4//SEC Filing
KRUEGER HARVEY M 4
Accession 0001209191-09-029265
CIK 0001397821other
Filed
May 27, 8:00 PM ET
Accepted
May 28, 2:28 PM ET
Size
9.3 KB
Accession
0001209191-09-029265
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.
Documents
Issuer
Duff & Phelps Corp
CIK 0001397821
Entity typeother
Related Parties
1- filerCIK 0001198861
Filing Metadata
- Form type
- 4
- Filed
- May 27, 8:00 PM ET
- Accepted
- May 28, 2:28 PM ET
- Size
- 9.3 KB