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(1) | 3,838 | I | By Trustee, Retirement Savings Plan |
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 | ||||
LTIP Phantom Stock Grant Feb 2004(1) | (2) | (3) | Common Stock | 2,412 | (4) | D | |
LTIP Phantom Stock Grant Feb 2005(1) | (2) | (3) | Common Stock | 6,968 | (4) | D | |
Phantom Stock ESP I(1) | (5) | (3) | Common Stock | 1,642 | (4) | I | By Trustee, Executive Savings Plan I |
Phantom Stock ESP II(1) | (6) | (3) | Common Stock | 4,250 | (4) | I | By Trustee, Executive Savings Plan II |
Stock Option (Right to Buy)(1) | (7) | 07/01/2012 | Common Stock | 12,700 | $31.1 | D | |
Stock Option (Right to Buy)(1) | (8) | 02/25/2013 | Common Stock | 13,200 | $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. Payable upon termination of employment or occurrence of other events as specified in the Executive Savings Plan I. |
6. 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. |
7. Final installment of one-fourth of the original grant vests on July 1, 2006; remainder fully vested as of July 1, 2005. |
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. |