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