KRUEGER HARVEY M 4
4 · Duff & Phelps Corp · Filed May 7, 2010
Insider Transaction Report
Form 4
KRUEGER HARVEY M
Director
Transactions
- Award
Class A common stock
2010-05-06+3,264→ 8,898 total
Holdings
- 35,920
Duff and Phelps Acquisitions, LLC New Class A Units
→ Class A common stock (35,920 underlying) - 8,972(indirect: See footnote)
Duff and Phelps Acquisitions, LLC New Class A Units
→ Class A common stock (8,972 underlying)
Footnotes (3)
- [F1]Granted as compensation for services as a director.
- [F2]Pursuant to an exchange agreement entered into in connection with the closing of the initial public offering of Duff and Phelps Corporation (the "IPO"), as amended, holders of New Class A Units of Duff and Phelps Acquisitions, LLC ("DPA") issued in connection with the reorganization of DPA immediately prior to the consummation of the IPO (the "Reorganization") may exchange their New Class A Units for Class A common stock of Duff and Phelps Corporation on a one-for-one basis up to four times each year, subject to the vesting, minimum retained ownership requirements and transfer restrictions and customary conversion rate adjustments for splits, unit distributions and reclassifications contained in the exchange agreement.
- [F3]Such Duff and Phelps Acquisitions, LLC New Class A Units are held by Mr. Krueger through Vestar/DP Holdings, LLC.