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 of Derivative Security: 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)
|
Â
(2)
|
Â
(3)
|
Common Stock
|
5,088
|
$
(4)
|
D
|
Â
|
LTIP Phantom Stock Grant Feb 2005
(1)
|
Â
(2)
|
Â
(3)
|
Common Stock
|
5,512
|
$
(4)
|
D
|
Â
|
Phantom Stock ESP I
(1)
|
Â
(5)
|
Â
(3)
|
Common Stock
|
7,472
|
$
(4)
|
I
|
By Trustee, Executive Savings Plan I
|
Phantom Stock ESP II
(1)
|
Â
(6)
|
Â
(3)
|
Common Stock
|
9,571
|
$
(4)
|
I
|
By Trustee, Executive Savings Plan II
|
Stock Option (Right to Buy)
(1)
|
Â
(7)
|
07/01/2012 |
Common Stock
|
24,400
|
$
31.1
|
D
|
Â
|
Stock Option (Right to Buy)
(1)
|
Â
(8)
|
02/25/2013 |
Common Stock
|
29,000
|
$
13.77
|
D
|
Â
|
* |
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). |
(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. |