As filed with the Securities and Exchange Commission on June 14, 2002 File No. 70-09961 United States Securities and Exchange Commission Washington, D.C. 20549 ---------------------------------------- Amendment No. 4 to Form U-1 Application/Declaration Under the Public Utility Holding Company Act of 1935 ---------------------------------------- E.ON AG Powergen plc E.ON-Platz 1 Powergen US Holdings Limited 40479 Dusseldorf Powergen US Investments Germany Powergen Luxembourg sarl Powergen Luxembourg Holdings sarl Powergen Luxembourg Investments sarl Powergen US Investments Corp. City Point 1 Ropemaker Street London EC2Y 9HT United Kingdom (Names of companies filing this statement and addresses of principal executive offices) ---------------------------------------- E.ON AG (Name of top registered holding company) ---------------------------------------- Ulrich Hueppe David Jackson General Counsel, Executive Vice President Company Secretary and General Counsel Dr. Guntram Wuerzberg Powergen plc Vice President General Legal Affairs City Point E.ON AG 1 Ropemaker Street E.ON-Platz 1 London EC2Y 9HT 40479 Dusseldorf United Kingdom Germany Telephone: 011-44-207-826-2742 Telephone: 011-49-211-4579-388 Facsimile: 011-44-207-826-2889 Facsimile: 011-49-211-4579-610 (Names and addresses of agents for service) The Commission is also requested to send copies of any communication in connection with this matter to: Tia S. Barancik Peter D. Clarke LeBoeuf, Lamb, Greene & MacRae, L.L.P. Debra J. Schnebel 125 West 55th Street Jones, Day, Reavis & Pogue New York, NY 10019-5389 77 West Wacker Drive, Ste. 3500 Telephone: (212) 424-8455 Chicago, IL 60601-1692 Facsimile: (212) 424-8500 Telephone: (312) 782-3939 Facsimile: (312) 782-8585 Markian M. W. Melnyk LeBoeuf, Lamb, Greene & MacRae, L.L.P. Joseph B. Frumkin 1875 Connecticut Ave., N.W. Sullivan & Cromwell Washington, D.C. 20009-5728 125 Broad Street Telephone: (202) 986-8212 New York, NY 10004 Facsimile: (202) 986-8102 Telephone: (212)-558-4000 Facsimile: (212) 558-3588 2 FORM U-1 APPLICATION/DECLARATION UNDER THE PUBLIC UTILITY HOLDING COMPANY ACT OF 1935 This pre-effective Amendment No. 4 revises the Form U-1 Application - Declaration (the "Application") in this proceeding originally filed in File No. 70-9961 on September 4, 2001, and subsequently amended by Amendment No. 1, filed on October 23, 2001, Amendment No. 2, filed on December 21, 2001, and Amendment No. 3, filed on June 11, 2002. Applicants amend the Application by adding the following paragraphs to the end of Item 3.M. "Applicants shall file a report with the Commission within two business days in Germany after the occurrence of any of the following: (1) A 10% or greater decline in common stock equity for U.S. GAAP purposes since the end of the last semi-annual reporting period for E.ON, Powergen, LG&E Energy or either of the Utility Subsidiaries or the capitalization of any of those companies falls below 30% common stock equity; (2) E.ON or either of the Utility Subsidiaries defaults on any debt obligation in principal amount equal to or in excess of $10 million and such default permits the holder of such debt obligation to demand payment; (3) Any event described in Rule 53(b) under the Act; (4) A nationally recognized statistical rating organization has downgraded the senior debt ratings of E.ON or either of the Utility Subsidiaries by one full rating level (e.g., from A to BBB); or (5) Any event that would have a material adverse effect on the ability of E.ON or any of its subsidiaries to comply with any condition or requirement in this Order on an ongoing basis. The report shall describe all material circumstances giving rise to the event." 3 SIGNATURES Pursuant to the requirements of the Public Utility Holding Company Act of 1935, the Applicants have duly caused this Application-Declaration to be signed on their behalf by the undersigned thereunto duly authorized. The signature of the Applicants and of the persons on their behalf are restricted to the information contained in this application which is pertinent to the application of the respective companies. -------------------------------------------------------------------------------- Date: June 14, 2002 E.ON AG By: /s/ Dr. Rolf Pohlig ------------------------- Name: Dr. Rolf Pohlig Title: Executive Vice President By: /s/ Dr. Guntram Wuerzberg ------------------------- Name: Dr. Guntram Wuerzberg Title: Vice President General Legal Affairs -------------------------------------------------------------------------------- Date: June 14, 2002 Powergen plc Powergen US Holdings Limited Powergen US Investments Powergen Luxembourg sarl Powergen Luxembourg Holdings sarl Powergen Luxembourg Investments sarl Powergen US Investments Corp. By: /s/ David Jackson ------------------------- Name: David Jackson Title: Company Secretary and General Counsel -------------------------------------------------------------------------------- 4