4//SEC Filing
Gottdiener Noah 4
Accession 0001397821-13-000007
CIK 0001397821other
Filed
Jan 2, 7:00 PM ET
Accepted
Jan 3, 3:04 PM ET
Size
15.1 KB
Accession
0001397821-13-000007
Insider Transaction Report
Form 4
Gottdiener Noah
DirectorChief Executive Officer
Transactions
- Exercise/Conversion
Duff & Phelps Acquisitions, LLC New Class A Units
2012-12-31−2,046→ 0 total(indirect: see footnote)→ Class A common stock (2,046 underlying) - Exercise/Conversion
Class A common stock
2012-12-31+483,491→ 808,727 total - Exercise/Conversion
Class A common stock
2012-12-31+192,982→ 192,982 total(indirect: see footnote) - Exercise/Conversion
Duff & Phelps Acquisitions, LLC New Class A Units
2012-12-31−483,491→ 0 total→ Class A common stock (483,491 underlying) - Exercise/Conversion
Class A common stock
2012-12-31+2,046→ 2,046 total(indirect: see footnote) - Exercise/Conversion
Duff & Phelps Acquisitions, LLC New Class A Units
2012-12-31−192,982→ 0 total(indirect: see footnote)→ Class A common stock (192,982 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, 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 trusts for the benefit of Mr. Gottdiener.
- [F3]Such shares are held by Mr. Gottdiener through Vestar/D&P Holdings, LLC.
Documents
Issuer
Duff & Phelps Corp
CIK 0001397821
Entity typeother
Related Parties
1- filerCIK 0001294062
Filing Metadata
- Form type
- 4
- Filed
- Jan 2, 7:00 PM ET
- Accepted
- Jan 3, 3:04 PM ET
- Size
- 15.1 KB