4//SEC Filing
Levy Sander M. 4
Accession 0001144204-12-013597
CIK 0001397821other
Filed
Mar 6, 7:00 PM ET
Accepted
Mar 7, 5:28 PM ET
Size
7.4 KB
Accession
0001144204-12-013597
Insider Transaction Report
Form 4
Levy Sander M.
Director
Transactions
- Other
Duff and Phelps Acquisitions, LLC New Class A Units
2012-03-07$13.38/sh−177,809$2,379,084→ 2,914,125 total(indirect: see footnotes)→ Class A common stock (177,809 underlying)
Footnotes (4)
- [F1]Pursuant to an exchange agreement entered into 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 the exercise of a portion of the over-allotment option in connection with Duff and Phelps Corporation's public offering of 4,500,000 shares of Class A common stock.
- [F3]Beneficially owned by Vestar Capital Partners IV, L.P. and Vestar/DandP Holdings, LLC. The address of Vestar Capital Partners IV, L.P. and Vestar/DandP Holdings, LLC is 245 Park Avenue, 41st Floor, New York, NY 10167.
- [F4]As a Managing Director of Vestar Associates Corporation IV, which is the general partner of Vestar Associates IV, L.P., which is the general partner of Vestar Capital Partners IV, L.P., and the manager of Vestar/DandP Holdings LLC, Mr. Levy may be deemed to share beneficial ownership of the shares held respectively by Vestar Capital Partners IV, L.P. and Vestar DandP Holdings, LLC. Mr. Levy disclaims beneficial ownership of such shares and any other shares held by affiliates of Vestar Capital Partners, except to the extent of his pecuniary interest therein, if any.
Documents
Issuer
Duff & Phelps Corp
CIK 0001397821
Entity typeother
Related Parties
1- filerCIK 0001407188
Filing Metadata
- Form type
- 4
- Filed
- Mar 6, 7:00 PM ET
- Accepted
- Mar 7, 5:28 PM ET
- Size
- 7.4 KB