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Filing Details

Accession Number:: 0001397821-12-000070
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2012-09-12 10:14:47
Reporting Period:: 2012-09-10

Filing Date:: 2012-09-12
Accepted Time:: 2012-09-12 10:14:47
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1397821	Duff & Phelps Corp	DUF	Security Brokers, Dealers & Flotation Companies (6211)	208893559

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1407188	M. Sander Levy	C/O Vestar Capital Partners Iv, L.p. 245 Park Avenue, 41St Floor New York NY US 10167		Yes	No	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Class A Common Stock	Acquisiton	2012-09-10	83,343	$0.00	83,343	No	4	M	Indirect	see footnotes
Class A Common Stock	Disposition	2012-09-10	83,343	$13.25	0	No	4	S	Indirect	see footnotes

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	M	Indirect	see footnotes
No	4	S	Indirect	see footnotes

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Class A Common Stock	Duff & Phelps Acquisitions, LLC New Class A Units	Disposition	2012-09-10	83,343	$0.00	83,343	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
961,799			No	4	M	Indirect

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Class A Common Stock	18,714	Direct

Footnotes

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 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.
Owned of record and beneficially by Vestar Capital Partners IV, L.P. and Vestar/D&P Holdings, LLC. The address of Vestar Capital Partners IV, L.P. and Vestar/D&P Holdings, LLC is 245 Park Avenue, 41st Floor, New York, NY 10167.
As a Managing Director of Vestar Associates Corporation IV, which is the general partner of Vestar Associates IV, L.P., which is the general partner of Vestar Capital Partners IV, L.P., and the manager of Vestar/D&P Holdings LLC, Mr. Levy may be deemed to share beneficial ownership of the shares held respectively by Vestar Capital Partners IV, L.P. and Vestar/D&P Holdings, LLC. Mr. Levy disclaims beneficial ownership of such shares and any other shares held by affiliates of Vestar Capital Partners, except to the extent of his pecuniary interest therein, if any.
Shares were sold by Vestar Capital Partners IV, L.P. and Vestar/D&P Holdings, LLC in connection with the exercise of a portion of the over-allotment option in connection with a public offering of shares of Class A common stock.