0001326160-19-000166.txt : 20190626 0001326160-19-000166.hdr.sgml : 20190626 20190626163703 ACCESSION NUMBER: 0001326160-19-000166 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20190626 ITEM INFORMATION: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers FILED AS OF DATE: 20190626 DATE AS OF CHANGE: 20190626 FILER: 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 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-32853 FILM NUMBER: 19922097 BUSINESS ADDRESS: STREET 1: 550 SOUTH TRYON STREET STREET 2: DEC45A CITY: CHARLOTTE STATE: NC ZIP: 28202 BUSINESS PHONE: 980-373-9093 MAIL ADDRESS: STREET 1: 550 SOUTH TRYON STREET STREET 2: DEC45A 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 8-K 1 a6-26x19form8xkfanandakis.htm 8-K Document


UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 

 
FORM 8-K
 
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
 
 
Date of Report (Date of earliest event reported): June 26, 2019
 
Commission file number

Registrant, State of Incorporation or Organization,
Address of Principal Executive Offices, and Telephone Number
IRS Employer Identification No.





1-32853
dukeenergylogoa15.jpg
DUKE ENERGY CORPORATION
(a Delaware corporation)
550 South Tryon Street
Charlotte, North Carolina 28202-1803
704-382-6200






20-2777218
 
 
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
 
o            Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 
o            Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 
o            Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 
o            Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240. 13e-4(c))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company a62919form8kfanandaki_image2.gif

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. a62919form8kfanandaki_image3.gif






SECURITIES REGISTERED PURSUANT TO SECTION 12(b) OF THE ACT:
Title of each class
Trading Symbol(s)
Name of each exchange on which registered
Common stock, $0.001 par value
DUK
New York Stock Exchange LLC
5.125% Junior Subordinated Debentures due January 15, 2073
DUKH
New York Stock Exchange LLC
5.625% Junior Subordinated Debentures due September 15, 2078
DUKB
New York Stock Exchange LLC
Depositary Shares, each representing a 1/1,000th interest in a share of 5.75% Series A Cumulative Redeemable Perpetual Preferred Stock, par value $0.001 per share
DUK PR A
New York Stock Exchange LLC









Item 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
 
On June 26, 2019, Nicholas C. Fanandakis was appointed to the Board of Directors (the “Board”) of Duke Energy Corporation (”Duke Energy”), effective immediately. Mr. Fanandakis has been appointed to the Board’s Audit Committee and Finance and Risk Management Committee.

Mr. Fanandakis has been Executive Vice President at DowDuPont, Inc. since 2017. From 2009 until 2017, Mr. Fanandakis served as Executive Vice President and Chief Financial Officer at E.I. du Pont de Nemours and Company, Inc. (“DuPont”). Prior to 2009, Mr. Fanandakis had served in various plant, marketing, product management, and business director roles in the DuPont organization since 1979. Mr. Fanandakis has also been a member of the Board of Directors of ITT Corporation since 2016 and of FTI Consulting, Inc. since 2014.

The Board has determined that Mr. Fanandakis is independent pursuant to Duke Energy’s Standards for Assessing Director Independence, the listing standards of the New York Stock Exchange, and the rules and regulations of the Securities and Exchange Commission and has also determined that Mr. Fanandakis is an “Audit Committee Financial Expert” pursuant to SEC regulations.

Mr. Fanandakis’ directorship will expire, along with Duke Energy’s other directors’ terms, at the next annual meeting of shareholders.

As an outside director of Duke Energy, Mr. Fanandakis will receive a pro-rated payment of the cash and stock annual retainer, will be eligible for other retainers (if applicable) in accordance with Duke Energy’s Director Compensation Program, as set forth on Exhibit 10.3 of the Duke Energy Form 10-Q for the quarter ended June 30, 2017, filed with the SEC on August 3, 2017, and will be eligible to participate in Duke Energy’s Directors’ Savings Plan, which is described in the Annual Proxy Statement filed with the SEC on March 21, 2019. Mr. Fanandakis is subject to Duke Energy’s Stock Ownership Guidelines, which require outside directors to own Duke Energy Corporation common stock (or common stock equivalents) with a value equal to at least five times the annual cash retainer (i.e., an ownership level of $625,000) or retain 50% of their vested annual equity retainer until such minimum requirements are met.










SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.


                            
 
 
 
DUKE ENERGY CORPORATION
Date: June 26, 2019
 
By:
 /s/ David S. Maltz
 
 
 
David S. Maltz
 
 
 
Vice President, Legal and Assistant Corporate Secretary






GRAPHIC 2 a62919form8kfanandaki_image2.gif begin 644 a62919form8kfanandaki_image2.gif M1TE&.#EA2@!6 /4 $! 0(" @,# P0$! 4%!08&!@<'!P@(" D)"0L+ M"PP,# T-#0X.#@\/#Q 0$!(2$EQ<7%Y>7E]?7V!@8&%A86)B8L?'Q\C(R,G) MRCHZ.GIZ>OKZ^SL[.WM[>[N[O'Q\?+R\O/S\_3T M]/7U]?;V]O?W]_CX^/GY^?KZ^OO[^_S\_/W]_?[^_O___P M "P 2@!6 $4(_P!G"!Q(L*#! M@P@3*ER(,,8,&3-@P&CQ8H5 %3-0.)3(L:/'CR!#?G0Q(P8+ARQFL&@QXP6, M@PYEO ! L^8(B QSZAR(LP+- $:$@8,ER<"ATZLO+.#!!=;-X\N?3[^^ M?DBD@R5^2/X0WW6HO-+3E>DS)2>9R5)6$YHWQ?;JN -ZL &3 MTXY>:@E>13PQ;7/,W56ZP#:7@O::!'.5CIW2Q;- M0,(!IQ5N^.&()Z[XXHR?YO4%& GRAPHIC 3 a62919form8kfanandaki_image3.gif begin 644 a62919form8kfanandaki_image3.gif M1TE&.#EA&P @ /0 $! 0(" @0$! 4%!0@("-C8V.#@X./CX^?GY^CH MZ.KJZNOKZ^SL[.[N[O;V]OKZ^OO[^_S\_/W]_?[^_O___P M "P &P @ $0(T0 K"!Q(L*#!@P(! &B M$"&" **F38T.##B 0#:-S(L:/' !0H5* @(4 ! 0I3JEP)( ! 0(F2!@X ML:)%B!(7VBQX<:?/GT!S4OS9DV!-H$5IZD2*T^A2HDT':ARZD\*!IC,A!"T8 M@<*#K6##5I@088$#!0W2JEW+EH%9!A,J2(@@ :6 CW@)N!P@86;"ISZ3_J6Z M4W"%HU Q*B5LTS#BP%$'!W4,N'#D"G<7 )V &7!NPDFB!Y-NG0$ PH%2I ) 1L[7KU[#O0A IMK;MK0$! #L! end GRAPHIC 4 dukeenergylogoa15.jpg begin 644 dukeenergylogoa15.jpg M_]C_X 02D9)1@ ! 0$ > !X #_X1"H17AI9@ 34T *@ @ ! $[ ( M 2 (2H=I 0 ! (7)R= $ D 0?.H< < @, /@ M G)E4WI.5&-Z M:V,Y9"<_/@T*/'@Z>&UP;65T82!X;6QN&UL;G,Z&UL;G,Z9&,](FAT=' Z+R]P M=7)L+F]R9R]D8R]E;&5M96YT#IX;7!M971A/@T*(" @(" @(" @(" @(" @(" @ M(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @ M(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @( H@(" @(" @ M(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @ M(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @ M(" @"B @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @ M(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @ M(" @(" @(" @(" @(" *(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @ M(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @ M(" @(" @(" @(" @(" @(" @(" @(" @( H@(" @(" @(" @(" @(" @(" @ M(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @ M(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @"B @(" @(" @ M(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @ M(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @ M(" *(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @ M(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @ M(" @(" @(" @(" @( H@(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @ M(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @ M(" @(" @(" @(" @(" @(" @(" @(" @"B @(" @(" @(" @(" @(" @(" @ M(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @ M(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" *(" @(" @(" @ M(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @ M(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @ M( H@(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @ M(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @ M(" @(" @(" @(" @"B @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @ M(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @ M(" @(" @(" @(" @(" @(" @(" @(" *(" @(" @(" @(" @(" @(" @(" @ M(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @ M(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @( H@(" @(" @(" @ M(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @ M(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @ M"B @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @ M(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @ M(" @(" @(" @(" *(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @ M(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @ M(" @(" @(" @(" @(" @(" @(" @( H@(" @(" @(" @(" @(" @(" @(" @ M(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @ M(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @"B @(" @(" @(" @ M(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @ M(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" * M(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @ M(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @ M(" @(" @(" @( H@(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @ M(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @(" @ M(" @(" @(" @(" @(" @(" @(" @"B @(" @(" @(" @(" @(" @(" @(" @ M(" @(" \/WAP86-K970@96YD/2=W)S\^_]L 0P '!04&!00'!@4&" <'" H1 M"PH)"0H5#Q ,$1@5&AD8%1@7&QXG(1L=)1T7&"(N(B4H*2LL*QH@+S,O*C(G M*BLJ_]L 0P$'" @*"0H4"PL4*AP8'"HJ*BHJ*BHJ*BHJ*BHJ*BHJ*BHJ*BHJ M*BHJ*BHJ*BHJ*BHJ*BHJ*BHJ*BHJ*BHJ*BHJ_\ $0@ 20"I P$B (1 0,1 M ?_$ !\ $% 0$! 0$! ! @,$!08'" D*"__$ +40 (! P," M! ,%!00$ !?0$" P $$042(3%!!A-180'EZ@X2%AH>(B8J2DY25EI>8F9JBHZ2EIJ>HJ:JRL[2UMK>XN;K" MP\3%QL?(R;GZ.GJ\?+S]/7V]_CY^O_$ !\! ,! M 0$! 0$! 0$ ! @,$!08'" D*"__$ +41 (! @0$ P0'!00$ $" M=P ! @,1! 4A,08205$'87$3(C*!"!1"D:&QP0DC,U+P%6)RT0H6)#3A)?$7 M&!D:)BH*#A(6&AXB)BI*3E)66EYB9FJ*CI*6FIZBIJK*SM+6VM[BYNL+#Q,7&Q\C) MRM+3U-76U]C9VN+CY.7FY^CIZO+S]/7V]_CY^O_: P# 0 "$0,1 #\ ^CZ* M** "BBD) 4DG '4F@!:*IVVJZ?>S-#9WUM<2)]Y(I58K^ -7*!)I[!1110,* M*** "BBB@ HHHH **** "BBB@ HHHH **** "DI:I:CJEII+]*L",K-=(K#' M;.3^@KOPU)).<^AY6*Q#ERPIO<]_^&?P[T[1?"-E=75JHU:X N'N0N)(LX(0 M'L,8R.AYKT;M7E/BCQ)J4/B:YCL;R6"&W81*B'C@#.?QS5C2/B+?6\BIJT:W M46,;T 5Q_0UX,\RI.JXRTU-88NE!^S?30].KG_'.I7.D>!]6U"PE,5S;VS/$ MX&=K#O@UJ:;J5KJMFMS93++&?0\J?0^AK!^)G_)-=;_Z]6_E7H4[2:L=TY+D M;1Q>@O\ %+4_#MKK=AKFGW@N(MZ6MQ !GV) '/XUT7A+X@RZ^FI:7JUDVF:_ MIT+/+;'HP ^\OMG'YBM/X:?\DWT7'_/O_4UQ/B+:?VAM/%H 6_LZ;[3MYX\E M_O?^._I72DIR<6CDUIP4DWK^ITOPF\0ZGXE\(RWVLW/VF<7^.*S_ (%<> 9AG)^W2Y_2F>/OF^+? M@7'.)9#P:7*O;.)7,UAU+KI^99\,>++^Y^(7B^RUF_"Z;I;;H@X"B)0>N1[> MM1:3XF\0>/O%#S>'KAM-\,V3;'N#$"]VW<+D<#^5>6^*+#4[KQQXSEL8Y)K& MWO!)?P1R;3)'N'''OFO?_!FIZ1JOA*RF\.HD5BL>Q8%_Y8D<%2/7/Y]>]75B MH+F2,Z,I5)U_F>>IJ?CGQ%\0?$FE:'XABL8-,F 198%;Y23@ X[5V_A'3 M?%EC/=-XKUN#4T=5$"Q0A-ARO MH=0*6DI:Y3N"BBB@ HHHH *Y&XT8>(]4D2=0,=?;)KKJXOQ-9 M7NF:DVL:8[H),>;LYP?<>E;47J[.S.'&I*W1YA\=I$M;_1=(MBP@M;9 MV /);>.'Q5H=OJ'E_-=' X>8_] MLS5NU\0V5[IUS>0>88[8$N&7!.!GBO#K8&G9SG ]'_9*K=FF_4X72;;5_!FM MP&]C(LKEQ%(4.4.>A]B,UV'CK3KG5O ^JV%A$9;F> I&@.-QKGD\1W?C*^AT MVTLU@LS(LDTC_,P53G\":ZOQ/J[Z#X8U'5(8EFDM(&E6-C@,166!48Z4G>/0 MK#J*A)1?N_U<\ST1_BIIOAZVT/3M L;1((_+2ZFDRP[YZXS^%=3X'\ R:#<7 M6K^(+LZGKE\I6>8\JBY^ZN?PS]*Y_3_B1XZU6QCO-.\%)<6THRDJ2G#"M+6_ MB;?>&-,T&Y\0Z/\ 9I-0D<7<(8[H%4CD>O!S7K2]HW9)?(5.5)*[;LNYD6^D M>,OAKK-^OAG3$US1+R4S1PF3:\)/;/Z>E7_#GA[Q+XB\<0^*_&EM%8+8H4LK M*-MVTGJQ_,UZ-87UMJ5E#>6,RSV\R!TD0\,#7,WGC26W^)UKX52T1HY[8S-. M6.Y3@G&/PJ/:2E?34U]G"-FY:7VZ&5X0\,ZE8?$KQ;J6I6>VQU)OW+.0PD&> MF/I5&U\):WX$\??:_"-JUUX?U @W5FK@"$^H!/;M[9%9FG?%?QEK4UT-#\+6 M]]';2F-VC9N.3C//H*Z!/'?B:P\%ZQK7B+PZEC-8E/(A+$"4'J>_2M+5$]4M M=+&*=)K=Z7=[&(EAXY\-_$+Q'JN@^'HKZWU.8%6FEV_*.A:^$-6\7:E+-#M],BC4&%X9-WF-DY'7TQ7(0?%[7;.VMM0\1>$9;?2;@(PO()"55&Y#< MCD8^E=]K?BW2-!\.C6[ZY_T-T#1%!DRYY 4=R:BIS/1K4UI^(\VOQ7^FG2VL?$EG"TGV"X)VR M8]&_3GU%9NE*US55HO17^X[ZBN4\!>-4\9:1-++ +6^M93%[DSMA9,,<#\J]LUG2+37M'N-,U&/S+>X0HZ^GH1[@\U\\:E\/?%OP_ M\3Q:GH]I)J,%M+YD-Q!'NR/1U'(XXKTJ%9.%I;G@8O 1Y^:*TZV/0T\-ZQ(X M46$JY[M@ 5V6@Z =/TB6VO=KO<9,JAN,8QBN?T?QAXI\501Q6'AB?1"X'FW] M\V8XQW*)@%S^0%=\J[54%MQ P6]:YZU:4UR2.K"8&C2ESQN_4HZ5HEAHMN8= M/@$88Y8DDEOQ-9/Q$)7X<:Z<9_T*3O[5TUL_\(.G MB*R6TN+NZ*75LCDA-S*" <^E/\&?%73/#W@_3]+O-+U1YK>/:YCM\J>>U2>. MM4'B:Z\":K96UPD,NH9V21D,@#K]X=NE=R3C5O:V^IP:3I6YK[:$5E>:A\&O M$W]G:B\EWX6OI,P3XR;<_P"([COU%:=_)%-^T1I$UNZR1RZ9O5U.0P(;D5Z) MKFA6'B+2)]-U: 36\PP1W4]F![$>M>,^$_"FK>%/C'86.IO++=';6!X4T)=5BDNLS%@?D M;)P.".U=KXHU?Q#J_P '=?E\5:0NE7",JQQJ3\ZY4YY/K7'_ [\./A/X@?3K&\@:W\M"DZJU,J'CJ7Q'X#LO N@Z)=3ZB]A#;2228"(H507'MT(-:FI MZ(A^)'@CPCJC^=9:?IHE*D_++(N[KZ_ZL?G3M3\,WUOX)\+^,/#B,FKZ5IEO MY\*J.M#T;QIX-#)J^F,6%M(-K,.-\9SCD$<=B#[U M+<5+31:_>5:37O:O3[CT+6]8M/#NAW&IWJR&WME!985W-C( P/QKC](^*?A' M5_$EO;V-I=+J-[B%97M0A8(=(U"ROT&)+4P;PS#J! MGW'>JWA+2-2\8_$&/QIJNF_V7IUI&4L+5EPSY!&XCCU)SZUBJ?*GSJQO*MS2 M2INYF_$6+4_A[XN?Q'X:P(=%TBF^ M>_NSY]W(>I<]OP_QKGOCA&\OA[1O*1W*ZI&<(A8_=;GBNN\2WEY:V, L7\MW MVXX.&.0"I((Q\I)ZCI^;E-NDD$::A6D^B_4Z&BLS0+FXNM'BEO#OD/ ?;@N/ M7'Z?AFM.N8[$[A124"@8M)2T&@!.]+24"D#W%I",TM%,!-H]!^5&!Z4M% "4 M$9I:* (_(B/6-#]5%*L:*,*BCZ#%/HH 3%(% S@=:=10!#):6\TJR301R.O1 ?F0$C\:FHHH 0C/6FO&KJ5Q&13Z* "BBB@#__V0$! end