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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 6/10/21 Duke Energy Corp. 8-K:8,9 6/07/21 14:1M Toppan Merrill/FA |
Document/Exhibit Description Pages Size 1: 8-K Current Report HTML 44K 2: EX-4.1 Instrument Defining the Rights of Security Holders HTML 264K 3: EX-5.1 Opinion of Counsel re: Legality HTML 20K 4: EX-99.1 Miscellaneous Exhibit HTML 138K 10: R1 Cover HTML 56K 12: XML IDEA XML File -- Filing Summary XML 13K 9: XML XBRL Instance -- tm2118340d5_8k_htm XML 27K 11: EXCEL IDEA Workbook of Financial Reports XLSX 6K 6: EX-101.DEF XBRL Definitions -- duk-20210607_def XML 76K 7: EX-101.LAB XBRL Labels -- duk-20210607_lab XML 111K 8: EX-101.PRE XBRL Presentations -- duk-20210607_pre XML 73K 5: EX-101.SCH XBRL Schema -- duk-20210607 XSD 16K 13: JSON XBRL Instance as JSON Data -- MetaLinks 27± 37K 14: ZIP XBRL Zipped Folder -- 0001104659-21-079172-xbrl Zip 107K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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 i June 7, 2021 /
(Exact Name of Registrant as Specified in its Charter)
| i i Delaware / | i i 001-32853 / | i 20-2777218 | ||
|
(State or Other Jurisdiction of Incorporation) |
(Commission File Number) |
(IRS Employer Identification No.) |
i 550 South Tryon Street, i Charlotte, i North Carolina i 28202
(Address of Principal Executive Offices, including Zip Code)
(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 i ¨ / | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| i i ¨ / | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| i i ¨ / | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| i i ¨ / | 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).
| 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:
C:
Item 8.01. Other Events.
On June 10, 2021, Duke Energy Corporation (the “Company”) consummated the issuance and sale of the securities described below pursuant to an underwriting agreement, dated June 7, 2021 (the “Underwriting Agreement”), with Barclays Capital Inc., BofA Securities, Inc., PNC Capital Markets LLC, RBC Capital Markets, LLC and Wells Fargo Securities, LLC, as representatives of the several underwriters named therein (the “Underwriters”), pursuant to which the Company agreed to issue and sell to the Underwriters $500,000,000 aggregate principal amount of the Company’s Floating Rate Senior Notes due 2023 (the “Floating Rate Notes”), $1,000,000,000 aggregate principal amount of the Company’s 2.55% Senior Notes due 2031, $750,000,000 aggregate principal amount of the Company’s 3.30% Senior Notes due 2041 and $750,000,000 aggregate principal amount of the Company’s 3.50% Senior Notes due 2051 (collectively, the “Fixed Rate Notes,” and together with the Floating Rate Notes, the “Securities”). The Floating Rate Notes were sold to the Underwriters at par. The Fixed Rate Notes 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-fifth Supplemental Indenture, dated as of June 10, 2021 (the “Supplemental Indenture”), among the Company, the Trustee and The Bank of New York Mellon Trust Company, N.A., as calculation agent. 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 the opinion into the Company’s Registration Statement on Form S-3 No. 333-233896.
Item 9.01. Financial Statements and Exhibits.
| (d) | Exhibits. |
C:
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: June 10, 2021 | ||
| By: | /s/ Robert T. Lucas III | |
| Name: Robert T. Lucas III | ||
| Title: Assistant Corporate Secretary | ||
C:
C:
| This ‘8-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on: | 6/10/21 | |||
| For Period end: | 6/7/21 | 424B5, FWP | ||
| 6/3/08 | ||||
| List all Filings | ||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/23/24 Duke Energy Corp. 10-K 12/31/23 261:76M 2/27/23 Duke Energy Corp. 10-K 12/31/22 231:79M 9/23/22 Duke Energy Corp. S-3ASR 9/23/22 44:13M Toppan Merrill/FA 2/24/22 Duke Energy Corp. 10-K 12/31/21 220:78M 1/28/22 Duke Energy Corp. S-3ASR 1/28/22 5:332K Toppan Merrill/FA 9/24/21 Duke Energy Corp. 424B5 1:497K Toppan Merrill/FA 9/23/21 Duke Energy Corp. 424B5 1:486K Toppan Merrill/FA 8/05/21 Duke Energy Corp. 10-Q 6/30/21 137:36M |