Gottdiener Noah 4
4 · Duff & Phelps Corp · Filed Jan 3, 2013
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.