Filing Details

Accession Number:
0001397821-12-000069
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-09-12 10:14:30
Reporting Period:
2012-09-10
Filing Date:
2012-09-12
Accepted Time:
2012-09-12 10:14:30
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
1294062 Noah Gottdiener C/O Duff &Amp; Phelps Corporation
55 East 52Nd Street
New York NY 10055
Ceo And President Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Class A Common Stock Acquisiton 2012-09-10 190 $0.00 190 No 4 M Indirect see footnote
Class A Common Stock Disposition 2012-09-10 190 $13.25 0 No 4 S Indirect see footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Indirect see footnote
No 4 S Indirect see footnote
Reported Derivative Transactions
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 2012-09-10 190 $0.00 190 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
2,046 No 4 M Indirect
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Class A Common Stock 325,236 Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Class A Common Stock Duff & Phelps Acquisitions, LLC New Class A Units $0.00 483,491 483,491 Direct
Class A Common Stock Duff & Phelps Acquisitions, LLC New Class A Units $0.00 192,982 192,982 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
483,491 483,491 Direct
192,982 192,982 Indirect
Footnotes
  1. 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.
  2. Such shares are held by Mr. Gottdiener through Vestar/D&P Holdings, LLC.
  3. Shares were sold by 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.
  4. Such shares are held by trusts for the benefit of Mr. Gottdiener.