4//SEC Filing
BELKE ROBERT 4
Accession 0001144204-12-012945
CIK 0001397821other
Filed
Mar 4, 7:00 PM ET
Accepted
Mar 5, 5:13 PM ET
Size
7.1 KB
Accession
0001144204-12-012945
Insider Transaction Report
Form 4
BELKE ROBERT
Director
Transactions
- Other
Duff and Phelps Acquisitions, LLC New Class A Units
2012-03-01$13.38/sh−1,390,602$18,606,255→ 2,224,962 total(indirect: see footnotes)→ Class A common stock (1,390,602 underlying)
Footnotes (4)
- [F1]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.
- [F2]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.
- [F3]Beneficially owned by Lovell Minnick Partners LLC. The address of Lovell Minnick Partners LLC is 2141 Rosecrans Avenue, Suite 5150, El Segundo, CA 90245.
- [F4]As an officer of Lovell Minnick Partners LLC, Mr. Belke may be deemed to share beneficial ownership of the shares held respectively by Lovell Minnick Equity Partners LP and LM Duff Holdings, LLC. Mr. Belke disclaims beneficial ownership of such shares and any other shares held by affiliates of Lovell Minnick Partners LLC except to the extent of his pecuniary interest therein.
Documents
Issuer
Duff & Phelps Corp
CIK 0001397821
Entity typeother
Related Parties
1- filerCIK 0001413236
Filing Metadata
- Form type
- 4
- Filed
- Mar 4, 7:00 PM ET
- Accepted
- Mar 5, 5:13 PM ET
- Size
- 7.1 KB