Current Report Filing (8-k)
31 March 2021 - 12:00AM
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of
the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported):
March 24, 2021
Commission file
number
|
Registrant, State of Incorporation or Organization,
Address of Principal Executive Offices, and Telephone Number
|
IRS Employer
Identification No.
|
1-32853
|
DUKE ENERGY CORPORATION
(a Delaware corporation)
550 South Tryon Street
Charlotte, North Carolina 28202-1803
704-382-3853
|
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:
¨
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
¨
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
¨
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
¨
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240. 13e-4(c))
SECURITIES REGISTERED
PURSUANT TO SECTION 12(b) OF THE ACT:
Title of each class
|
Trading
Symbol(s)
|
Name of each exchange on which registered
|
Common stock, $0.001 par value
|
DUK
|
New York Stock Exchange LLC
|
5.125% Junior Subordinated Debentures due January 15, 2073
|
DUKH
|
New York Stock Exchange LLC
|
5.625% Junior Subordinated Debentures due September 15, 2078
|
DUKB
|
New York Stock Exchange LLC
|
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
|
DUK PR A
|
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 ¨
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.
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: March 30, 2021
|
|
/s/ David S. Maltz
|
|
Name:
|
David S. Maltz
|
|
Title:
|
Vice President, Legal, Chief Governance Officer and Assistant Corporate
Secretary
|
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