4//SEC Filing
VESTAR CAPITAL PARTNERS IV LP 4
Accession 0001181431-12-014422
CIK 0001397821other
Filed
Mar 4, 7:00 PM ET
Accepted
Mar 5, 7:15 PM ET
Size
14.7 KB
Accession
0001181431-12-014422
Insider Transaction Report
Form 4
VESTAR CAPITAL PARTNERS IV LP
10% Owner
Transactions
- Other
Duff and Phelps Acquisitions, LLC New Class A Units
2012-03-01−58,939→ 94,301 total(indirect: See footnote)→ Duff and Phelps Corporation Class A common stock (58,939 underlying) - Other
Duff and Phelps Acquisitions, LLC New Class A Units
2012-03-01−1,873,522→ 2,997,633 total→ Duff and Phelps Corporation Class A common stock (1,873,522 underlying)
Footnotes (4)
- [F1]Pursuant to an exchange agreement entered into in connection with the closing of the initial public offering of Duff & Phelps Corporation (the "IPO"), holders of New Class A Units of Duff & 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 & Phelps Corporation on a one-for-one basis up to four times each year, subject to the vesting and minimum retained ownership requirements, transfer restrictions and customary conversion rate adjustments for splits, unit distributions and reclassifications contained in the exchange agreement.
- [F2]The reported securities were called for redemption by the issuer at a price per unit equal to $13.38.
- [F3]These units are owned directly by Vestar Capital Partners IV, L.P. These units may be deemed to be beneficially owned by Vestar Associates Corporation IV, which is the general partner of Vestar Associates IV, L.P., which in turn is the general partner of Vestar Capital Partners IV, L.P. Such persons disclaim beneficial ownership of the units, except to the extent of their pecuniary interest therein, if any.
- [F4]These units are owned directly by Vestar / D&P Holdings LLC. These units may be deemed to be beneficially owned by 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/D&P Holdings LLC. Such persons disclaim beneficial ownership of the units, except to the extent of their pecuniary interest therein, if any.
Documents
Issuer
Duff & Phelps Corp
CIK 0001397821
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001091468
Filing Metadata
- Form type
- 4
- Filed
- Mar 4, 7:00 PM ET
- Accepted
- Mar 5, 7:15 PM ET
- Size
- 14.7 KB