Item 12. Security Ownership of Certain Beneficial Owners and Management.
See "Beneficial
Ownership" in the Proxy Statement relating to Duke
Energy's 2004 annual meeting of shareholders, incorporated herein by reference.
EQUITY COMPENSATION PLAN DISCLOSURE
This table shows information about securities
to be issued upon exercise of outstanding options, warrants and rights under
Duke Energy's equity compensation plans, along with the weighted-average
exercise price of the outstanding options, warrants and rights and the number
of securities remaining available for future issuance under the plans.
| Plan Category |
Number of securities
to be issued upon exercise
of outstanding options,
warrants and rights(1)
(a) |
|
Weighted-average
exercise price of
outstanding options,
warrants and rights(1)
(b) |
Number of securities
remaining available for
future issuance under
equity compensation
plans (excluding
securities reflected in
column (a))
(c) |
|
| Equity compensation plans approved by security holders |
30,351,568 |
(2) |
$29.28 |
24,074,722 |
(3) |
| Equity compensation plans not approved by security holders |
None |
|
None |
None |
|
| Total |
30,351,568 |
|
$29.28 |
24,074,722
|
|
(1) Duke Energy has not granted any warrants or rights under
any equity compensation plans. Amounts do not include 2,064,156 outstanding
options with a weighted average exercise price of $22.8712 assumed in connection
with various mergers and acquisitions |
| (2) Does not include 3,286,851 shares of Duke Energy common
stock to be issued upon vesting of phantom stock and performance share
awards outstanding as of December 31, 2003. |
| (3) Includes 7,723,811 shares remaining available for issuance
for awards of restricted stock, performance shares or phantom stock under
the Duke Energy Corporation 1998 Long-Term Incentive Plan. |
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