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Duke Energy (DUK) EVP reports tax-withholding dispositions on RSU vesting

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(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Duke Energy executive Scott L. Batson reported two tax-related share dispositions tied to restricted stock vesting. On February 22, he surrendered 166 and 223 shares of common stock at $126.78 per share to cover taxes on vesting of 583 and 784 RSUs granted in 2023 and 2024. After these withholdings, he directly owned 30,029 shares of Duke Energy common stock.

Positive

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Negative

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Insights

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

Scott L. Batson, an executive at Duke Energy, reported two Form 4 transactions coded "F." This code and the footnotes show the 166 and 223 shares were withheld to pay taxes due when restricted stock units vested, rather than discretionary selling.

The RSUs were granted under Duke Energy’s long-term incentive plans in 2023 and 2024, converting one-for-one into common shares. Such tax-withholding dispositions are standard mechanics of equity awards and do not indicate a change in investment view. Batson continues to hold 30,029 shares following these events.

Insider Batson Scott L.
Role EVP, Chief Pwr Grid Op Officer
Type Security Shares Price Value
Tax Withholding Common Stock 166 $126.78 $21K
Tax Withholding Common Stock 223 $126.78 $28K
Holdings After Transaction: Common Stock — 30,252 shares (Direct)
Footnotes (1)
  1. Represents the number of shares withheld to pay taxes due upon vesting of 583 restricted stock units ("RSUs") related to an RSU award granted February 22, 2023, under the Duke Energy Corporation 2015 Long-Term Incentive Plan. Such RSUs convert into common stock on a one-for-one basis. Represents the number of shares withheld to pay taxes due upon vesting of 784 restricted stock units ("RSUs") related to an RSU award granted February 22, 2024, under the Duke Energy Corporation 2023 Long-Term Incentive Plan. Such RSUs convert into common stock on a one-for-one basis.
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*
Batson Scott L.
(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 Pwr Grid Op Officer
3. Date of Earliest Transaction (Month/Day/Year)
02/22/2026
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 02/22/2026 F 166(1) D $126.78 30,252 D
Common Stock 02/22/2026 F 223(2) D $126.78 30,029 D
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 583 restricted stock units ("RSUs") related to an RSU award granted February 22, 2023, under the Duke Energy Corporation 2015 Long-Term Incentive Plan. Such RSUs convert into common stock on a one-for-one basis.
2. Represents the number of shares withheld to pay taxes due upon vesting of 784 restricted stock units ("RSUs") related to an RSU award granted February 22, 2024, under the Duke Energy Corporation 2023 Long-Term Incentive Plan. Such RSUs convert into common stock on a one-for-one basis.
Remarks:
David S. Maltz, attorney-in-fact for Scott L. Batson 02/24/2026
** 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) executive Scott L. Batson report on this Form 4?

Scott L. Batson reported two tax-withholding dispositions of Duke Energy common stock. A total of 166 and 223 shares were withheld at $126.78 per share to cover taxes triggered by the vesting of previously granted restricted stock units.

Were Scott L. Batson’s Duke Energy (DUK) Form 4 transactions open-market stock sales?

No, the transactions were not open-market sales. They were coded "F," meaning shares were withheld to pay tax liabilities upon vesting of restricted stock units, a standard equity compensation practice rather than a discretionary decision to sell shares in the market.

How many Duke Energy (DUK) shares were involved in the tax-withholding dispositions?

Batson had 166 and 223 Duke Energy common shares withheld. These withholdings related to the vesting of 583 and 784 restricted stock units granted under long-term incentive plans, with each RSU converting into one share of common stock upon vesting.

What equity awards triggered Scott L. Batson’s tax withholdings in Duke Energy (DUK) stock?

The tax withholdings were triggered by vesting of RSU awards granted on February 22, 2023 and February 22, 2024. Those awards were issued under Duke Energy’s 2015 and 2023 Long-Term Incentive Plans and convert into common stock on a one-for-one basis at vesting.

How many Duke Energy (DUK) shares does Scott L. Batson own after these Form 4 transactions?

Following the reported tax-withholding dispositions, Scott L. Batson directly owned 30,029 shares of Duke Energy common stock. This remaining stake reflects his holdings after the company withheld a portion of vested shares to satisfy associated tax obligations.

What was the reported price per share for Scott L. Batson’s Duke Energy (DUK) tax-withholding transactions?

Both tax-withholding transactions used a reported price of $126.78 per Duke Energy share. This price is typically used to calculate the value of shares surrendered to cover income tax obligations arising when restricted stock units convert into common stock at vesting.