SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
Date of Report (Date of earliest event reported):
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Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
|Emerging growth company|
|o||If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.|
Securities registered pursuant to Section 12(b) of the Act:
|Registrant||Title of each class:||Trading
|Name of each exchange on|
|Duke Energy Corporation|
|Duke Energy Corporation|
|Duke Energy Corporation|
|Duke Energy Corporation||, each representing a 1/1,000th interest in a share of 5.75% Series A Cumulative Redeemable Perpetual Preferred Stock, par value $0.001 per share|
Item 8.01. Other Events.
On June 10, 2021, Duke Energy Corporation (the “Company”) consummated the issuance and sale of the securities described below pursuant to an underwriting agreement, dated June 7, 2021 (the “Underwriting Agreement”), with Barclays Capital Inc., BofA Securities, Inc., PNC Capital Markets LLC, RBC Capital Markets, LLC and Wells Fargo Securities, LLC, as representatives of the several underwriters named therein (the “Underwriters”), pursuant to which the Company agreed to issue and sell to the Underwriters $500,000,000 aggregate principal amount of the Company’s Floating Rate Senior Notes due 2023 (the “Floating Rate Notes”), $1,000,000,000 aggregate principal amount of the Company’s 2.55% Senior Notes due 2031, $750,000,000 aggregate principal amount of the Company’s 3.30% Senior Notes due 2041 and $750,000,000 aggregate principal amount of the Company’s 3.50% Senior Notes due 2051 (collectively, the “Fixed Rate Notes,” and together with the Floating Rate Notes, the “Securities”). The Floating Rate Notes were sold to the Underwriters at par. The Fixed Rate Notes were sold to the Underwriters at discounts to their principal amounts. The Securities were issued pursuant to an Indenture, dated as of June 3, 2008 (the “Indenture”), by and between the Company and The Bank of New York Mellon Trust Company, N.A., as trustee (the “Trustee”), as amended and supplemented by various supplemental indentures thereto, including the Twenty-fifth Supplemental Indenture, dated as of June 10, 2021 (the “Supplemental Indenture”), among the Company, the Trustee and The Bank of New York Mellon Trust Company, N.A., as calculation agent. The disclosure in this Item 8.01 is qualified in its entirety by the provisions of the Indenture, the Supplemental Indenture, together with the forms of global notes evidencing the Securities included therein, which is filed as Exhibit 4.1 hereto, and the Underwriting Agreement, which is filed as Exhibit 99.1 hereto. Such exhibits are incorporated herein by reference. Also, in connection with the issuance and sale of the Securities, the Company is filing a legal opinion regarding the validity of the Securities as Exhibit 5.1 to this Form 8-K for the purpose of incorporating the opinion into the Company’s Registration Statement on Form S-3 No. 333-233896.
Item 9.01. Financial Statements and Exhibits.
|4.1||Twenty-fifth Supplemental Indenture, dated as of June 10, 2021, to the Indenture, dated as of June 3, 2008, between the Company and The Bank of New York Mellon Trust Company, N.A., as Trustee and Calculation Agent, and forms of global notes included therein|
|5.1||Opinion regarding validity of the Securities|
|23.1||Consent (included as part of Exhibit 5.1)|
|99.1||Underwriting Agreement, dated June 7, 2021, among the Company and Barclays Capital Inc., BofA Securities, Inc., PNC Capital Markets LLC, RBC Capital Markets, LLC and Wells Fargo Securities, LLC, as representatives of the several underwriters named therein|
|104||Cover Page Interactive Data file (the Cover Page Interactive Data file is embedded within the Inline XBRL document)|
Pursuant to the requirements of the Securities and Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
|DUKE ENERGY CORPORATION|
|Date: June 10, 2021|
|By:||/s/ Robert T. Lucas III|
|Name: Robert T. Lucas III|
|Title: Assistant Corporate Secretary|