0001127602-11-029271.txt : 20111110
0001127602-11-029271.hdr.sgml : 20111110
20111110162826
ACCESSION NUMBER: 0001127602-11-029271
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20111108
FILED AS OF DATE: 20111110
DATE AS OF CHANGE: 20111110
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Duke Energy CORP
CENTRAL INDEX KEY: 0001326160
STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC & OTHER SERVICES COMBINED [4931]
IRS NUMBER: 202777218
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 526 SOUTH CHURCH STREET
STREET 2: EC03T
CITY: CHARLOTTE
STATE: NC
ZIP: 28202
BUSINESS PHONE: 704-594-6200
MAIL ADDRESS:
STREET 1: 526 SOUTH CHURCH STREET
STREET 2: EC03T
CITY: CHARLOTTE
STATE: NC
ZIP: 28202
FORMER COMPANY:
FORMER CONFORMED NAME: Duke Energy Holding Corp.
DATE OF NAME CHANGE: 20050628
FORMER COMPANY:
FORMER CONFORMED NAME: Deer Holding Corp.
DATE OF NAME CHANGE: 20050504
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ROGERS JAMES E
CENTRAL INDEX KEY: 0001024251
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-32853
FILM NUMBER: 111195746
MAIL ADDRESS:
STREET 1: 526 SOUTH CHURCH STREET
STREET 2: EC03T
CITY: CHARLOTTE
STATE: NC
ZIP: 28202
4
1
form4.xml
PRIMARY DOCUMENT
X0304
4
2011-11-08
0001326160
Duke Energy CORP
DUK
0001024251
ROGERS JAMES E
550 S. TRYON STREET
CHARLOTTE
NC
28202
1
1
Chairman, President & CEO
Common Stock
2011-11-08
4
M
0
210456
15.26
A
2036095
D
Common Stock
2011-11-08
4
M
0
210046
15.50
A
2246141
D
Common Stock
2011-11-08
4
M
0
1147646
16.60
A
3393787
D
Common Stock
2011-11-08
4
S
0
1568148
20.81
D
1825639
D
Common Stock
2011-11-09
4
M
0
57397
16.60
A
1883036
D
Common Stock
2011-11-09
4
S
0
57397
20.70
D
1825639
D
Common Stock
19592
I
By 401(k)
Common Stock
507658
I
By Spouse
Stock Option (Right to Buy)
15.26
2011-11-08
4
M
0
210456
0
D
2008-01-01
2015-01-01
Common Stock
210456
0
D
Stock Option (Right to Buy)
15.50
2011-11-08
4
M
0
210046
0
D
2009-01-01
2016-01-01
Common Stock
210046
0
D
Stock Option (Right to Buy)
16.60
2011-11-08
4
M
0
1147646
0
D
2009-04-03
2016-04-04
Common Stock
1147646
730000
D
Stock Option (Right to Buy)
16.60
2011-11-09
4
M
0
57397
0
D
2009-04-03
2016-04-04
Common Stock
57397
672603
D
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.80 to $20.88, 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) and (2) 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 $20.700 to $20.709, inclusive.
/s/ David S. Maltz, attorney-in-fact for James E. Rogers
2011-11-10