Duke Energy (DUK) CEO logs 30,540-share RSU grant and tax withholding

Filing Impact

(High)

Filing Sentiment

(Neutral)

Form Type

Rhea-AI Filing Summary

Duke Energy CORP President and CEO Harry K. Sideris reported equity compensation and related tax withholding transactions in company common stock. He acquired 30,540 shares through a grant of restricted stock units (RSUs) under the Duke Energy Corporation 2023 Long-Term Incentive Plan, with no cash price per share.

The footnotes state these RSUs convert into common stock on a one-for-one basis, with one-third vesting each year over a three-year period beginning on February 26, 2027. On the same date, 3,642 shares were disposed of at $129.23 per share to cover taxes due upon vesting of 8,382 RSUs from a prior award. Following these transactions, he held 118,118 shares directly and 2,518 shares indirectly through a 401(k) stock fund.

Insider Trade Summary

3 transactions reported

Mixed 3 txns

Insider Sideris Harry K.

Role President, CEO

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	30,540	$0.00	--
Tax Withholding	Common Stock	3,642	$129.23	$471K
holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 121,760 shares (Direct); Common Stock — 2,518 shares (Indirect, By 401(k))

Footnotes (1)

The reporting owner received restricted stock units ("RSUs") granted under the Duke Energy Corporation 2023 Long-Term Incentive Plan, which RSU's are settled in common stock on a one-for-one basis upon vesting. 1/3rd of the RSUs vest each year over a 3-year period beginning on February 26, 2027. Represents the number of shares withheld to pay taxes due upon vesting of 8,382 restricted stock units ("RSUs") related to an RSU award granted February 26, 2025, under the Duke Energy Corporation 2023 Long-Term Incentive Plan. Such RSUs convert into common stock on a one-for-one basis. Represents interests in an issuer stock fund.

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Form 4 Insider Transactions: What Each Field Means →

02/27/2026 - 07:40 PM

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
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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^*

Sideris Harry K.

(Last)

(First)

(Middle)

525 S. TRYON STREET

(Street)

CHARLOTTE

28202

(City)

(State)

(Zip)

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

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

X	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	President, CEO

3. Date of Earliest Transaction (Month/Day/Year)
02/26/2026

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

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

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

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	02/26/2026		A		30,540⁽¹⁾	A	$0	121,760	D
Common Stock	02/26/2026		F		3,642⁽²⁾	D	$129.23	118,118	D
Common Stock								2,518	I	By 401(k)⁽³⁾

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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

Explanation of Responses:

1. The reporting owner received restricted stock units ("RSUs") granted under the Duke Energy Corporation 2023 Long-Term Incentive Plan, which RSU's are settled in common stock on a one-for-one basis upon vesting. 1/3rd of the RSUs vest each year over a 3-year period beginning on February 26, 2027.

2. Represents the number of shares withheld to pay taxes due upon vesting of 8,382 restricted stock units ("RSUs") related to an RSU award granted February 26, 2025, under the Duke Energy Corporation 2023 Long-Term Incentive Plan. Such RSUs convert into common stock on a one-for-one basis.

3. Represents interests in an issuer stock fund.

Remarks:

	/s/David S. Maltz, attorney-in-fact for Harry K. Sideris	02/27/2026
	** 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.

Source: View Original Filing on SEC EDGAR

FAQ

What did Duke Energy (DUK) CEO Harry K. Sideris report on this Form 4?

Harry K. Sideris reported an equity award and related tax withholding in Duke Energy common stock. He received 30,540 restricted stock units and had 3,642 shares withheld to pay taxes from a prior RSU vesting, all under the 2023 Long-Term Incentive Plan.

How many Duke Energy (DUK) shares did the CEO acquire through awards?

He acquired 30,540 shares through a grant of restricted stock units (RSUs). These RSUs are settled in common stock on a one-for-one basis and vest over three years, with one-third vesting annually starting February 26, 2027, under Duke Energy’s 2023 Long-Term Incentive Plan.

Why were 3,642 Duke Energy (DUK) shares disposed of in this filing?

The 3,642 shares were withheld to pay taxes due upon vesting of 8,382 RSUs from a prior award granted February 26, 2025. The filing describes this as a tax-withholding disposition, not an open-market sale, with the shares valued at $129.23 each.

What is the vesting schedule for Harry Sideris’s new Duke Energy (DUK) RSUs?

The new RSU grant vests in three equal installments. One-third of the 30,540 restricted stock units vests each year over a three-year period, beginning on February 26, 2027, with each vested unit converting into one share of Duke Energy common stock.

How many Duke Energy (DUK) shares does the CEO hold after these transactions?

After the reported transactions, Harry Sideris directly owns 118,118 shares of Duke Energy common stock. He also has an additional 2,518 shares held indirectly through a 401(k) issuer stock fund, as described in the Form 4 ownership details and related footnote.

What plan governs the RSU transactions reported by Duke Energy (DUK) CEO?

The RSU grant and related vesting are under the Duke Energy Corporation 2023 Long-Term Incentive Plan. Both the new 30,540 RSU award and the previously granted 8,382 RSUs that vested and triggered tax withholding are governed by this long-term incentive compensation plan.