Item 16. Form 10-K Summary
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Item 16. Form 10-K Summary
None.
CENTERPOINT ENERGY, INC. AND SUBSIDIARIES
CENTERPOINT ENERGY HOUSTON ELECTRIC, LLC AND SUBSIDIARIES
CENTERPOINT ENERGY RESOURCES CORP. AND SUBSIDIARIES
EXHIBITS TO THE COMBINED ANNUAL REPORT ON FORM 10-K
For Fiscal Year Ended December 31, 2019
INDEX OF EXHIBITS
Exhibits included with this report are designated by a cross (†); all exhibits not so designated are incorporated herein by reference to a prior filing as indicated. Exhibits designated by an asterisk (*) are management contracts or compensatory plans or arrangements required to be filed as exhibits to this Form 10-K by Item 601(b)(10)(iii) of Regulation S-K. The Registrants have not filed the exhibits and schedules to Exhibit 2. The Registrants hereby agree to furnish supplementally a copy of any schedule omitted from Exhibit 2 to the SEC upon request.
The agreements included as exhibits are included only to provide information to investors regarding their terms. The agreements listed below may contain representations, warranties and other provisions that were made, among other things, to provide the parties thereto with specified rights and obligations and to allocate risk among them, and such agreements should not be relied upon as constituting or providing any factual disclosures about us, any other persons, any state of affairs or other matters.
| Exhibit Number | Description | Report or Registration Statement | SEC File or Registration Number | Exhibit Reference | CenterPoint Energy | Houston Electric | CERC | |||||||
| 2(a) | — | Transaction Agreement dated July 21, 2004 among CenterPoint Energy, Utility Holding, LLC, NN Houston Sub, Inc., Texas Genco Holdings, Inc. (Texas Genco), HPC Merger Sub, Inc. and GC Power Acquisition LLC | CenterPoint Energy’s Form 8-K dated July 21, 2004 | 1-31447 | 10.1 | X | ||||||||
| 2(b) | — | Agreement and Plan of Merger, dated as of April 21, 2018, by and among Vectren Corporation, CenterPoint Energy, Inc. and Pacer Merger Sub, Inc. | CenterPoint Energy’s Form 8-K dated April 21, 2018 | 1-31447 | 2.1 | X | ||||||||
| 2(c)(1) | — | Agreement and Plan of Merger among CERC, Houston Lighting and Power Company (“HL&P”), HI Merger, Inc. and NorAm Energy Corp. (“NorAm”) dated August 11, 1996 | Houston Industries’ (“HI’s”) Form 8-K dated August 11, 1996 | 1-7629 | 2 | X | ||||||||
| 2(c)(2) | — | Amendment to Agreement and Plan of Merger among CERC, HL&P, HI Merger, Inc. and NorAm dated August 11, 1996 | Registration Statement on Form S-4 | 333-11329 | 2(c) | X | ||||||||
| 2(d) | — | Agreement and Plan of Merger dated December 29, 2000 merging Reliant Resources Merger Sub, Inc. with and into Reliant Energy Services, Inc. | Registration Statement on Form S-3 | 333-54526 | 2 | X |
| Exhibit Number | Description | Report or Registration Statement | SEC File or Registration Number | Exhibit Reference | CenterPoint Energy | Houston Electric | CERC | |||||||
| 2(e) | — | Master Formation Agreement dated March 14, 2013 by and among CenterPoint Energy, Inc., OGE Energy Corp., Bronco Midstream Holdings, LLC and Bronco Midstream Holdings II, LLC. | CenterPoint Energy’s Form 8-K dated March 14, 2013 | 1-31447 | 2.1 | X | X | |||||||
| 2(f) | — | Securities Purchase Agreement, dated as of February 3, 2020, by and among Vectren Utility Services, Inc., PowerTeam Services, LLC and, solely for purposes of Section 10.17 of the Securities Purchase Agreement, Vectren Corporation | CenterPoint Energy’s Form 8-K dated February 3, 2020 | 1-31447 | 2.1 | X | ||||||||
| 2(g) | — | Equity Purchase Agreement, dated as of February 24, 2020, by and between CERC Corp. and Athena Energy Services Buyer, LLC | CenterPoint Energy’s Form 8-K dated February 24, 2020 | 1-31447 | 2.1 | X | X | |||||||
| 3(a) | — | Restated Articles of Incorporation of CenterPoint Energy | CenterPoint Energy’s Form 8-K dated July 24, 2008 | 1-31447 | 3.2 | X | ||||||||
| 3(b) | — | Articles of Conversion of Reliant Energy Incorporated | Houston Electric’s Form 8-K dated August 31, 2002 | 1-3187 | 3(a) | X | ||||||||
| 3(c) | — | Restated Certificate of Formation of Houston Electric | Houston Electric’s Form 10-Q for the quarter ended June 30, 2011 | 1-3187 | 3.1 | X | ||||||||
| 3(d) | — | Certificate of Incorporation of RERC Corp. | CERC Form 10-K for the year ended December 31, 1997 | 1-13265 | 3(a)(1) | X | ||||||||
| 3(e) | — | Certificate of Merger merging former NorAm Energy Corp. with and into HI Merger, Inc. dated August 6, 1997 | CERC Form 10-K for the year ended December 31, 1997 | 1-13265 | 3(a)(2) | X | ||||||||
| 3(f) | — | Certificate of Amendment changing the name to Reliant Energy Resources Corp. | CERC Form 10-K for the year ended December 31, 1998 | 1-13265 | 3(a)(3) | X | ||||||||
| 3(g) | — | Certificate of Amendment changing the name to CenterPoint Energy Resources Corp. | CERC Form 10-Q for the quarter ended June 30, 2003 | 1-13265 | 3(a)(4) | X | ||||||||
| 3(h) | — | Third Amended and Restated Bylaws of CenterPoint Energy | CenterPoint Energy’s Form 8-K dated February 21, 2017 | 1-31447 | 3.1 | X | ||||||||
| 3(i) | — | Amended and Restated Limited Liability Company Agreement of Houston Electric | Houston Electric’s Form 10-Q for the quarter ended June 30, 2011 | 1-3187 | 3.2 | X | ||||||||
| 3(j) | — | Bylaws of RERC Corp. | CERC Form 10-K for the year ended December 31, 1997 | 1-13265 | 3(b) | X | ||||||||
| 3(k) | — | Statement of Resolutions Deleting Shares Designated Series A Preferred Stock of CenterPoint Energy | CenterPoint Energy’s Form 10-K for the year ended December 31, 2011 | 1-31447 | 3(c) | X |
| Exhibit Number | Description | Report or Registration Statement | SEC File or Registration Number | Exhibit Reference | CenterPoint Energy | Houston Electric | CERC | |||||||
| 4(g)(2) | — | Twenty-First through Fiftieth Supplemental Indentures to Exhibit 4(g)(1) | HL&P’s Form 10-K for the year ended December 31, 1989 | 1-3187 | 4(a)(2) | X | X | |||||||
| 4(g)(3) | — | Fifty-First Supplemental Indenture to Exhibit 4(g)(1) dated as of March 25, 1991 | HL&P’s Form 10-Q for the quarter ended June 30, 1991 | 1-3187 | 4(a) | X | X | |||||||
| 4(g)(4) | — | Fifty-Second through Fifty-Fifth Supplemental Indentures to Exhibit 4(g)(1) each dated as of March 1, 1992 | HL&P’s Form 10-Q for the quarter ended March 31, 1992 | 1-3187 | 4 | X | X | |||||||
| 4(g)(5) | — | Fifty-Sixth and Fifty-Seventh Supplemental Indentures to Exhibit 4(g)(1) each dated as of October 1, 1992 | HL&P’s Form 10-Q for the quarter ended September 30, 1992 | 1-3187 | 4 | X | X | |||||||
| 4(g)(6) | — | Fifty-Eighth and Fifty-Ninth Supplemental Indentures to Exhibit 4(g)(1) each dated as of March 1, 1993 | HL&P’s Form 10-Q for the quarter ended March 31, 1993 | 1-3187 | 4 | X | X | |||||||
| 4(g)(7) | — | Sixtieth Supplemental Indenture to Exhibit 4(g)(1) dated as of July 1, 1993 | HL&P’s Form 10-Q for the quarter ended June 30, 1993 | 1-3187 | 4 | X | X | |||||||
| 4(g)(8) | — | Sixty-First through Sixty-Third Supplemental Indentures to Exhibit 4(g)(1) each dated as of December 1, 1993 | HL&P’s Form 10-K for the year ended December 31, 1993 | 1-3187 | 4(a)(8) | X | X | |||||||
| 4(g)(9) | — | Sixty-Fourth and Sixty-Fifth Supplemental Indentures to Exhibit 4(g)(1) each dated as of July 1, 1995 | HL&P’s Form 10-K for the year ended December 31, 1995 | 1-3187 | 4(a)(9) | X | X | |||||||
| 4(h)(1) | — | General Mortgage Indenture, dated as of October 10, 2002, between CenterPoint Energy Houston Electric, LLC and JPMorgan Chase Bank, as Trustee | Houston Electric’s Form 10-Q for the quarter ended September 30, 2002 | 1-3187 | 4(j)(1) | X | X | |||||||
| 4(h)(2) | — | Second Supplemental Indenture to Exhibit 4(h)(1), dated as of October 10, 2002 | Houston Electric’s Form 10- Q for the quarter ended September 30, 2002 | 1-3187 | 4(j)(3) | X | X | |||||||
| 4(h)(3) | — | Third Supplemental Indenture to Exhibit 4(h)(1), dated as of October 10, 2002 | Houston Electric’s Form 10-Q for the quarter ended September 30, 2002 | 1-3187 | 4(j)(4) | X | X | |||||||
| 4(h)(4) | — | Officer’s Certificates dated October 10, 2002 setting forth the form, terms and provisions of the First through Eighth Series of General Mortgage Bonds | CenterPoint Energy’s Form 10-K for the year ended December 31, 2003 | 1-31447 | 4(e)(10) | X | X |
| Exhibit Number | Description | Report or Registration Statement | SEC File or Registration Number | Exhibit Reference | CenterPoint Energy | Houston Electric | CERC | |||||||
| 4(h)(17) | — | Twenty-Fifth Supplemental Indenture to Exhibit 4(h)(1) dated as of August 11, 2016 | CenterPoint Energy’s Form 10-Q for the quarter ended September 30, 2016 | 1-31447 | 4.5 | X | X | |||||||
| 4(h)(18) | — | Officer’s Certificate, dated as of August 11, 2016, setting forth the form, terms and provisions of the Twenty-Sixth Series of General Mortgage Bonds | CenterPoint Energy’s Form 10-Q for the quarter ended September 30, 2016 | 1-31447 | 4.6 | X | X | |||||||
| 4(h)(19) | — | Twenty-Sixth Supplemental Indenture to Exhibit 4(h)(1) dated as of January 12, 2017 | CenterPoint Energy’s Form 10-K for the year ended December 31, 2016 | 1-31447 | 4(e)(41) | X | X | |||||||
| 4(h)(20) | — | Officer’s Certificate, dated as of January 12, 2017, setting forth the form, terms and provisions of the Twenty-Seventh Series of General Mortgage Bonds | CenterPoint Energy’s Form 10-K for the year ended December 31, 2016 | 1-31447 | 4(e)(42) | X | X | |||||||
| 4(h)(21) | — | Twenty-Seventh Supplemental Indenture to Exhibit 4(h)(1) dated as of February 28, 2018 | CenterPoint Energy’s Form 10-Q for the quarter ended March 30, 2018 | 1-31447 | 4.9 | X | X | |||||||
| 4(h)(22) | — | Officer’s Certificate, dated as of February 28, 2018, setting forth the form, terms and provisions of the Twenty-Eighth Series of General Mortgage Bonds | CenterPoint Energy’s Form 10-Q for the quarter ended March 30, 2018 | 1-31447 | 4.10 | X | X | |||||||
| 4(h)(23) | — | Twenty-Eighth Supplemental Indenture to Exhibit 4(h)(1) dated as of January 15, 2019 | Houston Electric’s Form 8-K dated January 10, 2019 | 1-3187 | 4.4 | X | X | |||||||
| 4(h)(24) | — | Officer’s Certificate, dated as of January 15, 2019, setting forth the form, terms and provisions of the Twenty-Ninth Series of General Mortgage Bonds | CenterPoint Energy’s Form 10-K for the year ended December 31, 2018 | 1-31447 | 4(h)(24) | X | X | |||||||
| 4(i)(1) | — | Indenture, dated as of February 1, 1998, between Reliant Energy Resources Corp. (RERC Corp.) and Chase Bank of Texas, National Association, as Trustee | CERC Corp.’s Form 8-K dated February 5, 1998 | 1-13265 | 4.1 | X | X | |||||||
| 4(i)(2) | — | Supplemental Indenture No. 10 to Exhibit 4(i)(1), dated as of February 6, 2007, providing for the issuance of CERC Corp.’s 6.25% Senior Notes due 2037 | CenterPoint Energy’s Form 10-K for the year ended December 31, 2006 | 1-31447 | 4(f)(11) | X | X | |||||||
| 4(i)(3) | — | Supplemental Indenture No. 12 to Exhibit 4(i)(1) dated as of October 23, 2007, providing for the issuance of CERC Corp.’s 6.625% Senior Notes due 2037 | CenterPoint Energy’s Form 10-Q for the quarter ended June 30, 2008 | 1-31447 | 4.9 | X | X |
| Exhibit Number | Description | Report or Registration Statement | SEC File or Registration Number | Exhibit Reference | CenterPoint Energy | Houston Electric | CERC | |||||||
| 4(q)(1) | — | Term Loan Agreement dated as of July 30, 2018, among VUHI, as Borrower, the Subsidiaries of Borrower identified herein as Guarantors and the banks named therein | Vectren’s Form 8-K dated July 30, 2018 | 1-15467 | 10.1 | X | ||||||||
| 4(r)(1) | — | Term Loan Agreement dated as of September 14, 2018, among VCC, as Borrower, Vectren as Guarantor, and the banks named therein | Vectren’s Form 8-K dated September 18, 2018 | 1-15467 | 10.1 | X | ||||||||
| 4(r)(2) | — | First Amendment to Term Loan Agreement, dated as of June 25, 2019, among VCC, as Borrower, Vectren as Guarantor and the banks named therein | CenterPoint Energy’s Form 10-Q for the quarter ended June 30, 2019 | 1-31447 | 4.17 | X | ||||||||
| 4(s)(1) | — | $1,000,000,000 Term Loan Agreement, dated as of May 15, 2019, among CenterPoint Energy, as Borrower, Mizuho Bank, Ltd., as Administrative Agent and Lead Arranger, and the banks named therein | CenterPoint Energy’s Form 8-K dated May 15, 2019 | 1-31447 | 4.1 | X | ||||||||
| 4(t)(1) | — | Mortgage and Deed of Trust dated as of April 1, 1932 between SIGECO and Bankers Trust Company, as Trustee, as amended and supplemented by 28 Supplemental Indentures thereto | Post-Effective Amendment No. 1 Form 8-K dated June 1, 1984 Form 8-K dated March 24, 1986 Form 8-K dated June 3, 1986 | 2-2536 2-62032 2-88923 1-3553 1-3553 1-3553 | B-1, B-2 (b)(4)(ii) 4(b)(2) 4 4-A 4 | X X X X X X | ||||||||
| 4(t)(2) | — | Additional Supplemental Indentures to Exhibit 4(t)(1) | X | |||||||||||
| Date as of | File Reference | Exhibit No. | ||||||||||||
| July 1, 1985 | 1-3553, SIGECO’s Form 10-K for the fiscal year 1985 | 4-A | ||||||||||||
| November 1, 1985 | 1-3553, SIGECO’s Form 10-K for the fiscal year 1985 | 4-A | ||||||||||||
| November 15, 1986 | 1-3553, SIGECO’s Form 10-K for the fiscal year 1986 | 4-A | ||||||||||||
| January 15, 1987 | 1-3553, SIGECO’s Form 10-K for the fiscal year 1986 | 4-A | ||||||||||||
| December 15, 1987 | 1-3553, SIGECO’s Form 10-K for the fiscal year 1987 | 4-A | ||||||||||||
| December 13, 1990 | 1-3553, SIGECO’s Form 10-K for the fiscal year 1990 | 4-A | ||||||||||||
| April 1, 1993 | 1-3553, SIGECO’s Form 8-K dated April 13, 1993 | 4 | ||||||||||||
| June 1, 1993 | 1-3553, SIGECO’s Form 8-K dated June 14, 1993 | 4 | ||||||||||||
| May 1, 1993 | 1-3553, SIGECO’s Form 10-K for the fiscal year 1993 | 4(a) |
| Exhibit Number | Description | Report or Registration Statement | SEC File or Registration Number | Exhibit Reference | CenterPoint Energy | Houston Electric | CERC | |||||||
| Date as of | File Reference | Exhibit No. | ||||||||||||
| July 1, 1999 | 1-3553, SIGECO’s Form 10-Q for the quarter ended June 30, 1999 | 4(a) | ||||||||||||
| March 1, 2000 | 1-15467, Vectren’s Form 10-K for the year ended December 31, 2001 | 4.1 | ||||||||||||
| August 1, 2004 | 1-15467, Vectren’s Form 10-K for the year ended December 31, 2004 | 4.1 | ||||||||||||
| October 1, 2004 | 1-15467, Vectren’s Form 10-K for the year ended December 31, 2004 | 4.2 | ||||||||||||
| April 1, 2005 | 1-15467, Vectren’s Form 10-K for the year ended December 31, 2007 | 4.1 | ||||||||||||
| March 1, 2006 | 1-15467, Vectren’s Form 10-K for the year ended December 31, 2007 | 4.2 | ||||||||||||
| December 1, 2007 | 1-15467, Vectren’s Form 10-K for the year ended December 31, 2007 | 4.3 | ||||||||||||
| August 1, 2009 | 1-15467, Vectren’s Form 10-K for the year ended December 31, 2009 | 4.1 | ||||||||||||
| April 1, 2013 | 1-15467, Vectren’s Form 8-K dated April 30, 2013 | 4.1 | ||||||||||||
| September 1, 2014 | 1-15467, Vectren’s Form 8-K dated September 25, 2014 | 4.1 | ||||||||||||
| September 1, 2015 | 1-15467, Vectren’s Form 8-K dated September 10, 2015 | 4.1 | ||||||||||||
| 4(u)(1) | — | Indenture dated February 1, 1991 between Indiana Gas Company, Inc. and U.S Bank Trust National Association (formerly known as First Trust National Association, which was formerly known as Bank of America Illinois, which was formerly known as Continental Bank, National Association) | Indiana Gas’s Form 8-K filed February 15, 1991 | 1-6494 | 4(a) | X | ||||||||
| 4(u)(2) | — | First Supplemental Indenture to Exhibit 4(u)(1), dated as of February 15, 1991 | Indiana Gas’s Form 8-K filed February 15, 1991 | 1-6494 | 4(b) | X |
| Exhibit Number | Description | Report or Registration Statement | SEC File or Registration Number | Exhibit Reference | CenterPoint Energy | Houston Electric | CERC | |||||||
| 4(u)(3) | — | Second Supplemental Indenture to Exhibit 4(u)(1), dated as of September 15, 1991 | Indiana Gas’s Form 8-K filed September 25, 1991 | 1-6494 | 4(b) | X | ||||||||
| 4(u)(4) | — | Third Supplemental Indenture to Exhibit 4(u)(1), dated as of September 15, 1991 | Indiana Gas’s Form 8-K filed September 25, 1991 | 1-6494 | 4(c) | X | ||||||||
| 4(u)(5) | — | Fourth Supplemental Indenture to Exhibit 4(u)(1), dated as of December 2, 1992 | Indiana Gas’s Form 8-K filed December 8, 1992 | 1-6494 | 4(b) | X | ||||||||
| 4(u)(6) | — | Fifth Supplemental Indenture to Exhibit 4(u)(1), dated as of December 28, 2000 | Indiana Gas’s Form 8-K filed December 27, 2000 | 1-6494 | 4 | X | ||||||||
| 4(v)(1) | — | Indenture dated October 19, 2001, among VUHI, Indiana Gas, SIGECO, VEDO and U.S. Bank Trust National Association | VUHI’s Form 8-K dated October 19, 2001 | 1-16739 | 4.1 | X | ||||||||
| 4(v)(2) | — | First Supplemental Indenture to Exhibit 4(v)(1), dated October 19, 2001 | VUHI’s Form 8-K dated October 19, 2001 | 1-16739 | 4.2 | X | ||||||||
| 4(v)(3) | — | Second Supplemental Indenture to Exhibit 4(v)(1) | VUHI’s Form 8-K dated November 29, 2001 | 1-16739 | 4.1 | X | ||||||||
| 4(v)(4) | — | Third Supplemental Indenture to 4(v)(1), dated July 29, 2003 | VUHI’s Form 8-K dated July 24, 2003 | 1-16739 | 4.1 | X | ||||||||
| 4(v)(5) | — | Fourth Supplemental Indenture to Exhibit 4(v)(1), dated November 21, 2005 | VUHI’s Form 8-K dated November 18, 2005 | 1-16739 | 4.1 | X | ||||||||
| 4(v)(6) | — | Form of Fifth Supplemental Indenture to Exhibit 4(v)(1), dated October 18, 2006 | VUHI’s Form 8-K dated October 16, 2006 | 1-16739 | 4.1 | X | ||||||||
| 4(v)(7) | — | Sixth Supplemental Indenture to Exhibit 4(v)(1), dated March 10, 2008 | VUHI’s Form 8-K dated March 10, 2008 | 1-16739 | 4.1 | X | ||||||||
| 4(w) | — | Note Purchase Agreement, dated March 11, 2009, among VCC, Vectren and each of the purchasers named therein | Vectren’s Form 8-K dated March 16, 2009 | 1-15467 | 4.5 | X | ||||||||
| 4(x) | — | Note Purchase Agreement, dated April 7, 2009, among VUHI, Indiana Gas, SIGECO and VEDO and the purchasers named therein | Vectren’s Form 8-K dated April 7, 2009 | 1-15467 | 4.5 | X | ||||||||
| 4(y) | — | Note Purchase Agreement, dated April 5, 2011, among VUHI, Indiana Gas, SIGECO and VEDO and the purchasers named therein | Vectren’s Form 8-K dated April 8, 2011 | 1-15467 | 4.1 | X | ||||||||
| 4(z) | — | Note Purchase Agreement, dated November 15, 2011, among VUHI, Indiana Gas, SIGECO and VEDO and the purchasers named therein | Vectren’s Form 8-K dated November 17, 2011 | 1-15467 | 4.1 | X |
Pursuant to Item 601(b)(4)(iii)(A) of Regulation S-K, the Registrants have not filed as exhibits to this Form 10-K certain long-term debt instruments, including indentures, under which the total amount of securities authorized does not exceed 10% of the total assets of the Registrants and its subsidiaries on a consolidated basis. The Registrants hereby agree to furnish a copy of any such instrument to the SEC upon request.
| Exhibit Number | Description | Report or Registration Statement | SEC File or Registration Number | Exhibit Reference | CenterPoint Energy | Houston Electric | CERC | |||||||
| *10(a) | — | CenterPoint Energy, Inc. 1991 Benefit Restoration Plan, as amended and restated effective as of February 25, 2011 | CenterPoint Energy’s Form 10-Q for the quarter ended March 31, 2011 | 1-31447 | 10.3 | X |
| Exhibit Number | Description | Report or Registration Statement | SEC File or Registration Number | Exhibit Reference | CenterPoint Energy | Houston Electric | CERC | |||||||
| *10(b)(1) | — | CenterPoint Energy Benefit Restoration Plan, effective as of January 1, 2008 | CenterPoint Energy’s Form 8-K dated December 22, 2008 | 1-31447 | 10.1 | X | ||||||||
| *10(b)(2) | — | First Amendment to Exhibit 10(b)(1), effective as of February 25, 2011 | CenterPoint Energy’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2011 | 1-31447 | 10.4 | X | ||||||||
| *10(c) | — | CenterPoint Energy 1985 Deferred Compensation Plan, as amended and restated effective January 1, 2003 | CenterPoint Energy’s Form 10-Q for the quarter ended September 30, 2003 | 1-31447 | 10.1 | X | ||||||||
| *10(d)(1) | — | Amended and Restated CenterPoint Energy, Inc. 1991 Savings Restoration Plan, effective as of January 1, 2008 | CenterPoint Energy’s Form 8-K dated December 22, 2008 | 1-31447 | 10.4 | X | ||||||||
| *10(d)(2) | — | First Amendment to Exhibit 10(d)(1), effective as of February 25, 2011 | CenterPoint Energy’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2011 | 1-31447 | 10.5 | X | ||||||||
| *10(e)(1) | — | CenterPoint Energy Savings Restoration Plan, effective as of January 1, 2008 | CenterPoint Energy’s Form 8-K dated December 22, 2008 | 1-31447 | 10.3 | X | ||||||||
| *10(e)(2) | — | First Amendment to Exhibit 10(e)(1), effective as of February 25, 2011 | CenterPoint Energy’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2011 | 1-31447 | 10.6 | X | ||||||||
| *10(e)(3) | Second Amendment to Exhibit 10(b)(1), effective as of January 1, 2020 | CenterPoint Energy’s Form 8-K dated December 9, 2019 | 1-31447 | 10.1 | X | |||||||||
| *10(f) | — | CenterPoint Energy Executive Life Insurance Plan, as amended and restated effective June 18, 2003 | CenterPoint Energy’s Form 10-Q for the quarter ended September 30, 2003 | 1-31447 | 10.5 | X | ||||||||
| 10(g)(1) | — | Stockholder’s Agreement dated as of July 6, 1995 between Houston Industries Incorporated and Time Warner Inc. | Schedule 13-D dated July 6, 1995 | 5-19351 | 2 | X | ||||||||
| 10(g)(2) | — | Amendment to Exhibit 10(g)(1) dated November 18, 1996 | HI’s Form 10-K for the year ended December 31, 1996 | 1-7629 | 10(x)(4) | X |
| Exhibit Number | Description | Report or Registration Statement | SEC File or Registration Number | Exhibit Reference | CenterPoint Energy | Houston Electric | CERC | |||||||
| †31.1.1 | — | Rule 13a-14(a)/15d-14(a) Certification of John W. Somerhalder II | X | |||||||||||
| †31.1.2 | — | Rule 13a-14(a)/15d-14(a) Certification of John W. Somerhalder II | X | |||||||||||
| †31.1.3 | — | Rule 13a-14(a)/15d-14(a) Certification of John W. Somerhalder II | X | |||||||||||
| †31.2.1 | — | Rule 13a-14(a)/15d-14(a) Certification of Xia Liu | X | |||||||||||
| †31.2.2 | — | Rule 13a-14(a)/15d-14(a) Certification of Xia Liu | X | |||||||||||
| †31.2.3 | — | Rule 13a-14(a)/15d-14(a) Certification of Xia Liu | X | |||||||||||
| †32.1.1 | — | Section 1350 Certification of John W. Somerhalder II | X | |||||||||||
| †32.1.2 | — | Section 1350 Certification of John W. Somerhalder II | X | |||||||||||
| †32.1.3 | — | Section 1350 Certification of John W. Somerhalder II | X | |||||||||||
| †32.2.1 | — | Section 1350 Certification of Xia Liu | X | |||||||||||
| †32.2.2 | — | Section 1350 Certification of Xia Liu | X | |||||||||||
| †32.2.3 | — | Section 1350 Certification of Xia Liu | X | |||||||||||
| 99.1 | — | Financial Statements of Enable Midstream Partners, LP as of December 31, 2019 and 2018 and for the years ended December 31, 2019, 2018 and 2017 | Part II, Item 8 of Enable Midstream Partners, LP’s Form 10-K for the year ended December 31, 2019 | 001-36413 | Item 8 | X | ||||||||
| †101.INS | — | Inline XBRL Instance Document - the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document | X | X | X | |||||||||
| †101.SCH | — | Inline XBRL Taxonomy Extension Schema Document | X | X | X | |||||||||
| †101.CAL | — | Inline XBRL Taxonomy Extension Calculation Linkbase Document | X | X | X | |||||||||
| †101.DEF | — | Inline XBRL Taxonomy Extension Definition Linkbase Document | X | X | X | |||||||||
| †101.LAB | — | Inline XBRL Taxonomy Extension Labels Linkbase Document | X | X | X | |||||||||
| †101.PRE | — | Inline XBRL Taxonomy Extension Presentation Linkbase Document | X | X | X | |||||||||
| †104 | — | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) | X | X | X |
SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the Registrants have duly caused this report to be signed on their behalf by the undersigned, thereunto duly authorized, in the City of Houston, the State of Texas, on the 27th day of February, 2020.
| CENTERPOINT ENERGY, INC. | |
| (Registrant) | |
| By: /s/ John W. Somerhalder II | |
| John W. Somerhalder II | |
| Interim President and Chief Executive Officer |
Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the registrant and in the capacities indicated on February 27, 2020.
| Signature | Title | |
| /s/ JOHN W. SOMERHALDER II | Interim President, Chief Executive Officer and | |
| John W. Somerhalder II | Director (Principal Executive Officer and Director) | |
| /s/ XIA LIU | Executive Vice President and Chief | |
| Xia Liu | Financial Officer (Principal Financial Officer) | |
| /s/ KRISTIE L. COLVIN | Senior Vice President and Chief | |
| Kristie L. Colvin | Accounting Officer (Principal Accounting Officer) | |
| /s/ MILTON CARROLL | Executive Chairman of the Board of Directors | |
| Milton Carroll | ||
| /s/ LESLIE D. BIDDLE | Director | |
| Leslie D. Biddle | ||
| /s/ SCOTT J. MCLEAN | Director | |
| Scott J. McLean | ||
| /s/ MARTIN H. NESBITT | Director | |
| Martin H. Nesbitt | ||
| /s/ THEODORE F. POUND | Director | |
| Theodore F. Pound | ||
| /s/ SUSAN O. RHENEY | Director | |
| Susan O. Rheney | ||
| /s/ PHILLIP R. SMITH | Director | |
| Phillip R. Smith | ||
| /s/ PETER S. WAREING | Director | |
| Peter S. Wareing | ||
| CENTERPOINT ENERGY HOUSTON ELECTRIC, LLC | |
| (Registrant) | |
| By: | /s/ JOHN W. SOMERHALDER II |
| John W. Somerhalder II | |
| Interim Manager |
Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the registrant and in the capacities indicated on February 27, 2020.
| Signature | Title | |
| /s/ JOHN W. SOMERHALDER II | Interim Manager and Chairman | |
| (John W. Somerhalder II) | (Principal Executive Officer) | |
| /s/ XIA LIU | Executive Vice President and Chief Financial Officer | |
| (Xia Liu) | (Principal Financial Officer) | |
| /s/ KRISTIE L. COLVIN | Senior Vice President and Chief Accounting Officer | |
| (Kristie L. Colvin) | (Principal Accounting Officer) |
| CENTERPOINT ENERGY RESOURCES CORP. | |
| (Registrant) | |
| By: | /s/ JOHN W. SOMERHALDER II |
| John W. Somerhalder II | |
| President and Chief Executive Officer |
Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the registrant and in the capacities indicated on February 27, 2020.
| Signature | Title | |
| /s/ JOHN W. SOMERHALDER II | Interim Chairman, President and Chief Executive Officer | |
| (John W. Somerhalder II) | (Principal Executive Officer and Director) | |
| /s/ XIA LIU | Executive Vice President and Chief Financial Officer | |
| (Xia Liu) | (Principal Financial Officer) | |
| /s/ KRISTIE L. COLVIN | Senior Vice President and Chief Accounting Officer | |
| (Kristie L. Colvin) | (Principal Accounting Officer) |
Previous: Item 15. Exhibits and Financial Statement Schedules