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Duke Energy (DUK) SVP awarded RSUs; shares withheld to cover taxes

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

Rhea-AI Filing Summary

Duke Energy senior vice president Cynthia S. Lee reported equity compensation and related tax withholding transactions in company common stock. She received an award of 895 restricted stock units under the 2023 Long-Term Incentive Plan, which will convert into common shares as they vest, with one-third vesting each year over a three-year period beginning on February 25, 2027. In a separate transaction, 92 shares were withheld to cover taxes due upon vesting of 321 restricted stock units from a prior award granted on February 26, 2025. After these transactions, she directly holds 10,016 common shares and has an additional 464 shares held indirectly through a 401(k) stock fund.

Positive

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Negative

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Insider Lee Cynthia S.
Role SVP, Chf Acct Off & Controller
Type Security Shares Price Value
Tax Withholding Common Stock 92 $129.23 $12K
Grant/Award Common Stock 895 $0.00 --
holding Common Stock -- -- --
Holdings After Transaction: Common Stock — 10,016 shares (Direct); Common Stock — 464 shares (Indirect, 401(k))
Footnotes (1)
  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 25, 2027. Represents the number of shares withheld to pay taxes due upon vesting of 321 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 →
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*
Lee Cynthia S.
(Last) (First) (Middle)
525 S. TRYON STREET
(Street)
CHARLOTTE NC 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)
Director 10% Owner
X Officer (give title below) Other (specify below)
SVP, Chf Acct Off & Controller
3. Date of Earliest Transaction (Month/Day/Year)
02/25/2026
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)
Code V Amount (A) or (D) Price
Common Stock 02/25/2026 A 895(1) A $0 10,108 D
Common Stock 02/26/2026 F 92(2) D $129.23 10,016 D
Common Stock 464 I 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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
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 25, 2027.
2. Represents the number of shares withheld to pay taxes due upon vesting of 321 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:
David S. Maltz, attorney-in-fact for Cynthia S. Lee 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 insider transactions did Duke Energy (DUK) report for Cynthia S. Lee?

Duke Energy reported that executive Cynthia S. Lee received 895 restricted stock units and had 92 shares withheld to pay taxes on vesting RSUs. These transactions reflect equity compensation and related tax withholding, not open-market buying or selling of Duke Energy common stock.

How many Duke Energy (DUK) shares did Cynthia S. Lee acquire in this Form 4?

Cynthia S. Lee acquired 895 restricted stock units that settle in Duke Energy common stock on a one-for-one basis. This award was granted under the 2023 Long-Term Incentive Plan and represents additional equity compensation rather than a cash purchase of Duke Energy shares.

Why were 92 Duke Energy (DUK) shares disposed of in this insider report?

The 92 Duke Energy shares were withheld to pay taxes due when 321 restricted stock units vested from a 2025 grant. This tax-withholding disposition is a common administrative step, not an open-market sale initiated to reduce the executive’s investment in the company.

What is the vesting schedule for Cynthia S. Lee’s new Duke Energy (DUK) RSUs?

The new restricted stock units vest in three annual installments, with one-third vesting each year over a three-year period starting February 25, 2027. Each vested unit converts into one share of Duke Energy common stock upon vesting under the long-term incentive plan.

How many Duke Energy (DUK) shares does Cynthia S. Lee hold after these transactions?

After the reported transactions, Cynthia S. Lee directly owns 10,016 Duke Energy common shares. She also has an additional 464 shares held indirectly through a 401(k) issuer stock fund, reflecting retirement-plan exposure to Duke Energy stock alongside her direct holdings.

Are the Duke Energy (DUK) insider transactions open-market trades?

No, the reported transactions involve an equity award and tax withholding, not open-market trades. Lee received 895 restricted stock units as compensation, and 92 shares were withheld to cover taxes when earlier RSUs vested, which is an automatic administrative disposition.