4//SEC Filing
Forman Edward 4
Accession 0001144204-12-012923
CIK 0001397821other
Filed
Mar 4, 7:00 PM ET
Accepted
Mar 5, 4:55 PM ET
Size
11.1 KB
Accession
0001144204-12-012923
Insider Transaction Report
Form 4
Forman Edward
Executive VP, Gen Cnsl., Sec.
Transactions
- Award
Class A common stock
2012-03-01+23,164→ 97,223 total - Award
Class A common stock
2012-03-01+10,901→ 108,124 total - Tax Payment
Class A common stock
2012-03-02$13.77/sh−1,426$19,636→ 106,698 total - Other
Duff and Phelps Acquisitions, LLC New Class A Units
2012-03-01$13.38/sh−28,601$382,681→ 0 total→ Class A common stock (28,601 underlying)
Footnotes (5)
- [F1]Represents performance-based restricted stock awards (Performance RSAs). Performance RSAs will become non-forfeitable on the third anniversary of the date of grant if and to the extent certain targets of total shareholder return are attained.
- [F2]Granted as compensation for services as an officer.
- [F3]Shares were delivered to satisfy tax withholding obligations with respect to the vesting of restricted stock.
- [F4]Pursuant to an exchange agreement entered into on October 3, 2007 in connection with the closing of the initial public offering of Duff and Phelps Corporation (the "IPO"), 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.
- [F5]The New Class A Units listed in the table above were redeemed by Duff and Phelps Acquisitions, LLC using a portion of the net proceeds from Duff and Phelps Corporation's public offering of 4,500,000 shares of Class A common stock.
Documents
Issuer
Duff & Phelps Corp
CIK 0001397821
Entity typeother
Related Parties
1- filerCIK 0001321523
Filing Metadata
- Form type
- 4
- Filed
- Mar 4, 7:00 PM ET
- Accepted
- Mar 5, 4:55 PM ET
- Size
- 11.1 KB