assertion that American Utility Management, is applying with the State of Pennsylvania to operate as a natural gas broker, UGI Utilities Inc. ("UGIU") has concluded that American Utility Management will not need to post security with UGI- Centrai Penn Gas ("CPG"), UGI-Pcnn Natural Gas ("PNG") or UGI Utilities Gas Division ("UGI"). This is based on your declaration that American Utility Management will not be taking title to gas or directly serving end use customers. This conclusion is also contingent on the requirement that American Utility Management will be acting in conjunction with a licensed Natural Gas Supplier who has been approved by the Pennsylvania Public Utility Commission to serve in the applicable UGIU service territories and who has posted the required financialsecurit y as specified in the respective UGI tariffs. If American Utility Management wishes to directly serve Choice customers in the service territories of UGI, PNG and/or CPG in the future as a naiural gas supplier, it will have to post security as specified in the respective UGI tariffs prior to the commencement of the service. Please feel free to contact mc with any additional questions that you may have. David E. Lahoff Manager, Rates UGI Utilities, Inc. 37G N. Shore Drive. Suite 600 )£ PEOPLliSNATURALGAS' Pl-OFLHSTWP Pitlslmrgh, PA 15212 Lynda W. Potrichevicli Manager, Ralos and Rogulatoiy Affairs Peoples Servico Coni|jany LLC Phono: 412-208-G528; Pax: 412-208-6577 Email: lpetriclicvich@pcoples-t)Eis.com J Michele Smurzynski Corporate Paralegal American Utility Management, Joe. 333 Past Butterfield Road, 3r(I Floor Lombard, Illinois 60148 Dear Ms. Smurzynski: This letter serves as notification that Peoples Natural Gas Company does not require American UtiJily Management, Inc. to provide a security or credit enhancement. Our decision is based on the fact that your company is not currently operating, and has no immediate plans to operate, a Non-Priority One Pool or a Priority One Pool on the Peoples Natural Gas system. However, if in the future your company desires to establish a Non-Priority One Pool or a Priority One Pool on the Peoples Natural Gas Company system, it may be required to establish a security or credit enhancement based on the terms set forth under Paragraphs 6 and 7 of the Rules and Regulations of The Peoples Natural Gas Company Supplier Tariff. If you have any questions feel free to contact me at 412-208-6528 or by email at [email protected]. Sincerely, lynda W. Petrichevich Manager, Rates and Kegulatory Affairs Peoples Natural Gas Company LLC Cc: Steven Kolich Carol Miller CUSTOM l-R SAi'liTY TRUST COMMUNITY COMMITMEN' 375 N, Shore Drive, Suite 600 X PEOPLES NATURAL GAS" PliOPLESTWP Pittsburgh, PA 15212 Lynda W. Petrichevich Manager. Rates and Regulatory Affairs Peoples Service Company LLC Phone; 412-200-0528; Fax: 412-200-6577 Email: l|)[email protected] January 24, 2014 Michele Smurzynski Corporate Paralegal American Utility Management, Inc. 333 (last Butterfield Road, 3rd Floor- Lombard, Illinois 60148 Dear Ms. Smurzynski: This letter serves as notification that Peoples TWP LLC does not require American Utility Management, Inc. to provide a security or credit enhancement at this time. Our decision is based on the fact that your company is not currently operating, and has no immediate plans to operate, a Non-Priority One Pool or a Priority One Pool on the Peoples TWP system. However, if in the future your company desires to establish a Non-Priority One Pool or a Priority One Pool on the PeopJes TWP system, it may be required to establish a security or credit enhancement based on the terms set forth under Paragraphs 19 and 20 of the Rules and Regulations of the Peoples TWP Tariff. If you have any questions feel free to contact me at 4.12-208-6S28 or by email at [email protected]. Sincerely, Lynda W. Petr ichevich Manager, Rates and Regulatory Affairs Peoples TWP LLC Cc: Steven Kolich Carol Miller CUSTOMER SAFIiTY TRUST COMMUNITY COMMITMI-N' 375 N. Shore Drive, Suite 600 y PEOriliS NATURALGAS" X PliOPLliSTWP Pillsburcjh, PA 15212 Lynda W. Potiichovich Manager, Rates and Regulaloiy Affairs PooploG Sorvico Company LLC Phone: 412-208-0520; Fax: 412-208-6577 Email: [email protected]) January 7A, 2011 Michele Smurzynski Corporate Paralegal American Utility Management, Inc. 333 Fast Butterfield fioad, 3rd Floor Lombard, Illinois 60148 Dear Ms. Smurzynski: We are pleased that American Utility Management, Inc. has applied for a license to provide natural gas broker/marketer services on the distribution system of Peoples Natural Gas LLC - fiquitablc Division ("Fquitable Division" or "the Company"). American Utility Management, Inc. has indicated only brokering and consulting services will be provided. Therefore, we have determined at this time that American Utility Management, Inc. does not need a bond or other financial security requirement to provide these services to Equitable Division's customers. If the creditworthiness requirement or Equitable Division's exposure to American Utility Management, Inc. changes in the future, the Company may deem it appropriate to require American Utility Management, Inc. to provide a bond or other financial instrument. If you have any questions feel free to contact me at 412-208-6.r)28 or by email at [email protected]. Si rice rely Lynda W. Petrichevich Manager, Kates and Regulatory Affairs Peoples Natural Gas Company LLC - Equitable Division Cc: Steven Kolich Carol Miller CUSTOM fiH SAFIiTY TRUST COMMUNITY COM MITM EN' national Fuel January 29; 2014 Attention: Michele Smurzynski American Utility Management, Inc. 333 East Butterfield Road, 3rd Floor Lombard, Illinois 60148 Re: Security Requirement for American Utility Management, Inc: Dear Michele, National Fuel Gas Distribution Corporation ("NFGDC) is aware American Utility Management, Inc ("AUM") has filed an applicalion with the Pennsylvania Public Utility Commission to supply natural gas services lo the public in Pennsylvania and specifically within the service territory of NFGDC. As you know, in making such an application, AUM must furnish acceptable security to each utility where AUM will do business. As such, under its lariff, NFGDC could require AUM to provide a bond or other financial security instrument in an amount that NFGDC determines to be appropriate. However, you have indicated, and it is NFGDC's understanding thai AUM intends only to provide natural gas aggregating, brokering and consulting services al this lime. You have stated that, in performing these services, AUM will never lake title to any delivered natural gas. Based upon your representations, NFGDC has determined that, at this lime, AUM does not need to post a bond or other form of security to operate in its service territory. However, if the services provided by AUM change in Ihe future, NFGDC reserves the right to require security from AUM as it deems appropriate. If you have any questions concerning the foregoing, please contact me at 716-857-7599. s trAily, (XX Nathan E. Barnes Transportation Services Department Page I of2 From: (630) 218-1400 Origin ID: ENU f^H^ Ship Date: 11FEB14 ActWgt: 5.0 LB Jeff Peterson Express AUM CAD: 101483855/INET3490 333 E. Buttetfield Rd 3rd Floor Delivery Address Bar Code Lombard, IL 60148 JH1013)22?0326 SHIP TO: (717) 783-5242 BILL SENDER Ref# Secretary of the Commission Invoice § PO# Dept# Keystone Building, 400 North Street 2nd Floor, Room N201 HARRISBURG, PA 17120 WED-12 FEB AA STANDARD OVERNIGHT TRKtf 7978 8314 4470 0201 17120 PA-US XH MDTA MDT 522GI«62Fff22: 0 After printing this label. 1. Use the 'Print' button on this page to print your label to your laser or Inkjet printer. 2. Fold the printed page along the horizontal line. 3. Place label in shipping pouch and affix it to your shipment so that the barcode portion of the label can be read and scanned. Warning: Use only the printed original label for shipping. Using a photocopy of this label for shipping purposes is fraudulent and could result in additional billing charges, along with the cancellation ofyour FedEx account number. Use of this system constitutes your agreement to the service conditions in the current FedEx Service Guide, available on fedex.com.FedEx will not be responsible for any claim in excess of $100 per package, whether the result of loss, damage, delay, non delivery, misdelivery.or misinformation, unless you declare a higher value, pay an additional charge, document your actual loss and file a timely claim.Limitations found in the current FedEx Service Guide apply. Your right to recover from FedEx for any loss, including intrinsic value of the package, loss of sales, income interest, profit, attorney's fees, costs, and other forms of damage whether direct, incidental,consequential, or special is limited to the greater of $100 or the authorized declared value. Recovery cannot exceed actual documented loss.Maximum for items of extraordinary value is $1,000, e.g. jewelry, precious metals, negotiable instruments and other items listed in our ServiceGuide. Written claims must be filed within strict time limits, see current FedEx Service Guide. https://www.fedex.eom/shipping/html/en//PrintIFrame.html 2/11/2014