STOCK TITAN
  1. Home
  2. Sec-filings
  3. DUKH
  4. [Form 4] Ocean Park High Income ETF Insider Trading Activity

DUK Form 4: Director John T. Herron Adds 1,200 Shares Through DRIP

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

Rhea-AI Filing Summary

John T. Herron, a director of Duke Energy (DUK), reported three acquisitions of common stock on 08/08/2025 under transaction code G, indicating dividend reinvestment. Each reported line shows 400 shares acquired at $0 (dividend reinvestment), and the filings list resulting beneficial ownership balances of 33,723, 33,323 and 32,923 shares. The explanatory notes state the increases were due to dividend reinvestment and that the reported balances include shares held in revocable joint trusts. These entries reflect routine, non-derivative share additions through the issuer's dividend reinvestment process.

Positive

  • None.

Negative

  • None.

Insights

TL;DR: Director acquired small blocks via dividend reinvestment; routine insider activity with no evident material change to control.

The Form 4 shows three non-derivative acquisitions, each of 400 shares, recorded under transaction code G, which the filer explains as dividend reinvestment. The reported beneficial ownership figures include shares in revocable joint trusts, suggesting these purchases reflect automated plan activity rather than discretionary open-market buys or sales. From a governance perspective, these transactions are customary and do not signal a change in board alignment or control.

TL;DR: Small, systematic share increases via dividend reinvestment; unlikely to be material to Duke Energy's capital structure or valuation.

The reported activity consists of three 400-share acquisitions at a $0 price, consistent with dividend reinvestment. The filings list post-transaction holdings of approximately 32,900–33,700 shares across reported positions, some held in revocable joint trusts. These are routine, non-derivative adjustments to insider holdings and do not represent a significant change in exposure or trading intent based on the information provided.

Insider Herron John T
Role Director
Type Security Shares Price Value
Gift Common Stock 400 $0.00 --
Gift Common Stock 400 $0.00 --
Gift Common Stock 400 $0.00 --
Holdings After Transaction: Common Stock — 33,723 shares (Direct)
Footnotes (1)
  1. Amount increased due to dividend reinvestment. Includes 33,721 shares held in a revocable joint trust. Includes 33,321 shares held in a revocable joint trust. Includes 32,921 shares held in a revocable joint trust.
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*
Herron John T
(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)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
08/08/2025
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 08/08/2025 G 400 D $0 33,723(1)(2) D
Common Stock 08/08/2025 G 400 D $0 33,323(3) D
Common Stock 08/08/2025 G 400 D $0 32,923(4) 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. Amount increased due to dividend reinvestment.
2. Includes 33,721 shares held in a revocable joint trust.
3. Includes 33,321 shares held in a revocable joint trust.
4. Includes 32,921 shares held in a revocable joint trust.
Remarks:
/s/ David S. Maltz, attorney-in-fact for John T. Herron 08/12/2025
** 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 activity did Duke Energy (DUK) report?

The Form 4 reports three non-derivative acquisitions by director John T. Herron on 08/08/2025, each of 400 shares recorded under transaction code G (dividend reinvestment).

How many shares were acquired and at what price?

A total of 1,200 shares were acquired across three entries (400 shares each) at a reported price of $0, indicating reinvested dividends.

What were the beneficial ownership levels after the transactions?

The Form 4 lists post-transaction beneficial ownership balances of 33,723, 33,323, and 32,923 shares for the reported positions.

Were the acquired shares held directly or indirectly?

The filings indicate the holdings are direct and note that the reported balances include shares held in revocable joint trusts.

What does transaction code G mean on this Form 4?

Transaction code G is used to report acquisitions through the issuer's dividend reinvestment or similar plan; the explanatory notes confirm the increases were due to dividend reinvestment.