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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) | ||
| 1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Stock Option (Right to buy) | $ 21.875 | 01/08/2007 | 01/08/2007 | D(1) | 19,500 | (2)(3) | 01/01/2009 | Common Stock | 19,500 | $ 0 | 0 | D | |||
| Stock Option (Right to buy) (2) | $ 12.46 | 01/08/2007 | 01/08/2007 | A(1) | 19,500 | (2)(3) | 01/01/2009 | Common Stock | 19,500 | $ 0 | 19,500 | D | |||
| Stock Option (Right to buy) | $ 15.264 | 01/08/2007 | 01/08/2007 | D(1) | 15,600 | (2)(4) | 12/14/2009 | Common Stock | 15,600 | $ 0 | 0 | D | |||
| Stock Option (Right to buy) (2) | $ 8.69 | 01/08/2007 | 01/08/2007 | A(1) | 15,600 | (2)(4) | 12/14/2009 | Common Stock | 15,600 | $ 0 | 15,600 | D | |||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| SCHAPIRO MARY L 526 S. CHURCH STREET CHARLOTTE, NC 28202 |
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| By: David S. Maltz, attorney-in-fact | 01/10/2007 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 4(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 January 2, 2007, Duke Energy Corporation ('Issuer') spun off its natural gas businesses to form the stand-alone company Spectra Energy Corp. As a result, equitable adjustments were made to Duke Energy's outstanding stock option awards. |
| (2) | 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. |
| (3) | The reporting person was granted 12,500 stock options on January 1, 1999. The options became exercisable in five equal annual installments. |
| (4) | The reporting person was granted 10,000 stock options on December 14, 1999. The options became exercisable in five equal annual installments. |