SEC Form 4 · accession 0001326160-17-000048
Duke Energy CORP · DUK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Melissa H. Anderson
Officer — EVP,Administration&Chief HROff
Period of report
Feb 24, 2017
Accepted (ET)
Feb 28, 2017 · 5:31 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001326160
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 24, 2017 | F | 294 | $81.96 | D | 11,945 | D | |
| Common Stock | Feb 25, 2017 | F | 266 | $81.96 | D | 11,679 | D | |
| Common Stock | Feb 27, 2017 | S | 500 | $81.791 | D | 11,179 | D | |
| Common StockF1 | Feb 24, 2017 | A | 1,409 | $81.96 | A | 1,558 | I | By 401(k) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom StockF3,F2,F4,F5 | — | Feb 24, 2017 | A | 984 | A | — | — | Common Stock | 984 | 984 | I |
Explanation of responses
- F1Includes 1,408.96 shares acquired under the Duke Energy Retirement Savings Plan ("401(k)").
- F2Converts to Common Stock on a 1-for-1 basis.
- F3Includes 984.37 shares of Phantom Stock acquired under the Duke Energy Executive Savings Plan.
- F4Immediate.
- F5Generally payable upon reporting person's termination of service.