1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Phantom Stock
|
Â
(1)
|
Â
(1)
|
Common Stock
|
394
|
$
(2)
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(3)
|
01/01/2013 |
Common Stock
|
1,391
|
$
12.37
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(4)
|
01/01/2014 |
Common Stock
|
3,432
|
$
14.15
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(4)
|
01/01/2015 |
Common Stock
|
4,680
|
$
15.26
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(5)
|
01/01/2016 |
Common Stock
|
4,836
|
$
15.5
|
D
|
Â
|
Phantom Stock
|
Â
(6)
|
Â
(7)
|
Common Stock
|
920
|
$
(2)
|
D
|
Â
|
Phantom Stock
|
Â
(8)
|
Â
(7)
|
Common Stock
|
2,520
|
$
(2)
|
D
|
Â
|
Phantom Stock
|
Â
(9)
|
Â
(7)
|
Common Stock
|
7,750
|
$
(2)
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(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). |
(1) |
Generally payable upon the reporting person's termination of service. |
(2) |
Converts to Common Stock on a 1-for-1 basis. |
(3) |
The reporting person was granted 3,276 options on January 1, 2003. The options vested in three equal annual installments beginning on the first anniversary date of the grant. |
(4) |
All options became exercisable in connection with the April 3, 2006 merger between Duke Energy and Cinergy. |
(5) |
The reporting person was granted 4,836 options on January 1, 2006. The options will vest in three equal annual installments beginning on the first anniversary date of the grant. |
(6) |
The phantom stock vests in 5 equal annual installments beginning on the first anniversary of the grant date. |
(7) |
Expiration date not applicable. |
(8) |
The reporting person was granted 3,150 shares on July 1, 2006. The phantom stock vests in five equal annual installments beginning on April 4, 2007, and each April 4 thereafter. |
(9) |
The reporting person was granted 7,750 shares on March 2, 2007. The phantom stock will vest in three equal annual installments beginning on the first anniversary date of the grant. |