Duke Energy Corporation

09/05/2024 | Press release | Archived content

Withdrawal of Registration as Transfer Agent Form TA W

Form TA-W Filer Information
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM TA-W 		OMB APPROVAL


FORM TA-W

OMB Number: 3235-0151

Estimated average burden hours per response: 0.5

TA-W : Filer Information

1(a). Filer CIK:
0000734751
1(b). Filer CCC:
**********
1(c). Is this a LIVE or TEST submission? LIVE TEST
1(d). Would you like a Return Copy?

Submission Contact Information

The registrant may provide a single e-mail address for contact purposes.
1(e)(i). Contact Name:
1(e)(ii). Contact Phone Number:
1(e)(iii). Contact E-Mail Address:

Notification Information

Notification will automatically be sent to the Login CIK, Submission Contact and Primary Registrants. The registrant may provide additional e-mail addresses for those persons the filer would like to receive notification e-mails regarding the filing.

TA-W: Registration Information

Registration Information

2. Transfer Agent File No.:
084-00879
3. Full name of registrant:
DUKE ENERGY CORP /TA
4. Name under which transfer agent activities are conducted, if different from above:

5. Address of registrants principle place of business:

5(a). Address
525 S TRYON STREET


5(b). Address 2


5(c). City
CHARLOTTE


5(d). State or Country
NORTH CAROLINA


5(e). Postal Code
28202


TA-W: Withdrawal Information

Withdrawal Information

6.Furnish registrant's reasons for ceasing the performance of transfer agent functions or for otherwise requesting the withdrawal of its registration:
All transfer agency, registrar, dividend disbursement and administration of the direct stock purchase and dividend reinvestment plan functions have been outsourced to a third party, Broadridge Corporate Issuer Solutions, LLC, effective May 8, 2023.


7.Furnish the last date registrant performed transfer agent functions as defined by Section 3(a)(25) of the Act for any security, including debt and equity, registered under Section 12 of the Act or which would be required to be registered except for the exemption for registration provided by subsection (g)(2)(B) or (g)(2)(G) of that section. 05/05/2023


7(a). Does the registrant have any intention of performing in the near future a transfer agent function for any such security? Yes No

TA-W: Legal Action Information

Legal Action Information

8.Is registrant directly or indirectly involved in any legal actions or proceedings or aware of any potential claims against it in connection with its performance of transfer agent functions for any security?
Yes No
9.Are there any unsatisfied judgments or liens against registrant arising out of its performance of transfer agent functions for any security?
Yes No

TA-W: Document Retention Information

Document Retention Information

10.For each issue for which registrant acted as transfer agent and for any issues for which registrant assumed transfer agent functions since the last amendment to Form TA-1, furnish:
10(a). Is there a successor transfer agent? Yes No
10(b). Name of successor transfer agents:
BROADRIDGE CORPORATE ISSUER SOLUTIONS, LLC
10(c). Address:
10(c)(i). Address 1
51 MERCEDES WAY
10(c)(ii). Address 2
10(c)(iii). City
EDGEWOOD
10(c)(iv). State or Country
NEW YORK
10(c)(v). Postal Code
11717
10(d). Is the successor transfer agent registered as a transfer agent pursuant to the Act? Yes No
11.For each issue for which registrant acted as transfer agent and for any issues for which registrant assumed transfer agent functions since the last amendment to Form TA-1, furnish: name(s) and address(es) of the person(s) who has or will have custody or possession of the books and records which the registrant maintained in connection with its performance of transfer agent functions.
11(a). Name of Custodian:
NICOLE MAUNEY
11(b). Address:
11(b)(i). Address 1
DUKE ENERGY CORPORATION
11(b)(ii). Address 2
525 S TRYON STREET 17B
11(b)(iii). City
CHARLOTTE
11(b)(iv). State or Country
NORTH CAROLINA
11(b)(v). Postal Code
28202
12.Furnish the name(s) and address(es), if different from Item 11, where such books and records will be located.

TA-W: Signature

Signature

SIGNATURE: The registrant submitting this Form and its attachments and the person executing it represent hereby that it and all materials filed in connection therewith contain a true, correct and complete statement of all required information. Registrant also consents hereby to make the books and records it is required to preserver by Rules 17A d-6 and 7 under the Securities Exchange Act of 1934 (17 CFR 240.17A d-6 and 7) available for examination by authorized representatives of the Securities and Exchange Commission during the period the rules require registrant to preserve such books and records and hereby authorizes the person having custody of such books and records to make them available to such representatives.
13(a). Signature of Official responsible for Form:
DAVID S MALTZ
13(b). Telephone Number:
704-382-3477
13(c). Title of Signing Officer:
ASSISTANT CORPORATE SECRETARY
13(d). Date Signed (Month/Day/Year):
09/04/2024