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Duke Energy Corp. – ‘8-K’ for 8/8/22

On:  Thursday, 8/11/22, at 9:49am ET   ·   For:  8/8/22   ·   Accession #:  1104659-22-89094   ·   File #:  1-32853

Previous ‘8-K’:  ‘8-K’ on / for 8/4/22   ·   Latest ‘8-K’:  This Filing   ·   1 Reference:  By:  Duke Energy Corp. – ‘S-3ASR’ on 9/23/22

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 8/11/22  Duke Energy Corp.                 8-K:8,9     8/08/22   14:909K                                   Toppan Merrill/FA

Current Report   —   Form 8-K

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         Current Report                                      HTML     41K 
 2: EX-4.1      Instrument Defining the Rights of Security Holders  HTML    323K 
 3: EX-5.1      Opinion of Counsel re: Legality                     HTML     22K 
 4: EX-99.1     Miscellaneous Exhibit                               HTML    193K 
 9: R1          Cover                                               HTML     55K 
12: XML         IDEA XML File -- Filing Summary                      XML     13K 
10: XML         XBRL Instance -- tm2222317d5_8k_htm                  XML     27K 
11: EXCEL       IDEA Workbook of Financial Reports                  XLSX      8K 
 6: EX-101.DEF  XBRL Definitions -- duk-20220808_def                 XML     77K 
 7: EX-101.LAB  XBRL Labels -- duk-20220808_lab                      XML    113K 
 8: EX-101.PRE  XBRL Presentations -- duk-20220808_pre               XML     74K 
 5: EX-101.SCH  XBRL Schema -- duk-20220808                          XSD     17K 
13: JSON        XBRL Instance as JSON Data -- MetaLinks               28±    36K 
14: ZIP         XBRL Zipped Folder -- 0001104659-22-089094-xbrl      Zip    130K 


‘8-K’   —   Current Report


This is an HTML Document rendered as filed.  [ Alternative Formats ]



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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

 Washington, D.C. 20549

  

 

 

FORM  i 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):  i August 8, 2022

 

 

 i Duke Energy Corporation 

(Exact Name of Registrant as Specified in its Charter)

 

 i Delaware    i 001-32853    i 20-2777218

(State or Other Jurisdiction

of Incorporation)

  (Commission File Number)  

(IRS Employer

Identification No.)

 

 i 526 South Church Street,  i Charlotte,  i North Carolina  i 28202

(Address of Principal Executive Offices, including Zip Code)

 

( i 704)  i 382-3853 

(Registrant’s telephone number, including area code)

 

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:

 

 i oWritten communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

 i oSoliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

 i oPre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

 i oPre-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).

 

 i ¨   Emerging growth company

 

o      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.

 

Securities registered pursuant to Section 12(b) of the Act:

 

Registrant   Title of each class:   Trading
Symbol(s):
  Name of each exchange on
which registered:
Duke Energy Corporation    i Common Stock, $0.001 par value  

 

 i DUK

 

 

 i New York Stock Exchange LLC

Duke Energy Corporation    i 5.625% Junior Subordinated Debentures due September 15, 2078    i DUKB    i New York Stock Exchange LLC
Duke Energy Corporation    i 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    i DUK PR A    i New York Stock Exchange LLC
Duke Energy Corporation    i 3.10% Senior Notes due 2028    i DUK 28A    i New York Stock Exchange LLC
Duke Energy Corporation    i 3.85% Senior Notes due 2034    i DUK34    i New York Stock Exchange LLC

 

 

 

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Item 8.01. Other Events.

 

On August 11, 2022, Duke Energy Corporation (the “Company”) consummated the issuance and sale of the securities described below pursuant to an underwriting agreement, dated August 8, 2022 (the Underwriting Agreement), with BMO Capital Markets Corp., BofA Securities, Inc., Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, Goldman Sachs & Co. LLC, Morgan Stanley & Co. LLC and PNC Capital Markets LLC, as representatives of the several underwriters named therein (the “Underwriters”), pursuant to which the Company agreed to issue and sell to the Underwriters $900,000,000 aggregate principal amount of the Company’s 4.300% Senior Notes due 2028, $1,150,000,000 aggregate principal amount of the Company’s 4.500% Senior Notes due 2032 and $1,150,000,000 aggregate principal amount of the Company’s 5.000% Senior Notes due 2052 (collectively, the “Securities”). The Securities were sold to the Underwriters at discounts to their principal amounts. The Securities were issued pursuant to an Indenture, dated as of June 3, 2008 (the Indenture), by and between the Company and The Bank of New York Mellon Trust Company, N.A., as trustee (the “Trustee”), as amended and supplemented by various supplemental indentures thereto, including the Twenty-eighth Supplemental Indenture, dated as of August 11, 2022 (the “Supplemental Indenture), between the Company and the Trustee.  The disclosure in this Item 8.01 is qualified in its entirety by the provisions of the Indenture, the Supplemental Indenture, together with the forms of global notes evidencing the Securities included therein, which is filed as Exhibit 4.1 hereto, and the Underwriting Agreement, which is filed as Exhibit 99.1 hereto.  Such exhibits are incorporated herein by reference.  Also, in connection with the issuance and sale of the Securities, the Company is filing a legal opinion regarding the validity of the Securities as Exhibit 5.1 to this Form 8-K for the purpose of incorporating such opinion into the Company’s Registration Statement on Form S-3, No. 333-233896.

 

Item 9.01. Financial Statements and Exhibits.

 

(d)            Exhibits.

 

4.1   Twenty-eighth Supplemental Indenture, dated as of August 11, 2022, to the Indenture, dated as of June 3, 2008, between the Company and The Bank of New York Mellon Trust Company, N.A., as Trustee, and forms of global notes included therein
     
5.1  

Opinion of Robert T. Lucas III regarding validity of the Securities 

     
23.1  

Consent of Robert T. Lucas III (included as part of Exhibit 5.1) 

     
99.1   Underwriting Agreement, dated August 8, 2022, among the Company and BMO Capital Markets Corp., BofA Securities, Inc., Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, Goldman Sachs & Co. LLC, Morgan Stanley & Co. LLC and PNC Capital Markets LLC, as representatives of the several underwriters named therein
     
104   Cover Page Interactive Data file (the Cover Page Interactive Data file is embedded within the Inline XBRL document)

 

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SIGNATURE

 

Pursuant to the requirements of the Securities and 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:  August 11, 2022    
     
  By: /s/ Robert T. Lucas III
    Name:   Robert T. Lucas III
    Title:   Assistant Corporate Secretary

 

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Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘8-K’ Filing    Date    Other Filings
Filed on:8/11/22
For Period end:8/8/22424B3,  424B5,  FWP
6/3/08
 List all Filings 


1 Subsequent Filing that References this Filing

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 9/23/22  Duke Energy Corp.                 S-3ASR      9/23/22   44:13M                                    Toppan Merrill/FA
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