2003 UTILITY SYMPOSIUM

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1 We acknowledge the generous support of the following FRI contributors: Ameren Corporation Aquila, Incorporated Chariton Valley Telephone Co. City Utilities Springfield, MO Empire District Electric Company Fidelity Communication Group Kansas City Power and Light Co. NE MO Rural Telephone Co. Sprint Kansas Sprint Missouri 2003 UTILITY SYMPOSIUM Utility Finances and Restructuring: Where Are We Now? SPONSORED BY Financial Research Institute 404 Cornell Hall College of Business University of Missouri - Columbia October 30, 2003

2 The Financial Research Institute was established in 1988 within the college of Business at the University of Missouri to promote education, research and service across various areas of finance. Supported by private contributions, the FRI seeks to increase public understanding of the many business challenges that modern corporations must address. Presently the FRI operates only the Public Utilities Division which focuses on regulatory issues facing state regulated public utilities. In the future, the FRI intends to launch divisions in other areas of finance. As part of its activities, the FRI sponsors an annual public utilities symposium which brings regulators, students, corporate managers and other academics to campus to discuss current issues facing regulated industries. Under the leadership of Dr. Steve Ferris, Director, the FRI will seek to establish linkages with other MU research centers and with other academic public utility centers around the country. Dr. Ferris is joined by Dr. Sandra Klein, Assistant Director, in advancing an ambitious agenda of growth for the FRI.

3 Keynote Speaker "On Pendulums, Circles, and Spirals" Dr. Douglas N. Jones The Ohio State University and Director Emeritus, National Regulatory Research Institute Luncheon Speaker Do We Really Want Deregulation? Commissioner Jim Burg Commissioner, South Dakota PUC and Chairman, NARUC Committee on Electricity Dr. Doug Jones is Professor of Regulatory Economics in the School of Public Policy and Management at The Ohio State University where he has been a member of the faculty since He is an internationally prominent scholar in the areas of regulatory economics, public finance, and regional development. His research has been published in various professional and trade journals, proceedings, and congressional committee prints. After earning his Ph.D. in economics from Ohio State in 1960, he was an associate professor of economics at the United States Air Force Academy. Professor Jones has also served as Chief Economist and Research Director on the President s Committee for Developing Alaska, Special Assistant to the Secretary of Commerce for Regional Economic Development, Economist and Legislative Assistant to U.S. Senator Mike Gravel, and Assistant Director of the Economics Division of the Congressional Research Service. Jim Burg was first elected to the South Dakota Public Utilities Commission in 1986, and was elected Chairman in 1989 and again in He is currently the chairman of the National Association of Regulatory Utility Commissioners (NARUC) Committee on Electricity, and is a member of the Administration Subcommittee and the Board of Directors as well as Chairman of Washington Action. He is immediate past President of the Mid-American Regulatory Commissioners (MARC). Jim currently serves on the Advisory Board of the Electric Power Research Institute (EPRI). Commissioner Burg served in the South Dakota House of Representatives from 1975 to 1984 and the State Senate during the term. He served in the South Dakota National Guard from 1963 until 1990 when he retired with the rank of Lt. Colonel. Jim holds a degree from South Dakota State University. Professor Jones served as the Director of the National Regulatory Research Institute from 1978 to Jim and his wife, Bernice, raised five children on their family farm just east of Wessington Springs, South Dakota.

4 Program of Events Utility Financing and Restructuring: Where Are We Now? Reynolds Alumni Center Welcome 9:30 Columns Ballroom Dr. Stephen Ferris Director, FRI Keynote Address 9:45 On Pendulums, Circles, and Spirals Dr. Douglas Jones Professor, The Ohio State University and Director Emeritus, National Regulatory Research Inst. Morning Panel Discussion 10:15 Commissioner Jim Burg, Moderator South Dakota Public Utilities Commission Mr. Warner Baxter, Ameren Corporation Mr. Chris B. Giles, KC Power and Light Co. Mr. Bill Gipson, Empire District Electric Co. Mr. Michael Heim, A.G. Edwards Mr. Brian M. Youngberg, Edward Jones Luncheon 12:00 Great Room Luncheon Address: Do We Really Want Deregulation? Commissioner Jim Burg South Dakota Public Utilities Commission and Chair, NARUC Committee on Electricity Afternoon Panel Discussion 1:45 Columns Ballroom Dr. Douglas Jones, Moderator Professor, The Ohio State University Commissioner Randy Bynum, Arkansas Commissioner Jeff Cloud, Oklahoma Commissioner Brian Moline, Kansas Commissioner Kelvin Simmons, Missouri Closing Comments 3:15 Dr. Stephen P. Ferris Director, FRI Reception 3:30 Great Room

5 Morning Panelists Panel Moderator: Commissioner Jim Burg Mr. Warner Baxter Ameren Corporation Mr. Baxter joined Union Electric in August 1995 as assistant controller after serving as senior manager in Price Waterhouse's national office in New York City. He worked in that office's Accounting and SEC Services Department, assisting in formulating firm-wide accounting positions, including those related to the public utilities industry. For ten years, Mr. Baxter had worked in the Accounting and Auditing Services Department of the firm's St. Louis office, where he provided auditing and consulting services to clients in a variety of industries. Mr. Baxter was also a member of Price Waterhouse's National Public Utilities Industry Services Group. He was named controller of the Union Electric Company in Following the 1997 merger of Union Electric and CIPSCO Incorporated, he served as vice president and controller of Ameren Corporation and Ameren Services. He was named Senior Vice President Finance in Mr. Chris Giles Kansas City Power & Light Chris Giles began his career with Kansas City Power & Light in 1975 in the Rates and Contracts Department. He held various positions in the regulatory area until From 1988 through 1993 he was the Director of Marketing. In 1994 he returned to Regulatory and is now the responsible for Regulatory and Business Planning as the Senior Director of Regulatory and Resource Management He has served on the Kansas Legislative Task Force on Retail Wheeling and on the Missouri Public Service Commission Task Force on Retail Competition. Giles testifies frequently regarding utility issues and policies before both the Missouri and Kansas legislatures and the Missouri and Kansas Public Service Commissions. He received a B.A. in Economics and an MBA from the University of Missouri Kansas City. Mr. William Gipson Empire District Electric Company William L. Gipson joined The Empire District Electric Company in March 1981 in the Information Technology area and was promoted to the Manager of Economic Development in In October 1995 he was promoted to Director of Commercial Operations and in February 1997 was named General Manager of Commercial Operations. He was elected Vice President Commercial Operations in April 1997, Executive Vice President in February 2001, and Chief Operating Officer in October He became President and Chief Executive Officer of the Company in May Gipson is a board member of the Missouri Chamber of Commerce and is a member of the School of Business Advisory Council at Missouri Southern State University. He also serves as Chairman of the Missouri Energy Development Association. A native of Jasper County, Missouri, Gipson graduated from Missouri southern State University with a Bachelors Degree in Management Technology.

6 Mr. Michael Heim A.G. Edwards Michael Heim came to A.G. Edwards as a Vice President in He covers the natural gas industry, including gas transmission and distribution utilities. Heim has been selected for the Wall Street Journal Best on the Street Survey in 1998, 2001, and A.G. Edwards has been selected as best stock pickers of gas utilities in a 2003 poll of institutional investors by Greenwich Associates. Heim is a Chartered Financial Analyst and he holds an M.B.A. from Washington University in St. Louis and a B.A. from Carleton College in Minnesota. Mr. Brian Youngberg Edward Jones Brian Youngberg is a senior utilities analyst for Edward Jones. He has worked with companies in the electric and gas sector for several years, performing equity research, assigning credit ratings and providing corporate banking services. Prior to joining Edward Jones in mid-2000, Youngberg was a vice president with Duff & Phelps Credit Rating Co. in Chicago, where he worked in the Global Power Group. Before joining Duff & Phelps in 1996, he was a corporate banking officer with two major banks, where he called on Fortune 500 firms across the Midwest. At Edward Jones, he earned the Wall Street Journal s Best on the Street honors for 2001 and 2002, ranking No. 1 in the utilities sector in Youngberg, a Chartered Financial Analyst, is a graduate of the University of Nebraska and has an M.B.A. from Washington University in St. Louis. Afternoon Panelists Panel Moderator: Dr. Douglas Jones Commissioner Randy Bynum Arkansas Public Service Commission Commissioner Bynum joined the Arkansas Public Service Commission in 2003, with a term that will expire in Randy has been in private law practice in Washington D.C. and Little Rock, Arkansas since During the period from 1985 to 2000, Randy served as president of Bynum Furniture Group, Inc. He received a law degree with high honors from the George Washington University in 1989 and a bachelor s degree with honors in 1982 from the University of Arkansas. Commissioner Bynum is licensed to practice law in Arkansas and the District of Columbia and holds a Certified Public Accountant certificate (inactive) in Arkansas. Randy currently resides in Little Rock, Arkansas with his wife Anne and three children. Commissioner Jeff Cloud Oklahoma Corporation Commission Jeff Cloud was elected to the Oklahoma Corporation Commission in November Cloud worked as a petroleum land man before being hired by Henry Bellmon to be his personal assistant during

7 Cloud continued Bellmon s successful 1986 run for governor. Cloud also served in the Bellmon administration until Cloud then worked for Congressman Mickey Edwards before joining the General Counsel s staff at the Oklahoma Corp. Commission. J.C. Watts, who was a Corporation Commissioner at that time, tapped Cloud to be his top aide. After Watts election to Congress in 1994, Cloud served as Congressman Watts District Director and managed his successful reelection campaign in In 1998, Cloud went to Oklahoma City Mayor Kirk Humphreys office to serve as the Mayor s chief of staff. Commissioner Cloud holds a degree in Petroleum Land Management from the University of Oklahoma and a law degree from Oklahoma City University. He resides in Oklahoma City with his wife and three children. Commissioner Brian Moline Kansas Corporation Commission Brian J. Moline was appointed to the Kansas Corporation Commission (KCC) in 1998 by Governor Bill Graves. He was elected Chair by the three-member Commission in May Commissioner Moline is currently serving a four-year term which expires in March Mr. Moline served as General Counsel to the KCC from 1979 to 1985 and from 1991 to He has also been General Counsel to the Kansas Insurance Commissioner and the National Association of Insurance Commissioners. Throughout his career, he has alternated between state government service and Kansas Legal Services, the statewide public interest law firm he co-founded in Commissioner Kelvin Simmons Missouri Public Service Commission Governor Mel Carnahan appointed Commissioner Kelvin L. Simmons to the Missouri Public Service Commission in May In July of the next year, he was named chairman of the PSC, where his term will expire in Prior to his appointment to the PSC, Simmons was elected in 1997 and 1999 to serve as a member of the Kansas City Council. He represented more than 72,000 constituents in Kansas City s 5th Council District. Commissioner Simmons also worked as a senior staff member to the late Governor Mel Carnahan, serving as the Director for Constituent Services from 1993 until In addition, Commissioner Simmons was the State Director for Equal Employment Opportunity in the Office of Administration. Chairman Simmons also serves as Secretary of the Missouri Universal Service Board and is a member of the National Association of Regulatory Commissioners (NARUC) where he currently serves on the Electricity Committee. Simmons also serves on the NARUC committee for International Relations. Mr. Simmons has degrees in Communications and Interdisciplinary Studies from University of Missouri-Columbia and an Executive Masters in Business Administration from the University of Missouri- Kansas City. Mr. Moline holds a Bachelor of Arts from Wichita State University, a Juris Doctor from Washburn University, and a Masters in Public Administration from the University of Kansas. He is an Adjunct Professor at Kansas University and Washburn Law School.

8 THE FINANCIAL RESEARCH INSTITUTE ADVISORY BOARD The FRI Advisory Board was established in 1988 simultaneously with the creation of the Financial Research Institute. The board consists of regulators and industry executives who provide assistance and professional advice to the FRI. The board supports the Mission of the FRI to increase public understanding of the challenges and issues facing regulated industry. MEMBERS Jeff Cloud Oklahoma Corporation Commission Barry Cooper Laclede Gas Company Jon Empson Aquila, Inc. William L. Gipson Empire District Electric Co. Richard Lawson Sprint Kansas & Missouri Kenneth McClure City Utilities of Springfield Robert Mill Ameren Services Company Tim Rush Kansas City Power & Light Kelvin L. Simmons MO Public Service Commission Craig Unruh Southwestern Bell Telephone-MO John Wine Kansas Corporation Commission

9 FRI STAFF Dr. Steve Ferris, Professor of Finance and James Harvey Rogers Chair of Money, Credit and Banking, was appointed by the Dean of the College of Business as the Director of the FRI in December, Dr. Ferris first arrived at the University of Missouri in 1993 to assume the position of chairman of the Department of Finance. Previous to his appointment at MU, he was a member of the finance faculty at Virginia Tech. Steve has also held visiting appointments at Duquesne University, the University of Memphis and the University of Pittsburgh. Dr. Ferris received his undergraduate degree from Duquesne University and his M.B.A. and Ph. D. from the University of Pittsburgh. Steve is also a Commander in the U.S. Navy Reserve. Dr. Sandra Klein is Assistant Director of the Financial Research Institute as well as Visiting Assistant Professor in the University of Missouri s Department of Economics. Previously, she has taught economics and finance at the University of Georgia, the Copenhagen Business School, and Auburn University. Klein holds a Ph.D. in economics from Auburn University and has published in several academic journals. Her research focuses on corporate structure and performance. Mrs. Charlotte Butler, Financial Research Institute Administrative Assistant, holds a B.S. in education from Southwest Missouri State University. Charlotte is a native Missourian but has lived throughout the state and the U.S. She moved to Columbia in Sept She has had the opportunity to work in a variety of settings as she has followed her husband s career for more than thirty years. Charlotte s favorite position was in preschool education in Maryland for six years. She brings many years experience in office administration to the FRI. Faculty of the Department of Finance Dr. Michael P. Dorigan Dr. Stephen P. Ferris Dr. Dan W. French Dr. John S. Howe Dr. Cynthia G. McDonald Dr. John J. Stansfield Dr. David A. West Dr. H. Douglas Witte Dr. Sterling Yan

10 Notes

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