4//SEC Filing
Gottdiener Noah 4
Accession 0001397821-13-000043
CIK 0001397821other
Filed
Apr 24, 8:00 PM ET
Accepted
Apr 25, 10:20 AM ET
Size
11.2 KB
Accession
0001397821-13-000043
Insider Transaction Report
Form 4
Gottdiener Noah
DirectorChief Executive Officer
Transactions
- Other
Class A common stock
2013-04-23$15.55/sh−732,425$11,389,209→ 0 total - Other
Class A common stock
2013-04-23$15.55/sh−2,046$31,815→ 0 total(indirect: see footnote) - Other
Class A common stock
2013-04-23$15.55/sh−192,982$3,000,870→ 0 total(indirect: see footnote) - Disposition to Issuer
Class A common stock
2013-04-23−59,725→ 732,425 total
Footnotes (6)
- [F1]Disposition pursuant to the Agreement and Plan of Merger, dated as of December 30, 2012, by and among Duff & Phelps Corporation (the "Company"), Duff & Phelps Acquisitions, LLC, a Delaware limited liability company and wholly owned subsidiary of the Company ("DPA"), Dakota Holding Corporation, a Delaware corporation ("Parent"), Dakota Acquisition I, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub I"), and Dakota Acquisition II, LLC, a Delaware limited liability company and a wholly owned subsidiary of Merger Sub I ("Merger Sub II"), pursuant to which Merger Sub II merged with and into DPA with DPA surviving as a wholly owned subsidiary of Merger Sub I and immediately thereafter Merger Sub I merged with and into the Company with the Company surviving as a wholly owned subsidiary of Parent.
- [F2]Such shares are held by Mr. Gottdiener through Vestar/D&P Holdings, LLC.
- [F3]Disposition pursuant to a rollover contribution agreement with DP Holdco, LP, a Delaware limited partnership ("Parent Holdco"), pursuant to which certain shares of common stock of the Company were contributed to Parent Holdco in exchange for equity interests in Parent Holdco.
- [F4]Such shares are held by trusts for the benefit of Mr. Gottdiener.
- [F5]Disposition relates to the forfeiture of certain performance share awards for which the applicable vesting conditions were not satisfied.
- [F6]Disposition includes a disposition of 198,657 shares of common stock of the Company pursuant to a rollover contribution agreement with Parent Holdco, in which shares of common stock of the Company were contributed to Parent Holdco in exchange for equity interests in Parent Holdco.
Documents
Issuer
Duff & Phelps Corp
CIK 0001397821
Entity typeother
Related Parties
1- filerCIK 0001294062
Filing Metadata
- Form type
- 4
- Filed
- Apr 24, 8:00 PM ET
- Accepted
- Apr 25, 10:20 AM ET
- Size
- 11.2 KB