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Duke Energy (DUK) director Annette K. Clayton granted 1,602 stock unit deferrals

Filing Impact
(Moderate)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Duke Energy director Annette K. Clayton received 1,602 Director Savings Plan Restricted Stock Unit deferrals on Common Stock, treated as a grant or award. These units convert to common stock on a 1‑for‑1 basis and are generally payable upon her termination of service. Following this award, she directly holds 20,271 such units.

Positive

  • None.

Negative

  • None.
Insider CLAYTON ANNETTE K
Role null
Type Security Shares Price Value
Grant/Award Director Savings Plan Restricted Stock Unit Deferrals 1,602 $124.87 $200K
Holdings After Transaction: Director Savings Plan Restricted Stock Unit Deferrals — 20,271 shares (Direct, null)
Footnotes (1)
  1. Converts to Common Stock on a 1-for-1 basis. Generally payable upon reporting person's termination of service. Expiration date not applicable.
Restricted stock unit deferrals granted 1,602 units Director Savings Plan award on 2026-05-07
Reference price per unit $124.87 Value used for the 1,602-unit grant
Units held after transaction 20,271 units Total Director Savings Plan RSU deferrals following grant
Conversion ratio 1-for-1 Each unit converts into one share of common stock
Director Savings Plan Restricted Stock Unit Deferrals financial
"Security titled "Director Savings Plan Restricted Stock Unit Deferrals" was granted."
Grant, award, or other acquisition financial
"The transaction code description states "Grant, award, or other acquisition.""
Converts to Common Stock on a 1-for-1 basis financial
"A footnote explains it "Converts to Common Stock on a 1-for-1 basis.""
Generally payable upon termination of service financial
"Footnotes note amounts are "Generally payable upon reporting person's termination of service.""
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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*
CLAYTON ANNETTE K
(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)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
05/07/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm 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)
CodeVAmount(A) or (D)Price
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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Director Savings Plan Restricted Stock Unit Deferrals(1)05/07/2026A1,602 (2) (3)Common Stock1,602$124.8720,271D
Explanation of Responses:
1. Converts to Common Stock on a 1-for-1 basis.
2. Generally payable upon reporting person's termination of service.
3. Expiration date not applicable.
Remarks:
David S. Maltz, attorney-in-fact for Annette K. Clayton05/11/2026
** Signature of Reporting PersonDate
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)

Source: View Original Filing on SEC EDGAR

FAQ

What did Duke Energy (DUK) director Annette K. Clayton report on this Form 4?

Annette K. Clayton reported receiving 1,602 Director Savings Plan Restricted Stock Unit deferrals tied to Duke Energy common stock. The transaction is coded as a grant or award, meaning it is compensation-related rather than an open-market purchase or sale of shares.

At what reference price were the Duke Energy (DUK) restricted stock unit deferrals recorded?

The 1,602 Director Savings Plan Restricted Stock Unit deferrals were recorded at a reference price of $124.87 per unit. This figure reflects the value used for reporting purposes on the Form 4 and not necessarily a cash transaction price in the market.

How many Duke Energy (DUK) units does Annette K. Clayton hold after this transaction?

After receiving 1,602 restricted stock unit deferrals, Annette K. Clayton directly holds 20,271 such units. This total represents her reported holdings in the Director Savings Plan Restricted Stock Unit Deferrals following the grant, as disclosed in the Form 4 filing.

How do these Duke Energy (DUK) director stock unit deferrals convert into common stock?

The Director Savings Plan Restricted Stock Unit deferrals convert to Duke Energy common stock on a 1‑for‑1 basis. Each unit represents the right to receive one share of common stock, simplifying the relationship between reported units and eventual share delivery.

When are Annette K. Clayton’s Duke Energy (DUK) restricted stock unit deferrals generally payable?

The restricted stock unit deferrals are generally payable upon Annette K. Clayton’s termination of service as a director. This means payout of common stock typically occurs when she leaves the board, aligning director compensation with longer-term service and company performance.

Is there an expiration date on the Duke Energy (DUK) director restricted stock unit deferrals?

The filing notes that the expiration date for these Director Savings Plan Restricted Stock Unit deferrals is not applicable. Instead of expiring, the units are designed to convert into common stock and be paid, generally upon the reporting person’s termination of service.