4//SEC Filing
Gottdiener Noah 4
Accession 0001397821-12-000069
CIK 0001397821other
Filed
Sep 11, 8:00 PM ET
Accepted
Sep 12, 10:14 AM ET
Size
12.9 KB
Accession
0001397821-12-000069
Insider Transaction Report
Form 4
Gottdiener Noah
DirectorChief Executive Officer
Transactions
- Exercise/Conversion
Class A common stock
2012-09-10+190→ 190 total(indirect: see footnote) - Sale
Class A common stock
2012-09-10$13.25/sh−190$2,518→ 0 total(indirect: see footnote) - Exercise/Conversion
Duff & Phelps Acquisitions, LLC New Class A Units
2012-09-10−190→ 2,046 total(indirect: see footnote)→ Class A common stock (190 underlying)
Holdings
- 483,491
Duff & Phelps Acquisitions, LLC New Class A Units
→ Class A common stock (483,491 underlying) - 192,982(indirect: see footnote)
Duff & Phelps Acquisitions, LLC New Class A Units
→ Class A common stock (192,982 underlying) - 325,236
Class A common stock
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 may exchange their New Class A Units for Class A common stock of Duff & Phelps Corporation on a one-for-one basis, 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]Such shares are held by Mr. Gottdiener through Vestar/D&P Holdings, LLC.
- [F3]Shares were sold by Vestar/D&P Holdings, LLC in connection with the exercise of a portion of the over-allotment option in connection with a public offering of shares of Class A common stock.
- [F4]Such shares are held by trusts for the benefit of Mr. Gottdiener.
Documents
Issuer
Duff & Phelps Corp
CIK 0001397821
Entity typeother
Related Parties
1- filerCIK 0001294062
Filing Metadata
- Form type
- 4
- Filed
- Sep 11, 8:00 PM ET
- Accepted
- Sep 12, 10:14 AM ET
- Size
- 12.9 KB