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AMENDED ATTACHMENT A1FORMAL CUSTOMER COMPLAINTS FOR PUBLIC POWER, LLC AND VIRIDIANENERGYPlease note that in fall 2012, a change occurred to Applicant's corporate organizationalstructure. On September 18, 2012, Regional Energy Holdings, Inc. ("REH"), and PublicPower LLC ("Public Power") combined to form Crius Energy LLC ("Crius"). Crius wasformed to effectuate a combination through an exchange of stock and membership unitsof the two companies. As a result of the exchange transaction, Crus Energy becamethe owner of the majority interest in REH and a majority interest in Public Power. REH'ssubsidiaries and Public Power and its subsidiaries are licensed as electricity and gassuppliers in several states. Applicant's affiliates now include: Public Power LLC, aConnecticut limited liability company; Public Power LLC, a Pennsylvania limited liabilitycompany; Public Power & Utility of New Jersey LLC; Public Power & Utility of MarylandLLC; Viridian Network LLC; Viridian Energy LLC; Viridian Energy NY LLC; CincinnatiBell Energy LLC; FairPoint Energy LLC and FTR Energy Services, LLC. A copy ofApplicant's corporate organizational chart is provided in Attachment B.On November 13, 2013 there was an initial public offering ("IPO") in which units of CriusEnergy Trust, (a Canadian Trust) were sold to the public on the Toronto StockExchange. The IPO raised funds for the acquisition of 26.8 percent of the ownershipinterests in Crius Energy LLC.The Crius Energy officers are from the REH management team. Michael Fallquist is theCEO. Roop Bhullar, CFO, Cami Boehme, SVP of Marketing and Brand Strategy, MikeChester, VP of Operations and Jan Fox, SVP and General Counsel report to MichaelFallquist. Public Power employees did not officially come under Crius managementuntil January 1, 2013.The actions represented in Attachment A 1 below were commenced before Public Powerofficially came under Crius Energy management.
AMENDED ATTACHMENT A1FORMAL CUSTOMER COMPLAINTS FOR PUBLIC POWER AND VIRIDIANENERGYtoComplaintwas laint
AMENDED ATTACHMENT A2LITIGATION FOR PUBLIC POWER AND VIRIDIAN ENERGYPlease not that in fall 2012, a change occurred to Applicant's corporate organizationalstructure. On September 18, 2012, Regional Energy Holdings, Inc. ("REH"), and PublicPower LLC ("Public Power") combined to form Crius Energy LLC ("Crius"). Crius wasformed to effectuate a combination through an exchange of stock and membership unitsof the two companies. As a result of the exchange transaction, Crus Energy becamethe owner of the majority interest in REH and a majority interest in Public Power. REH'ssubsidiaries and Public Power and its subsidiaries are licensed as electricity and gassuppliers in several states. Applicant's affiliates now include: Public Power LLC, aConnecticut limited liability company; Public Power LLC, a Pennsylvania limited liabilitycompany; Public Power & Utility of New Jersey LLC; Public Power & Utility of MarylandLLC; Viridian Network LLC; Viridian Energy LLC; Viridian Energy NY LLC; CincinnatiBell Energy LLC; FairPoint Energy LLC and FTR Energy Services, LLC. A copy ofApplicant's corporate organizational chart is provided in Attachment B.On November 13, 2013 there was an initial public offering ("IPO") in which units of CriusEnergy Trust, (a Canadian Trust) were sold to the public on the Toronto StockExchange. The IPO raised funds for the acquisition of 26.8 percent of the ownershipinterests in Crius Energy LLC.The Crius Energy officers are from the REH management team. Michael Fallquist is theCEO. Roop Bhullar, CFO, Cami Boehme, SVP of Marketing and Brand Strategy, MikeChester, VP of Operations and Jan Fox, SVP and General Counsel report to MichaelFallquist.The actions represented in Amended Attachment A2 below were commenced beforethe combination between REH and Public Power took place, when Public Power haddifferent management.DATECOMMENCEDACTIONJURISDICTIONSUBJECT MATTERSTATUS
**These matters were not acquired in the combination of the companies to form CriusEnergy and remained with the Public Power, LLC shareholders. For further informationon the combination of companies please refer back to Paragraph 2.
AMENDED ATTACHMENT A3NUMBER OF CUSTOMERS COMPARED TO THE TOTAL NUMBER OF PENDINGFORMAL COMPLAINTS FOR VIRIDIAN ENERGY PA, LLCMonthViridianPA LLC FormalNumber of Pending FormalComTotal Number of 5128721128762131921
AMENDED ATTACHMENT A4NUMBER OF CUSTOMERS COMPARED TO THE TOTAL NUMBER OF PENDINGFORMAL COMPLAINTS FOR PUBLIC POWER, LLCMonthPublic Power LLC FormalNumber of Pending FormalComTotal Number of 222173958Oct-12178827Nov-12187729Oec-12197925Jan - 13201962Feb-13201620Mar-13N/A- cumid-month
AMENDED ATTACHMENT A5NUMBER OF ILLINOIS CUSTOMERS COMPARED TO THE TOTAL NUMBER OFPENDING INFORMAL COMPLAINTS FOR VIRIDIAN ENERGY PA, LLCViridianPA LLC Informal ComNumber of Pending InformalTotal Number of IL Customers
AMENDED ATTACHMENT ASINFORMAL CUSTOMER COMPLAINTS FOR VIRIDIAN ENERGY PA, CViridianEneICCViridianICCNature ofResolution
CC
ViridianICCViridianICCViridianEneICC
AMENDED ATTACHMENT A7NUMBER OF ILLINOIS CUSTOMERS COMPARED TO THE TOTAL NUMBER OFPENDING INFORMAL COMPLAINTS FOR PUBLIC POWER, LLCPlease note that Public Power and Viridian became affiliates on September 18, 2012.Prior to that time, different company management was in place. Refer back toParagraph 2 for further detail. On January 1, 2013 Public Power employees becameCrius Energy employees. Please note that Public Power ceased marketing operations inIllinois on December 2Jan - 13Feb-13Public Power LLC Informal ComplaintsNumber of ""v", ,lal ComplaintsTotal Number of ILReceived each MonthCustomersIII:: 59110051808683414064227132779426960** Public Power, LLC stopped marketing in IL on 12/31/2012.At the time of the original application filing the company relied on a former Public Poweremployee who is no longer with the Company to provide information on all informalcustomer complaints. This employee handled these matters for Public Power, LLC priorto the combination of the companies. The information above was inadvertently notprovided. After a diligent search of the Public Power files we have been unable tolocate full files for all of the Public Power, LLC informal complaints. Additionally, theemployee did not maintain files that included the dates that each informal complaint wasclosed with the Commission; therefore, we are unable to provide accurate numbers forthe number of complaints pending in IL per month for Public Power. However, we haveprovided the total number of informal complaints received each month in IL incomparison to the total number of customers in IL that Public Power, LLC had. Pleasesee the chart below for a description and resolution of each complaint.
AMENDED ATTACHMENT ASINFORMAL CUSTOMER COMPLAINTS FORPUBLIC POWER, LLCPlease note that Public Power and Viridian became affiliates on September 18,2012.Prior to that time, different company management was in place. On January 1, 2013Public Power employees became Crius Energy employees. Please note that PublicPower ceased marketing operations in Illinois on December 31,2012.AffiliateJurisdiction1PublicPower LLCICC2PublicPower LLCICC3PublicPower LLCICC4PublicPower LLCICC5PublicPower LLCICC6PublicPower LLCICCNature ofResolution
7PublicPower LLCICC8PublicPower LLCICC9PublicPower LLCICC10PublicPower LLCICC11PublicPower LLCICC12PublicPower LLCICC13PublicPowe r LLCICC14PublicPower LLCICC15PublicPower LLCICC16PublicPower LLCICC
17PublicPower LLCICC18PublicPower LLCICC19PublicPower LLCICC20PublicPower LLCICC21PublicPower LLCICC22PublicPower LLCICC23PublicPower LLCICC24PublicPower LLCICC2SPublicPower LLCICC26PublicPower LLCICC27PublicPower LLCICC
Public28Power LLC29Power LLCICCPublicICCPublic30Power LLCICCPublic31Power LLC32Power LLC33Power LLCICCPublicICCPublicICCPublic34Power LLC35Power LLCICCPublicBBB
Public36Power LLC37ICCICCPublic38Power LLC39Power LLC40Power LLC41Power LLCICCPublicICCPublicICCPublicICC
Public42Power LLCICCPublic43Power LLC44Power LLC45Power LLC46Power LLC47Power LLC48Power LLC49Power LLC50Power CPublicICCPublicICCPublic51Power LLCICC
52PublicPower LLCICC53PublicPower LLCICC54PublicPower LLCICC55PublicPower LLCICC56PublicPower LLCICC57PublicPower LLCICC58PublicPower LLCICC59PublicPower LLCICC
Public60Power LLCICCPublic61Power LLC62Power LLC63Power LLC64Power LLC65Power Power LLCICC
Public67Power LLCICCPublic68Power LLC69Power LLCICCPublicICCPublic70Power LLC71Power LLC72Power LLC73Power LLCICCPublicICCPublicICCPublicICC
74PublicPower LLCICC75PublicPower LLCICC76PublicPower LLCICC77PublicPower LLCICC78PublicPower LLCICC79PublicPower LLCICC80PublicPower LLCICC
Public81Power LLC82Power LLCICCPublicICCPublic83Power LLC84Power LLC85Power LLC86Power LLCICCPublicICCPublicICCPublicICCPublic87Power LLCICCPublic88Power LLCICC
89PublicPower llCICC90PublicPower llCICC91PublicPower llCICC92PublicPower llCICC93PublicPower llCIllinois AttorneyI94PublicPower llCBBB95PublicPower llCIl-BBB96PublicPower llCBBB
97PublicPower LLCBBB98PublicPower LLCICC99PublicPower LLCICC100PublicPower LLCICC101PublicPower LLCICC102PublicPower LLCICC103PublicPower LLCICC
Public104Power llCICCPublic105Power llC106Power llCICCPublicICC
AMENDED ATTACHMENT A9ACTIONS BEFORE A REGULATORY AGENCYViridian Energy PA. LLC - Maryland, License No. IR-1840 (Case No. 9255, Order No.84959)In January 2011, the Staff of the Maryland Public Service Commission filed acomplaint against Viridian Energy PA, LLC ("Viridian"), alleging that Viridian hadviolated the Maryland customer protection rules by providing misleading representationsin late 2010. Among other things, Staff initially sought to revoke or suspend Viridian'sMaryland license.A hearing was conducted in February 2011 and in March 2011. ThereafterCommission Staff and Viridian filed a Joint Recommendation that did not revoke orsuspend Viridian's license. Fifteen months later on June 7, 2012, the Commissionassessed a civil penalty of 60,000 against Viridian, relating to instances of pastbehavior, and rejected Commission Staff's initial request to revoke or suspend Viridian'slicense and bar it from seeking new customers. In so doing, the Commissioncommended Viridian for strengthening its compliance program. Viridian has beenoperating in Maryland for over 18 months since the January 2011 complaint, a periodduring which no further complaints or investigations have been filed.AFFILIATE ACTIONSPublic Power LLC - Connecticut. Docket #07-06-13 (Docket No. 13-02-08) February2013Public Power LLC is currently being investigated by the Connecticut PublicUtilities Regulatory Authority ("PURA") due to a spike in slamming complaints during2012. The vast majority of these complaints were the result of enrollments that tookplace before the REH management team took over management of Public Power. Thepurpose of the investigation is to determine whether Public Power engaged inslamming.On September 18,2012, Regional Energy Holdings, Inc. combined with PublicPower LLC to form Crius Energy LLC. As a result, Viridian Energy PA LLCbecame an affiliate of Public Power LLC. Viridian Energy PA LLC discloses thefollowing actions which were commenced prior to the combination of RegionalEnergy Holdings, Inc. and Public Power LLC to form Crius Energy LLC as furtherexplained in response to Paragraph 2 of the Amended Application.Public Power LLC - Pennsylvania, Docket #A-2009-2143245 (Docket No. 20122257858) July 2011Public Power LLC, a Pennsylvania limited liability company (''PA Subsidiary"),was investigated by the Bureau of Investigation and Enforcement ("BIE") of thePennsylvania Public Utility Commission ("PUC") for alleged unauthorized customerenrollments. It was discovered that the unauthorized enrollments resulted from a dataentry error by a third-party telemarketer acting on behalf of the PA Subsidiary. Upon
discovery of the mistake, Public Power contacted and worked cooperatively with theEDC to rescind the transfers. On or about November 19, 2012 the parties reached asettlement of the allegations for 64,450 plus customer refunds of approximately 22,000.Public Power LLC - Connecticut. Docket #07-06-13 (Docket No. 11-10-06) October2011Approximately one year ago, the Connecticut Public Utilities Regulatory AuthorityCPURA") opened Docket 11-10-06 to investigate customer complaints that PublicPower may have charged rates in excess of its contracts and failed to timely respond toinquiries alleging unauthorized switching of customers from other electric generationservice providers to Public Power. The Office of the Connecticut Attorney General andthe Office of Consumer Counsel participated in the resolution of this matter. TheProsecutorial Unit appointed by the PURA found no evidence that Public Powercharged rates in excess of its contracts. However, to foster good will, Public Powerissued credits to the identified customers. As to the unauthorized customer switchingallegations, an authorized switch could not be proven as to six customers. Public Powerand the Prosecutorial Unit entered into a settlement agreement under which PublicPower would make a charitable contribution of 6,000, in lieu of a civil penalty. TheSettlement Agreement was submitted to PURA on June 28, 2012 and is subject toformal approval by that agency.The following matter was filed as a result of information discovered during thedue diligence process for the combination of Regional Energy Holdings, Inc. andPublic Power LLC to form Crius Energy LLC.FERC Docket Nos. ER12-2250-000 et al.On September 14, 2012, in response to a Public Power filing the Federal EnergyRegulatory Commission ("FERC") issued a delegated letter order to four Public Power,LLC subsidiaries, granting each of them market-based rate authority on a prospectivebasis (FERC Docket Nos. ER12-2250-000 et al.). The four entities are Public Power &Utility of New Jersey, LLC, Public Power & Utility of NY, Inc., Public Power (PA), LLCand Public Power & Utility of Maryland, LLC (the "Entities"). This action action resultedfrom the limited type of wholesale energy sales- "balancing energy sales" beingconducted by Public Power. Each of the Entities engaged, in the past, in thesebalancing energy wholesale sales, and did so without market-based rate authorityduring the pertinent period. Such transactions come about when, for example, an entityoffers to purchase 10 MWh in the day-ahead market, and in real-time ultimatelypurchases 9 MWh, with the 1 MWh difference deemed a sale back to the RTO underRTO rules. It is those past wholesale balancing sales that were the subject of the aboveFERC filing and orderrefund reports. As a result of these past sales, FERC required thefiling of refund reports and the submission of data indicating why refunds would not berequired. The Entities made the required submission within the thirty days of theissuance of the September 14, 2012 order and request. The Entities expect to havezero refund liability.
The need for FERC Market Base Rate Authority was discovered during the duediligence process preceding the combination of the REH and Public Power. The PublicPower Entities were unaware that market-based rate authority was required for realtime balancing sales. For more information on this please see Applicant's answer inParagraph 2 of the Amended Application.Public Power LLC - Connecticut. Docket #07-06-13 (Docket No. 07-06-13) September2010The Connecticut Public Utilities Regulatory Authority (the "Authority") openedDocket 07-06-13 RE03 on or about September 1,2010 to investigate whether PublicPower's electric supplier license was transferred without the Authority's prior approval.The Authority began its investigation largely, as a result of correspondence dated July27, 2010, in which Public Power notified the Authority of certain organizational changes,specifically, that its business address changes to Danbury, Connecticut and that RobertGries, Jr. was now its President and CEO. The case was settled and closed informallyon June 20,2012.
On November 13, 2013 there was an initial public offering ("IPO") in which units of Crius Energy Trust, (a Canadian Trust) were sold to the public on the Toronto Stock Exchange. The IPO raised funds for the acquisition of 26.8 percent of the ownership interests in Crius Energy LLC. The Crius Energy officers are from the REH management team.
