Duke Energy EVP reports RSU tax share withholding

Duke Energy executive Alexander J. Weintraub reported a routine share withholding related to equity compensation.

Rhea-AI Filing Summary

Duke Energy executive Alexander J. Weintraub reported a routine share withholding related to equity compensation. On April 1, 2026, 139 shares of common stock were withheld at $130.90 per share to cover taxes due upon vesting of 318 restricted stock units granted under the 2023 Long-Term Incentive Plan. This was a tax-withholding disposition, not an open-market sale. After the transaction, he held 12,187 shares directly and an additional 2,616 shares indirectly through a 401(k) issuer stock fund.

Insights

Equity compensation analyst

Routine tax withholding tied to RSU vesting, not an open-market sale.

Alexander J. Weintraub, EVP and Chief Customer Officer of Duke Energy, had 139 shares withheld at $130.90 per share to pay taxes on the vesting of 318 RSUs. Footnotes clarify this stems from a March 11, 2024 RSU award under the 2023 Long-Term Incentive Plan.

This F-code transaction is compensation-related and does not reflect a discretionary buy or sell decision. Following the withholding, he directly holds 12,187 shares and indirectly holds 2,616 shares via a 401(k) issuer stock fund, indicating he maintains a meaningful equity position.

Insider Trade Summary

Exercise Price or Tax Liability: 139 shares

Exercise Price or Tax Liability 2 txns

Insider Weintraub Alexander J.

Role EVP, Chief Customer Officer

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock	139	$130.90	$18K
holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 12,187 shares (Direct); Common Stock — 2,616 shares (Indirect, By 401(k))

Footnotes (2)

1. F1. Represents the number of shares withheld to pay taxes due upon vesting of 318 restricted stock units ("RSUs") related to a RSU award granted March 11, 2024, under the Duke Energy Corporation 2023 Long-Term Incentive Plan. Such RSUs convert into common stock on a one-for-one basis.
2. F2. Represents interests in an issuer stock fund.

Key Figures

Tax-withheld shares: 139 shares Withholding price: $130.90 per share RSUs vested: 318 RSUs +2 more

5 metrics

Tax-withheld shares 139 shares Withheld to pay taxes on RSU vesting

Withholding price $130.90 per share Value used for tax-withholding disposition

RSUs vested 318 RSUs RSU award granted March 11, 2024; one-for-one into stock

Direct holdings after 12,187 shares Common stock held directly after transaction

Indirect 401(k) holdings 2,616 shares Interests in an issuer stock fund via 401(k)

Key Terms

restricted stock units ("RSUs"), tax-withholding disposition, 2023 Long-Term Incentive Plan, issuer stock fund, +1 more

5 terms

restricted stock units ("RSUs") financial

"Represents the number of shares withheld to pay taxes due upon vesting of 318 restricted stock units ("RSUs") related to a RSU award..."

Restricted stock units (RSUs) are a company promise to give an employee shares of stock (or cash equivalent) in the future, but only after certain conditions—usually staying with the company for a set time or hitting performance goals—are met. Investors watch RSUs because when they vest they increase the number of shares outstanding and can lead insiders to sell shares, affecting share price, company dilution and the true cost of employee pay.

tax-withholding disposition financial

"transaction_action": "tax-withholding disposition""

A tax-withholding disposition is an event or transaction—such as selling or transferring securities, exercising options, or receiving compensation—that triggers a requirement to hold back part of the payment and remit it to tax authorities. It matters to investors because it reduces the cash they receive immediately and can change the timing and amount of taxable income, like a cashier taking a portion of your sale proceeds to pay taxes before you get the rest.

2023 Long-Term Incentive Plan financial

"related to a RSU award granted March 11, 2024, under the Duke Energy Corporation 2023 Long-Term Incentive Plan."

issuer stock fund financial

"Represents interests in an issuer stock fund."

401(k) financial

""nature_of_ownership": "By 401(k)""

A 401(k) is a type of retirement savings plan offered by employers that allows workers to set aside a portion of their paycheck before taxes are taken out. The money saved in a 401(k) can grow over time through investments, helping individuals build funds for their future retirement. It matters to investors because it provides a tax-advantaged way to save and invest for long-term financial security.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What did Duke Energy (DUK) executive Alexander Weintraub report in this Form 4?

Alexander Weintraub reported a tax-withholding disposition of Duke Energy common stock. 139 shares were withheld at $130.90 per share to cover taxes owed when 318 restricted stock units vested under the company’s 2023 Long-Term Incentive Plan.

Was the Duke Energy (DUK) Form 4 transaction an open-market sale?

No, the Form 4 does not show an open-market sale. The F-code transaction reflects shares withheld for taxes upon RSU vesting, described as “payment of tax liability by delivering securities,” rather than a discretionary market sale of Duke Energy shares.

How many Duke Energy (DUK) shares were affected by the tax withholding?

The filing shows 139 shares of Duke Energy common stock were withheld. These shares covered taxes due when 318 restricted stock units converted into common stock on a one-for-one basis as part of an equity award granted March 11, 2024.

What are Alexander Weintraub’s holdings in Duke Energy (DUK) after this Form 4?

After the reported transaction, Weintraub directly holds 12,187 shares of Duke Energy common stock. He also indirectly holds 2,616 shares through a 401(k) issuer stock fund, according to the holding entry and related footnote in the Form 4.

What award and plan are referenced in the Duke Energy (DUK) Form 4 footnotes?

The footnotes state the RSUs relate to an award granted on March 11, 2024 under the Duke Energy Corporation 2023 Long-Term Incentive Plan. The 318 RSUs convert into common stock on a one-for-one basis when they vest.

How is the 401(k) position described in the Duke Energy (DUK) Form 4?

The Form 4 lists 2,616 shares as an indirect holding “By 401(k).” A footnote explains this represents interests in an issuer stock fund, meaning the position is held within a retirement plan invested in Duke Energy stock.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 04/02/2026 - 03:00 PM Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Weintraub Alexander J.

(Last) (First) (Middle)

525 S. TRYON STREET

(Street)

CHARLOTTE NORTH CAROLINA 28202

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Duke Energy CORP [ DUK ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	EVP, Chief Customer Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
04/01/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	04/01/2026		F		139(1)	D	$130.9	12,187	D
Common Stock								2,616	I	By 401(k)(2)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Represents the number of shares withheld to pay taxes due upon vesting of 318 restricted stock units ("RSUs") related to a RSU award granted March 11, 2024, under the Duke Energy Corporation 2023 Long-Term Incentive Plan. Such RSUs convert into common stock on a one-for-one basis.

2. Represents interests in an issuer stock fund.

Remarks:

	David S. Maltz, attorney-in-fact for Alexander J. Weintraub	04/02/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.
* Form 4: SEC 1474 (03-26)