4//SEC Filing
KRUEGER HARVEY M 4
Accession 0001144204-10-025219
CIK 0001397821other
Filed
May 6, 8:00 PM ET
Accepted
May 7, 11:56 AM ET
Size
8.7 KB
Accession
0001144204-10-025219
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.
Documents
Issuer
Duff & Phelps Corp
CIK 0001397821
Entity typeother
Related Parties
1- filerCIK 0001198861
Filing Metadata
- Form type
- 4
- Filed
- May 6, 8:00 PM ET
- Accepted
- May 7, 11:56 AM ET
- Size
- 8.7 KB