Attached files

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EX-99.1 - EX-99.1 - Duke Energy Ohio, Inc.a16-13091_3ex99d1.htm
EX-5.1 - EX-5.1 - Duke Energy Ohio, Inc.a16-13091_3ex5d1.htm
EX-4.1 - EX-4.1 - Duke Energy Ohio, Inc.a16-13091_3ex4d1.htm

 

 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 


 

FORM 8-K

 

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934

 


 

Date of Report (Date of earliest event reported): June 20, 2016

 

DUKE ENERGY OHIO, INC.

(Exact Name of Registrant as Specified in its Charter)

 

Ohio

 

1-1232

 

31-0240030

(State or Other Jurisdiction
of Incorporation)

 

(Commission
File Number)

 

(IRS Employer
Identification No.)

 

139 East Fourth Street, Cincinnati, Ohio 45202

(Address of Principal Executive Offices, including Zip code)

 

(704) 382-3853

(Registrant’s telephone number, including area code)

 

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:

 

o            Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

o            Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

o            Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

o            Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240. 13e-4(c))

 

 

 



 

Item 8.01.                                        Other Events.

 

On June 20, 2016, Duke Energy Ohio, Inc. (the “Company”) entered into an underwriting agreement, dated June 20, 2016 (the “Underwriting Agreement”), with Citigroup Global Markets Inc., Lebenthal & Co., LLC, Loop Capital Markets LLC, Mischler Financial Group, Inc., Samuel A. Ramirez & Company, Inc. and The Williams Capital Group, L.P., as representatives of the several underwriters named therein (the “Underwriters”), pursuant to which the Company agreed to issue and sell to the Underwriters $250,000,000 aggregate principal amount of the Company’s First Mortgage Bonds, 3.70% Series, Due June 15, 2046 (the “Bonds”).  The Bonds will be issued under the First Mortgage, dated as of August 1, 1936, between the Company and The Bank of New York Mellon Trust Company, N.A., as trustee, as amended and supplemented from time to time (the “Indenture”), including by the Forty-fourth Supplemental Indenture, dated as of June 23, 2016 (the “Supplemental Indenture”).  The disclosure in this Item 8.01 is qualified in its entirety by the provisions of the Indenture, the Supplemental Indenture, 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 Bonds, the Company is filing a legal opinion regarding the validity of the Bonds as Exhibit 5.1 to this Form 8-K for the purpose of incorporating the opinion into the Company’s Registration Statement No. 333-191462-02.

 

Item 9.01.                                        Financial Statements and Exhibits.

 

(d)                                 Exhibits

 

4.1                               Forty-fourth Supplemental Indenture, dated as of June 23, 2016, between the Company and The Bank of New York Mellon Trust Company, N.A., as trustee, providing for the issuance of the Bonds.

 

5.1                               Opinion regarding validity of the Bonds.

 

23.1                        Consent (included as part of Exhibit 5.1).

 

99.1                        Underwriting Agreement, dated June 20, 2016, among the Company and Citigroup Global Markets Inc., Lebenthal & Co., LLC, Loop Capital Markets LLC, Mischler Financial Group, Inc., Samuel A. Ramirez & Company, Inc. and The Williams Capital Group, L.P., as representatives of the several underwriters named therein, in connection with the Company’s issuance and sale of the Bonds.

 

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SIGNATURES

 

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 OHIO, INC.

 

 

 

 

Date: June 23, 2016

By:

/s/ Robert T. Lucas III, Esq.

 

 

Name:

Robert T. Lucas III, Esq.

 

 

Title:

Deputy General Counsel and

 

 

 

Assistant Corporate Secretary

 

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EXHIBIT INDEX

 

Exhibit

 

Description

 

 

 

4.1

 

Forty-fourth Supplemental Indenture, dated as of June 23, 2016, between the Company and The Bank of New York Mellon Trust Company, N.A., as trustee, providing for the issuance of the Bonds.

 

 

 

5.1

 

Opinion regarding validity of the Bonds.

 

 

 

23.1

 

Consent (included as part of Exhibit 5.1).

 

 

 

99.1

 

Underwriting Agreement, dated June 20, 2016, among the Company and Citigroup Global Markets Inc., Lebenthal & Co., LLC, Loop Capital Markets LLC, Mischler Financial Group, Inc., Samuel A. Ramirez & Company, Inc. and The Williams Capital Group, L.P., as representatives of the several underwriters named therein, in connection with the Company’s issuance and sale of the Bonds.

 

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