4//SEC Filing
Levy Sander M. 4
Accession 0001397821-12-000070
CIK 0001397821other
Filed
Sep 11, 8:00 PM ET
Accepted
Sep 12, 10:14 AM ET
Size
11.1 KB
Accession
0001397821-12-000070
Insider Transaction Report
Form 4
Levy Sander M.
Director
Transactions
- Exercise/Conversion
Class A common stock
2012-09-10+83,343→ 83,343 total(indirect: see footnotes) - Exercise/Conversion
Duff & Phelps Acquisitions, LLC New Class A Units
2012-09-10−83,343→ 961,799 total(indirect: see footnotes)→ Class A common stock (83,343 underlying) - Sale
Class A common stock
2012-09-10$13.25/sh−83,343$1,104,295→ 0 total(indirect: see footnotes)
Holdings
- 18,714
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]Owned of record and beneficially by Vestar Capital Partners IV, L.P. and Vestar/D&P Holdings, LLC. The address of Vestar Capital Partners IV, L.P. and Vestar/D&P Holdings, LLC is 245 Park Avenue, 41st Floor, New York, NY 10167.
- [F3]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/D&P 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/D&P 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.
- [F4]Shares were sold by Vestar Capital Partners IV, L.P. and 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.
Documents
Issuer
Duff & Phelps Corp
CIK 0001397821
Entity typeother
Related Parties
1- filerCIK 0001407188
Filing Metadata
- Form type
- 4
- Filed
- Sep 11, 8:00 PM ET
- Accepted
- Sep 12, 10:14 AM ET
- Size
- 11.1 KB