FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 04/03/2006 |
3. Issuer Name and Ticker or Trading Symbol
Duke Energy CORP [ DUK ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 830,982.36(1) | D | |
Common Stock | 14,944.4031(1) | I | By 401(k) |
Common Stock | 390,000(1) | I | By Spouse |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Phantom Stock | (2) | (2) | Common Stock | 134,908.189(1) | (3) | D | |
Phantom Stock | (2) | (2) | Common Stock | 243,858.466(1) | (4) | D | |
Stock Option (Right to buy) | (5) | 03/24/2008 | Common Stock | 583,233(1) | $23.638 | D | |
Stock Option (Right to buy) | 01/01/2007 | 01/01/2014 | Common Stock | 216,216(1) | $24.837 | D | |
Stock Option (Right to buy) | 01/01/2008 | 01/01/2015 | Common Stock | 214,188(1) | $26.788 | D | |
Stock Option (Right to buy) | 01/01/2009 | 01/01/2016 | Common Stock | 213,720(1) | $27.208 | D |
Explanation of Responses: |
1. On April 3, 2006, Cinergy Corp. ('Issuer') merged into a wholly-owned subsidiary of Duke Energy Holding Corp. (now known as Duke Energy Corporation) ('Duke Energy'). In connection with the merger, each share of Issuer's common stock was converted into the right to receive 1.56 shares of Duke Energy's common stock and each stock option of Issuer was converted by multplying the number of Issuer shares previously covered by the option by 1.56 and dividing the prior exercise price of the option by 1.56. |
2. Generally payable upon reporting person's termination of service. |
3. The derivative security converts into common stock on a one-for-one basis and will be settled in stock. |
4. The derivative security converts into common stock on a one-for-one basis and will be settled in cash. |
5. The reporting person was granted 480,000 stock options on March 24, 1998. The options became exercisable in five equal annual installments. |
Remarks: |
By: David S. Maltz, attorney-in-fact | 04/13/2006 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |