KRUEGER HARVEY M 4

4 · Duff & Phelps Corp · Filed Jan 3, 2013

Form 4

Period: 2012-12-31

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

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