KRUEGER HARVEY M 4
4 · Duff & Phelps Corp · Filed May 28, 2009
Insider Transaction Report
Form 4
KRUEGER HARVEY M
Director
Transactions
- Other
Duff & Phelps Acquisitions, LLC New Class A Units
2009-05-27$14.75/sh−2,857$42,141→ 8,944 total(indirect: see footnote)→ Class A common stock (2,857 underlying) - Other
Duff & Phelps Acquisitions, LLC New Class A Units
2009-05-27$14.75/sh−5,154$76,022→ 35,920 total→ Class A common stock (5,154 underlying)
Footnotes (3)
- [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, 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 & Phelps Acquisitions, LLC using a portion of the net proceeds from Duff & Phelps Corporation's public offering of 8,050,000 shares of Class A common stock.
- [F3]Such Duff & Phelps Acquisitions, LLC New Class A Units are held by Mr. Krueger through Vestar/D&P Holdings, LLC.