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 |
Phantom Stock
|
Â
(2)
|
Â
(2)
|
Common Stock
|
16,582.017
(1)
|
$
(3)
|
D
|
Â
|
Stock Option (Right to buy)
|
Â
(4)
|
01/01/2009 |
Common Stock
|
19,500
(1)
|
$
21.875
|
D
|
Â
|
Stock Option (Right to buy)
|
Â
(5)
|
12/14/2009 |
Common Stock
|
15,600
(1)
|
$
15.264
|
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, Cinergy Corp. ('Issuer') merged into a wholly-owned subsidiary of Duke Energy Holding Corp. (now known as Duke Energy Corporation) ('Duke Energy'). In connection with the merger, each share of Issuer's common stock was converted into the right to receive 1.56 shares of Duke Energy's common stock and each stock option of Issuer was converted by multplying the number of Issuer shares previously covered by the option by 1.56 and dividing the prior exercise price of the option by 1.56. |
(2) |
Generally payable upon reporting person's termination of service. |
(3) |
The derivative security converts into common stock on a one-for-one basis and will be settled in stock. |
(4) |
The reporting person was granted 12,500 stock options on January 1, 1999. The options became exercisable in five equal annual installments. |
(5) |
The reporting person was granted 10,000 stock options on December 14, 1999. The options became exercisable in five equal annual installments. |