SEC Form 3
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*
HAUSER DAVID L

(Last) (First) (Middle)
526 S. CHURCH STREET

(Street)
CHARLOTTE NC 28202

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
04/03/2006
3. Issuer Name and Ticker or Trading Symbol
Duke Energy CORP [ DUK ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Grp Exec & CFO
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
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(1) 210 D
Common Stock(1) 192 I By Spouse
Common Stock(1) 24,399 I By Trustee, Retirement Savings Plan
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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
LTIP Phantom Stock Grant Feb 2004(1) (2) (3) Common Stock 12,636 (4) D
LTIP Phantom Stock Grant Feb 2005(1) (2) (3) Common Stock 18,968 (4) D
Phantom Stock (Chairman's Award August 1999)(1) 08/18/2006(5) (3) Common Stock 12,000 (4) D
Phantom Stock ESP I(1) (6) (3) Common Stock 30,920 (4) I By Trustee, Executive Savings Plan I
Phantom Stock ESP II(1) (7) (3) Common Stock 15,837 (4) I By Trustee, Executive Savings Plan II
Stock Option (Right to Buy)(1) 02/17/2002 02/17/2008 Common Stock 18,600 $27.63 D
Stock Option (Right to Buy)(1) 02/17/2003 02/17/2009 Common Stock 31,800 $29.66 D
Stock Option (Right to Buy)(1) 12/20/2003 12/20/2009 Common Stock 37,800 $24.88 D
Stock Option (Right to Buy)(1) 12/20/2004 12/20/2010 Common Stock 31,200 $42.81 D
Stock Option (Right to Buy)(1) 12/19/2005 12/19/2011 Common Stock 32,500 $37.68 D
Stock Option (Right to Buy)(1) 01/17/2002 01/17/2012 Common Stock 4,700 $38.33 D
Stock Option (Right to Buy)(1) 01/28/2003 01/28/2013 Common Stock 5,400 $17.1 D
Stock Option (Right to Buy)(1) (8) 02/25/2013 Common Stock 34,200 $13.77 D
Explanation of Responses:
1. On April 3, 2006, Duke Power Company, LLC, formerly known as Duke Energy Corporation (Predecessor), merged into a wholly-owned subsidiary of Duke Energy Corporation, formerly known as Duke Energy Holding Corp. (Issuer). In connection with the merger, each share of Predecessor's common stock was converted into the right to receive one share of Issuer's common stock.
2. The phantom stock vests in 5 equal annual installments beginning on the first anniversary of the grant date.
3. Expiration date not applicable.
4. Converts to Common Stock on a 1-for-1 basis.
5. May vest earlier upon achievement of specified total shareholder return.
6. Payable upon termination of employment or occurrence of other events as specified in the Executive Savings Plan I.
7. Payable upon termination of employment or occurrence of other events as specified in the Executive Savings Plan II, subject to holding periods required by law.
8. Final installment of one-fourth of the original grant vests on February 25, 2007; remainder fully vested as of February 25, 2006.
Remarks:
By: Judy Z. Mayo, Attorney-in-fact for 04/12/2006
** 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.