Delaware | 46-5038143 | |||||||||||||
(State or other jurisdiction of incorporation or organization of issuing entity) | (I.R.S. Employer Identification Number of issuing entity) | |||||||||||||
One Energy Plaza, Jackson, Michigan | 49201 | |||||||||||||
(Address of principal executive offices of issuing entity) | (Zip Code) | |||||||||||||
Registrant’s telephone number, including area code: (517) 788‑ | ||||||||||||||
Securities registered pursuant to Section 12(b) of the Act: | None | |||||||||||||
Securities registered pursuant to Section 12(g) of the Act: | None | |||||||||||||
Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. | Yes o | No x | ||||||||||||
Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act. | Yes o | No x | ||||||||||||
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. | Yes x | No o | ||||||||||||
Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S‑T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files). | Yes x | No o | ||||||||||||
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non‑accelerated filer, a smaller reporting company, or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and “emerging growth company” in Rule 12b‑2 of the Exchange Act. | ||||||||||||||
Large accelerated filer | o | |||||||||||||
Accelerated filer | o | |||||||||||||
Non‑Accelerated filer | x | |||||||||||||
Smaller reporting company | o | |||||||||||||
Emerging growth company | o | |||||||||||||
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. | o | |||||||||||||
Indicate by check mark whether the registrant has filed a report on and attestation to its management’s assessment of the effectiveness of its internal control over financial reporting under Section 404(b) of the Sarbanes-Oxley Act (15 U.S.C. 7262(b)) by the registered public accounting firm that prepared or issued its audit report | o | |||||||||||||
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b‑2 of the Exchange Act). | Yes o | No x | ||||||||||||
The registrant does not have any voting or non-voting common equity held by non-affiliates. | ||||||||||||||
Documents incorporated by reference: A portion of CMS Energy Corporation’s and Consumers Energy Company’s definitive proxy statement relating to their |
Name, Age, Position(s) | Period | ||||
Srikanth Maddipati (age | |||||
President, Chief Executive Officer, Chief Financial Officer, and Treasurer of Consumers 2014 Securitization Funding LLC | 2016 – Present | ||||
Vice President and Treasurer of CMS Energy Corporation (“CMS Energy”) and Consumers Energy Company (“Consumers”) | 2016 – Present | ||||
Assistant Treasurer of CMS Energy and Consumers | 2014 – 2016 | ||||
Rejji P. Hayes (age | |||||
Executive Vice President and Manager of Consumers 2014 Securitization Funding LLC | 2017 – Present | ||||
Executive Vice President and Chief Financial Officer of CMS Energy and Consumers | 2017 – Present | ||||
Chief Financial Officer of ITC Holdings Corp. | 2014 – 2016 | ||||
Senior Vice President, General Counsel, and Manager of Consumers 2014 Securitization Funding LLC | |||||
Senior Vice President and General Counsel of CMS Energy and Consumers | |||||
Vice President and Deputy General Counsel of CMS Energy and Consumers | 2016 – 2019 | ||||
Partner with Dykema Gossett PLLC | 2012 – 2016 | ||||
Glenn P. Barba (age | |||||
Vice President and Controller of Consumers 2014 Securitization Funding LLC | 2014 – Present | ||||
Vice President, Controller, and Chief Accounting Officer of CMS Energy and Consumers | 2003 – Present | ||||
Melissa M. Gleespen (age | |||||
Vice President, Secretary, and Manager of Consumers 2014 Securitization Funding LLC | 2014 – Present | ||||
Vice President, Corporate Secretary, and Chief Compliance Officer of CMS Energy and Consumers | 2016 – Present | ||||
Vice President and Corporate Secretary of CMS Energy and Consumers | 2013 – 2016 | ||||
Scott B. McIntosh (age | |||||
Vice President of Consumers 2014 Securitization Funding LLC | 2015 – Present | ||||
Vice President of CMS Energy and Consumers | 2015 – Present | ||||
Director of Tax of CMS Energy and Consumers | 2011 – 2015 | ||||
Albert J. Fioravanti (age | |||||
Independent Manager of Consumers 2014 Securitization Funding LLC | 2014 – Present | ||||
Managing Director of Lord Securities Corporation | 2018 – Present | ||||
Director of Lord Securities Corporation | 2015 – | ||||
Senior Vice President of Lord Securities Corporation | 1999 – 2015 | ||||
Leonard J. Padula (age | |||||
Independent Manager of Consumers 2014 Securitization Funding LLC | 2016 – Present | ||||
Vice President of Lord Securities Corporation | 2004 – Present |
Exhibits | Description | |||||||
3.1 | — | |||||||
3.2 | — | |||||||
4.1 | — | |||||||
4.2 | — | |||||||
10.1 | — | |||||||
10.2 | — | |||||||
10.3 | — | |||||||
10.4 | — | |||||||
10.5 | — | |||||||
31.1 | — | |||||||
33.1 | — | |||||||
33.2 | — | |||||||
34.1 | — | |||||||
34.2 | — | |||||||
35.1 | — |
CONSUMERS 2014 SECURITIZATION FUNDING LLC (Issuing Entity) | ||||||||
By: Consumers Energy Company, as Servicer |
/s/ Glenn P. Barba | ||||||||||||
Name: | Glenn P. Barba | |||||||||||
Title: | Vice President, Controller, Chief Accounting Officer, and senior officer in charge of the servicing function of Consumers Energy Company, as Servicer | |||||||||||
Date: | March 9, 2021 |