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Duke Energy (NYSE: DUK) EVP granted RSUs, withholds stock

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

Rhea-AI Filing Summary

Duke Energy executive Alexander J. Weintraub, EVP and Chief Customer Officer, reported equity compensation changes and related tax withholding. He received a grant of 2,117 restricted stock units (RSUs) under the Duke Energy Corporation 2023 Long-Term Incentive Plan, settled in common stock on a one-for-one basis.

According to the filing, one-third of these RSUs will vest each year over a three-year period beginning on February 25, 2027. Separately, 180 shares of common stock were withheld at a price of $129.23 per share to cover taxes on the vesting of 631 RSUs from a prior award granted on February 26, 2025. The report also notes indirect holdings through a 401(k) stock fund.

Positive

  • None.

Negative

  • None.
Insider Weintraub Alexander J.
Role EVP, Chief Customer Officer
Type Security Shares Price Value
Tax Withholding Common Stock 180 $129.23 $23K
Grant/Award Common Stock 2,117 $0.00 --
holding Common Stock -- -- --
Holdings After Transaction: Common Stock — 12,326 shares (Direct); Common Stock — 2,595 shares (Indirect, By 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 631 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*
Weintraub Alexander J.
(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)
EVP, Chief Customer Officer
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 2,117(1) A $0 12,506 D
Common Stock 02/26/2026 F 180(2) D $129.23 12,326 D
Common Stock 2,595 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)
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 631 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 Alexander J. Weintraub 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) disclose about Alexander Weintraub’s new equity award?

Duke Energy reported that EVP Alexander J. Weintraub received 2,117 restricted stock units (RSUs) under the 2023 Long-Term Incentive Plan. These RSUs settle into common stock on a one-for-one basis and are structured as a multi-year vesting award.

How will Alexander Weintraub’s new Duke Energy (DUK) RSUs vest over time?

The filing states that one-third of the 2,117 RSUs will vest each year over a three-year period beginning on February 25, 2027. Each vested RSU converts into one share of Duke Energy common stock upon vesting.

Why were 180 Duke Energy (DUK) shares disposed of in this Form 4?

The Form 4 shows a tax-withholding disposition of 180 shares of common stock at $129.23 per share. These shares were withheld to pay taxes due when 631 RSUs from a February 26, 2025 award vested.

Does the Duke Energy (DUK) Form 4 indicate open-market buying or selling by Alexander Weintraub?

The report does not show open-market purchases or sales. It records a grant of 2,117 RSUs and a tax-withholding disposition of 180 shares tied to RSU vesting, which is a standard administrative transaction for covering tax obligations.

What ongoing holdings does Alexander Weintraub report in Duke Energy (DUK) stock?

After the reported transactions, Weintraub shows continued direct ownership of Duke Energy common stock and indirect interests via a 401(k) stock fund. The 401(k) line represents interests in an issuer stock fund rather than a separate trading decision.