SEC Info  
    Home      Search      My Interests      Help      Sign In      Please Sign In

Duke Energy Corp – ‘8-K’ for 3/24/21

On:  Tuesday, 3/30/21, at 8:59am ET   ·   For:  3/24/21   ·   Accession #:  1104659-21-43714   ·   File #:  1-32853

Previous ‘8-K’:  ‘8-K’ on 3/3/21 for 2/25/21   ·   Next:  ‘8-K’ on 4/1/21 for 3/31/21   ·   Latest:  ‘8-K’ on 5/11/21 for 5/5/21

Magnifying glass tilted right emoji
  in    Show  and   Hints

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

 3/30/21  Duke Energy Corp                  8-K:5       3/24/21   11:275K                                   Toppan Merrill/FA

Current Report   —   Form 8-K   —   Sect. 13 / 15(d) – SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         Current Report                                      HTML     34K 
 7: R1          Cover                                               HTML     56K 
 9: XML         IDEA XML File -- Filing Summary                      XML     12K 
 6: XML         XBRL Instance -- tm2111251d1_8k_htm                  XML     24K 
 8: EXCEL       IDEA Workbook of Financial Reports                  XLSX      6K 
 3: EX-101.DEF  XBRL Definitions -- duk-20210324_def                 XML     77K 
 4: EX-101.LAB  XBRL Labels -- duk-20210324_lab                      XML    106K 
 5: EX-101.PRE  XBRL Presentations -- duk-20210324_pre               XML     74K 
 2: EX-101.SCH  XBRL Schema -- duk-20210324                          XSD     15K 
10: JSON        XBRL Instance as JSON Data -- MetaLinks               27±    36K 
11: ZIP         XBRL Zipped Folder -- 0001104659-21-043714-xbrl      Zip     25K 

‘8-K’   —   Current Report

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

 iX:   C:   C:   C:   C:   C:   C:   C:   C: 
 i 0001326160  i false 0001326160 2021-03-24 2021-03-24 0001326160 us-gaap:CommonStockMember 2021-03-24 2021-03-24 0001326160 duk:JuniorSubordinatedDebentures5.125CouponDueJanuary2073Member 2021-03-24 2021-03-24 0001326160 duk:JuniorSubordinatedDebentures5.625CouponDueSeptember2078Member 2021-03-24 2021-03-24 0001326160 duk:DepositoryShareMember 2021-03-24 2021-03-24 iso4217:USD xbrli:shares iso4217:USD xbrli:shares







Washington, D.C. 20549


FORM  i 8-K



Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934


Date of Report (Date of earliest event reported):  i March 24, 2021


Commission file
Registrant, State of Incorporation or Organization,
Address of Principal Executive Offices, and Telephone Number
IRS Employer
Identification No.
 i 1-32853


(a  i Delaware corporation)

 i 550 South Tryon Street

 i Charlotte,  i North Carolina  i 28202-1803

 i 704- i 382-3853

 i 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:


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


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


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


 i ¨            Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240. 13e-4(c))




Title of each class Trading
Name of each exchange on which registered
 i Common stock, $0.001 par value  i DUK  i New York Stock Exchange LLC
 i 5.125% Junior Subordinated Debentures due January 15, 2073  i DUKH  i New York Stock Exchange LLC
 i 5.625% Junior Subordinated Debentures due September 15, 2078  i DUKB  i New York Stock Exchange LLC
 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


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  i ¨


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. ¨








Item 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers


On March 30, 2021, Duke Energy Corporation (the “Corporation”) announced that Mr. Douglas F Esamann, Executive Vice President, Energy Solutions and President, Midwest/Florida Regions and Natural Gas Business, will be retiring effective August 1, 2021. Mr. Esamann’s responsibilities will be assumed by other members of the Corporation’s executive team.


On March 30, 2021, the Corporation also announced that Mr. Dwight L. Jacobs, currently Senior Vice President, Tax, Chief Accounting Officer and Controller, has been appointed as Senior Vice President, Supply Chain and Chief Procurement Officer, effective May 16, 2021, and that Ms. Cynthia S. Lee has been appointed as Vice President, Chief Accounting Officer and Controller, also effective May 16, 2021


Ms. Lee, 54, has served as Director, Investor Relations, since June 2019. Prior to joining the Investor Relations organization, Ms. Lee served in various roles within the Corporate Controller’s organization after joining the Corporation and its affiliates in 2002.


Ms. Lee will participate in the Duke Energy Corporation Executive Severance Plan as a “Tier I” participant upon her appointment to her new role.  The Executive Severance Plan is described in more detail on pages 65-66 of the Corporation’s Proxy Statement dated March 23, 2021.  In all other respects, Ms. Lee will continue to participate in the compensation and benefit plans in which she was participating prior to the change in responsibilities. Ms. Lee has not entered into, nor were any amendments made to, any material plans, contracts or arrangements in connection with her change in responsibilities.








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.


Date: March 30, 2021   /s/ David S. Maltz
  Name:    David S. Maltz
  Title: Vice President, Legal, Chief Governance Officer and Assistant Corporate Secretary



 C: 3









Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘8-K’ Filing    Date    Other Filings
Filed on:3/30/21
For Period end:3/24/21
3/23/21DEF 14A,  DEFA14A
 List all Filings 
Filing Submission 0001104659-21-043714   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

Copyright © 2021 Fran Finnegan & Company LLC – All Rights Reserved.
AboutPrivacyRedactionsHelp — Mon., May 17, 8:35:11.0am ET