4//SEC Filing
KRUEGER HARVEY M 4
Accession 0001397821-13-000008
CIK 0001397821other
Filed
Jan 2, 7:00 PM ET
Accepted
Jan 3, 3:08 PM ET
Size
11.2 KB
Accession
0001397821-13-000008
Insider Transaction Report
Form 4
KRUEGER HARVEY M
Director
Transactions
- Exercise/Conversion
Duff & Phelps Acquisitions, LLC New Class A Units
2012-12-31−35,920→ 0 total→ Class A common stock (35,920 underlying) - Exercise/Conversion
Duff & Phelps Acquisitions, LLC New Class A Units
2012-12-31−1,638→ 0 total(indirect: see footnote)→ Class A common stock (1,638 underlying) - Exercise/Conversion
Class A common stock
2012-12-31+1,638→ 1,638 total(indirect: see footnote) - Exercise/Conversion
Class A common stock
2012-12-31+35,920→ 54,634 total
Footnotes (2)
- [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 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
- Jan 2, 7:00 PM ET
- Accepted
- Jan 3, 3:08 PM ET
- Size
- 11.2 KB