Duke Energy 2011 Annual Report Download - page 21

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 10-K
FOR ANNUAL AND TRANSITION REPORTS
PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
(Mark One)
ÈANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the fiscal year ended December 31, 2011 or
‘TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the transition period from to
Commission
file number
Exact name of registrants as specified in their charters, addresses of principal executive offices,
telephone numbers and states of incorporation
IRS Employer
Identification No.
1-32853 DUKE ENERGY CORPORATION
550 South Tryon Street
Charlotte, NC 28202-4200 704-594-6200
State of Incorporation: Delaware
20-2777218
1-4928 DUKE ENERGY CAROLINAS, LLC
526SouthChurchStreet
Charlotte, NC 28202-1803 704-594-6200
State of Incorporation: North Carolina
56-0205520
1-1232 DUKE ENERGY OHIO, INC.
139 East Fourth Street
Cincinnati, OH 45202 704-594-6200
State of Incorporation: Ohio
31-0240030
1-3543 DUKE ENERGY INDIANA, INC.
1000 East Main Street
Plainfield, IN 46168 704-594-6200
State of Incorporation: Indiana
35-0594457
SECURITIES REGISTERED PURSUANT TO SECTION 12(B) OF THE ACT:
Registrant Title of each class Name of each exchange on which registered
Duke Energy Corporation (Duke Energy) Common Stock, $0.001 par value New York Stock Exchange, Inc.
Duke Energy Carolinas, LLC (Duke Energy
Carolinas) All of the registrant’s limited liability company member interests are directly owned by Duke Energy.
Duke Energy Ohio, Inc. (Duke Energy Ohio) All of the registrant’s common stock is indirectly owned by Duke Energy.
Duke Energy Indiana, Inc. (Duke Energy Indiana) All of the registrant’s common stock is indirectly owned by Duke Energy.
Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act.
Duke Energy Yes ÈNo ‘Duke Energy Carolinas Yes ‘No ÈDuke Energy Ohio Yes ‘No ÈDuke Energy Indiana Yes ‘No È
Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Exchange Act.
Duke Energy Yes ‘No ÈDuke Energy Carolinas Yes ‘No ÈDuke Energy Ohio Yes ‘No ÈDuke Energy Indiana Yes ‘No È
Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934
during the preceding 12 months (or for such shorter period that the registrant was required to file such reports) and (2) has been subject to such filing
requirements for the past 90 days.
Duke Energy Yes ÈNo ‘Duke Energy Carolinas Yes ÈNo ‘Duke Energy Ohio Yes ÈNo ‘Duke Energy Indiana Yes ÈNo ‘
Indicate by check mark whether the registrant has submitted electronically and posted on its corporate website, if any, every Interactive Data File required to
be submitted and posted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period
that the registrant was required to submit and post such files).
Duke Energy Yes ÈNo ‘Duke Energy Carolinas Yes ‘No ‘Duke Energy Ohio Yes ‘No ‘Duke Energy Indiana Yes ‘No ‘
Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the
best of registrant’s knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this
Form 10-K.
Duke Energy ‘Duke Energy Carolinas ‘Duke Energy Ohio ‘Duke Energy Indiana ‘
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the
definitions of “large accelerated filer,” “accelerated filer” and “smaller reporting company” inRule12b-2oftheExchangeAct.(Checkone):
Duke Energy Large accelerated filer ÈAccelerated filer ‘Non-accelerated filer ‘Smaller reporting company ‘
Duke Energy Carolinas Large accelerated filer ‘Accelerated filer ‘Non-accelerated filer ÈSmaller reporting company ‘
Duke Energy Ohio Large accelerated filer ‘Accelerated filer ‘Non-accelerated filer ÈSmaller reporting company ‘
Duke Energy Indiana Large accelerated filer ‘Accelerated filer ‘Non-accelerated filer ÈSmaller reporting company ‘
(Do not check if a smaller reporting company)
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Securities Exchange Act of 1934).
Duke Energy Yes ‘No ÈDuke Energy Carolinas Yes ‘No ÈDuke Energy Ohio Yes ‘No ÈDuke Energy Indiana Yes ‘No È
Estimated aggregate market value of the common equity held by nonaffiliates of Duke Energy Corporation at June 30, 2011 25,020,000,000
Number of shares of Common Stock, $0.001 par value, outstanding at February 21, 2012. 1,335,831,211
DOCUMENTS INCORPORATED BY REFERENCE
Portions of the Duke Energy definite proxy statements for the 2012 Annual Meeting of Shareholders or an amendment to this Annual Report are
incorporated by reference into PART III, Items 10, 11, 12, 13 and 14 hereof.
This combined Form 10-K is filed separately by four registrants: Duke Energy, Duke Energy Carolinas, Duke Energy Ohio and Duke Energy Indiana
(collectively, the Duke Energy Registrants). Information contained herein relating to any individual registrant is filed by such registrant solely on its
own behalf. Each registrant makes no representation as to information relating exclusively to the other registrants.
Duke Energy Carolinas, Duke Energy Ohio and Duke Energy Indiana meet the conditions set forth in General Instructions I(1)(a) and (b) of Form 10-K
and are therefore filing this Form 10-K with the reduced disclosure format permitted by General Instruction I (2) to such Form 10-K.