Filing Details
- Accession Number:
- 0001127602-11-029463
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-11-14 17:09:56
- Reporting Period:
- 2011-11-10
- Filing Date:
- 2011-11-14
- Accepted Time:
- 2011-11-14 17:09:56
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1326160 | Duke Energy Corp | DUK | Electric & Other Services Combined (4931) | 202777218 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1024251 | E James Rogers | 550 S. Tryon Street Charlotte NC 28202 | Chairman, President & Ceo | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2011-11-10 | 672,603 | $16.60 | 2,498,242 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-11-10 | 672,603 | $20.70 | 1,825,639 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-11-11 | 3,732 | $15.26 | 1,829,371 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-11-11 | 3,732 | $20.92 | 1,825,639 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-11-11 | 3,674 | $15.50 | 1,829,313 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-11-11 | 3,674 | $20.93 | 1,825,639 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2011-11-10 | 672,603 | $0.00 | 672,603 | $16.60 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2011-11-11 | 3,732 | $0.00 | 3,732 | $15.26 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2011-11-11 | 3,674 | $0.00 | 3,674 | $15.50 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2009-04-03 | 2016-04-04 | No | 4 | M | Direct |
| 0 | 2008-01-01 | 2015-01-01 | No | 4 | M | Direct |
| 0 | 2009-01-01 | 2016-01-01 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 19,602 | Indirect | By 401(k) |
| Common Stock | 507,658 | Indirect | By Spouse |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.700 to $20.735, inclusive. The reporting person undertakes to provide to Duke Energy Corporation, any security holder of Duke Energy Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1), (2) and (3) to this Form 4.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.920 to $20.922, inclusive.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.930 to $20.932, inclusive.
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