SEC Form 4
FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION | |||
OMB APPROVAL | |||
Washington, D.C. 20549 | |||
OMB Number: | 3235-0287 | ||
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP | Estimated average burden | ||
hours per response: | 0.5 | ||
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
1. Name and Address of Reporting Person * | 2. Issuer Name and Ticker or Trading Symbol | 5. Relationship of Reporting Person(s) to Issuer | ||||||||||||||||||||||||||
YOUNG STEVEN K | Duke Energy CORP[ DUK ] | (Check all applicable) | ||||||||||||||||||||||||||
Director | 10% Owner | |||||||||||||||||||||||||||
3. Date of Earliest Transaction (Month/Day/Year) | ||||||||||||||||||||||||||||
X | Officer (give title | Other (specify | ||||||||||||||||||||||||||
09/26/2019 | ||||||||||||||||||||||||||||
(Last) | (First) | (Middle) | below) | below) | ||||||||||||||||||||||||
550 S. TRYON STREET | EVP & CFO | |||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable | |||||||||||||||||||||||||||
(Street) | Line) | |||||||||||||||||||||||||||
CHARLOTTE NC | 28202 | X Form filed by One Reporting Person | ||||||||||||||||||||||||||
Form filed by More than One Reporting | ||||||||||||||||||||||||||||
(City) | (State) | (Zip) | Person | |||||||||||||||||||||||||
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||||||||||||||||||||
1. Title of Security (Instr. 3) | 2. Transaction | 2A. Deemed | 3. | 4. Securities Acquired (A) or | 5. Amount of | 6. Ownership | 7. Nature | |||||||||||||||||||||
Date | Execution Date, | Transaction | Disposed Of (D) (Instr. 3, 4 and | Securities | Form: Direct | of Indirect | ||||||||||||||||||||||
(Month/Day/Year) | if any | Code (Instr. | 5) | Beneficially | (D) or Indirect | Beneficial | ||||||||||||||||||||||
(Month/Day/Year) | 8) | Owned Following | (I) (Instr. 4) | Ownership | ||||||||||||||||||||||||
Reported | (Instr. 4) | |||||||||||||||||||||||||||
(A) or | ||||||||||||||||||||||||||||
Code | V | Amount | Price | Transaction(s) | ||||||||||||||||||||||||
(D) | (Instr. 3 and 4) | |||||||||||||||||||||||||||
Common Stock | 09/26/2019 | S | 219 | D | $96.24 | 71,464 | D | |||||||||||||||||||||
Common Stock | 6,953 | I | By | |||||||||||||||||||||||||
401(k) | ||||||||||||||||||||||||||||
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||||||||||||||||||||
(e.g., puts, calls, warrants, options, convertible securities) | ||||||||||||||||||||||||||||
1. Title of | 2. | 3. Transaction | 3A. Deemed | 4. | 5. Number | 6. Date Exercisable and | 7. Title and | 8. Price | 9. Number of | 10. | 11. Nature | |||||||||||||||||
Derivative | Conversion | Date | Execution Date, | Transaction | of | Expiration Date | Amount of | of | derivative | Ownership | of Indirect | |||||||||||||||||
Security | or Exercise | (Month/Day/Year) | if any | Code (Instr. | Derivative | (Month/Day/Year) | Securities | Derivative | Securities | Form: | Beneficial | |||||||||||||||||
(Instr. 3) | Price of | (Month/Day/Year) | 8) | Securities | Underlying | Security | Beneficially | Direct (D) | Ownership | |||||||||||||||||||
Derivative | Acquired | Derivative | (Instr. 5) | Owned | or Indirect | (Instr. 4) | ||||||||||||||||||||||
Security | (A) or | Security (Instr. 3 | Following | (I) (Instr. 4) | ||||||||||||||||||||||||
Disposed | and 4) | Reported | ||||||||||||||||||||||||||
of (D) | Transaction(s) | |||||||||||||||||||||||||||
(Instr. 3, 4 | (Instr. 4) | |||||||||||||||||||||||||||
and 5) | ||||||||||||||||||||||||||||
Amount | ||||||||||||||||||||||||||||
or | ||||||||||||||||||||||||||||
Number | ||||||||||||||||||||||||||||
Date | Expiration | of | ||||||||||||||||||||||||||
Code | V | (A) | (D) | Exercisable | Date | Title | Shares |
Explanation of Responses:
Remarks:
/s/ David S. Maltz, attorney-in- fact for Steven K. Young
** Signature of Reporting Person
09/30/2019
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 4 (b)(v).
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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.
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Disclaimer
Duke Energy Corporation published this content on 30 September 2019 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 01 October 2019 07:12:01 UTC