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 |
LTIP Phantom Stock Grant Feb 2005
(1)
|
Â
(2)
|
Â
(3)
|
Common Stock
|
1,456
|
$
(4)
|
D
|
Â
|
LTIP Phantom Stock Grant May 2005
(1)
|
Â
(2)
|
Â
(3)
|
Common Stock
|
540
|
$
(4)
|
D
|
Â
|
Stock Option (Right to Buy)
(1)
|
12/20/2005 |
12/20/2010 |
Common Stock
|
4,000
|
$
42.81
|
D
|
Â
|
Stock Option (Right to Buy)
(1)
|
Â
(5)
|
12/19/2011 |
Common Stock
|
4,000
|
$
37.68
|
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, Duke Power Company, LLC, formerly known as Duke Energy Corporation (Predecessor), merged into a wholly-owned subsidiary of Duke Energy Corporation, formerly known as Duke Energy Holding Corp. (Issuer). In connection with the merger, each share of Predecessor's common stock was converted into the right to receive one share of Issuer's common stock. |
(2) |
The phantom stock vests in 5 equal annual installments beginning on the first anniversary of the grant date. |
(3) |
Expiration date not applicable. |
(4) |
Converts to Common Stock on a 1-for-1 basis. |
(5) |
Final installment of one-fifth of the original grant vests on December 19, 2006; remainder fully vested as of December 19, 2005. |