DUFF & PHELPS CORP Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 52 rows in 2012. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2012-12-31: Reporting owner MARSCHKE BRETT; Form 4; Security Duff & Phelps Acquisitions, LLC New Class A Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-12-31: Reporting owner SILVERMAN JACOB; Form 4; Security Duff & Phelps Acquisitions, LLC New Class A Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-12-31: Reporting owner KRUEGER HARVEY M; Form 4; Security Duff & Phelps Acquisitions, LLC New Class A Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2012-12-31: Reporting owner KRUEGER HARVEY M; Form 4; Security Duff & Phelps Acquisitions, LLC New Class A Units; Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2012-12-31 | MARSCHKE BRETT Officer (Executive VP and COO) | 4 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −63,914 0 owned after | no price filed | 2013-01-03 | |
| 2012-12-31 | SILVERMAN JACOB Officer (Executive VP - Corp. Dev.) | 4 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −134,731 0 owned after | no price filed | 2013-01-03 | |
| 2012-12-31 | KRUEGER HARVEY M Director | 4 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −35,920 0 owned after | no price filed | 2013-01-03 | |
| 2012-12-31 | KRUEGER HARVEY M Director | 4 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,638 0 owned after | no price filed | 2013-01-03 | |
| 2012-12-31 | Gottdiener Noah Director, Officer (CEO and President) | 4 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Direct · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −483,491 0 owned after | no price filed | 2013-01-03 | |
| 2012-12-31 | Gottdiener Noah Director, Officer (CEO and President) | 4 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −192,982 0 owned after | no price filed | 2013-01-03 | |
| 2012-12-31 | Gottdiener Noah Director, Officer (CEO and President) | 4 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · (m) | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,046 0 owned after | no price filed | 2013-01-03 | |
| 2012-12-31 | Levy Sander M. Director | 4 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · see footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −961,799 0 owned after | no price filed | 2013-01-03 | |
| 2012-11-15 | Puzzuoli Patrick Michael Officer (EVP and CFO) | 4 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,932 0 owned after | no price filed | 2012-11-16 | |
| 2012-09-12 holding as of filing | KRUEGER HARVEY M Director | 4 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Direct | Holding | 35,920 owned after | no price filed | 2012-09-12 | |
| 2012-09-12 holding as of filing | Gottdiener Noah Director, Officer (CEO and President) | 4 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Direct · (m) | Holding | 483,491 owned after | no price filed | 2012-09-12 | |
| 2012-09-12 holding as of filing | Gottdiener Noah Director, Officer (CEO and President) | 4 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · (m) | Holding | 192,982 owned after | no price filed | 2012-09-12 | |
| 2012-09-10 | KRUEGER HARVEY M Director | 4 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · see footnote | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −152 1,638 owned after | no price filed | 2012-09-12 | |
| 2012-09-10 | Levy Sander M. Director | 4 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · see footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −83,343 961,799 owned after | no price filed | 2012-09-12 | |
| 2012-09-10 | Gottdiener Noah Director, Officer (CEO and President) | 4 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · see footnote | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −190 2,046 owned after | no price filed | 2012-09-12 | |
| 2012-08-13 holding as of filing | KRUEGER HARVEY M Director | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Direct | Holding | 35,920 owned after | no price filed | 2012-08-13 | |
| 2012-08-13 holding as of filing | Gottdiener Noah Director, Officer (CEO and President) | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Direct · (m) | Holding | 483,491 owned after | no price filed | 2012-08-13 | |
| 2012-08-13 holding as of filing | Gottdiener Noah Director, Officer (CEO and President) | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · (m) | Holding | 192,982 owned after | no price filed | 2012-08-13 | |
| 2012-08-09 | KRUEGER HARVEY M Director | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · see footnote | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,281 1,790 owned after | no price filed | 2012-08-13 | |
| 2012-08-09 | Gottdiener Noah Director, Officer (CEO and President) | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · see footnote | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,102 2,236 owned after | no price filed | 2012-08-13 | |
| 2012-08-09 | Levy Sander M. Director | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · see footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,794,556 1,045,142 owned after | no price filed | 2012-08-13 | |
| 2012-03-30 | LOVELL JEFFREY Director | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · see footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,093,675 0 owned after | no price filed | 2012-04-03 | |
| 2012-03-30 | BELKE ROBERT Director | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · see footnotes | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,093,675 0 owned after | no price filed | 2012-04-03 | |
| 2012-03-13 | Levy Sander M. Director | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · see footnotes | J Other acquisition or disposition (describe transaction) | −74,427 2,839,698 owned after | $13.38 | 2012-03-13 | |
| 2012-03-13 | KRUEGER HARVEY M Director | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · see footnote | J Other acquisition or disposition (describe transaction) | −169 5,071 owned after | $13.38 | 2012-03-13 | |
| 2012-03-13 holding as of filing | KRUEGER HARVEY M Director | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Direct | Holding | 35,920 owned after | no price filed | 2012-03-13 | |
| 2012-03-13 | Gottdiener Noah Director, Officer (CEO and President) | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Direct · (m) | J Other acquisition or disposition (describe transaction) | −66,733 483,491 owned after | $13.38 | 2012-03-13 | |
| 2012-03-13 | Gottdiener Noah Director, Officer (CEO and President) | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | −211 6,338 owned after | $13.38 | 2012-03-13 | |
| 2012-03-13 holding as of filing | Gottdiener Noah Director, Officer (CEO and President) | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · see footnote | Holding | 192,982 owned after | no price filed | 2012-03-13 | |
| 2012-03-13 | SILVERMAN JACOB Officer (Executive VP - Corp. Dev.) | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Direct | J Other acquisition or disposition (describe transaction) | −3,986 134,731 owned after | $13.38 | 2012-03-13 | |
| 2012-03-07 | Levy Sander M. Director | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · see footnotes | J Other acquisition or disposition (describe transaction) | −177,809 2,914,125 owned after | $13.38 | 2012-03-07 | |
| 2012-03-07 | LOVELL JEFFREY Director | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · see footnotes | J Other acquisition or disposition (describe transaction) | −131,287 2,093,675 owned after | $13.38 | 2012-03-07 | |
| 2012-03-07 | BELKE ROBERT Director | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · see footnotes | J Other acquisition or disposition (describe transaction) | −131,287 2,093,675 owned after | $13.38 | 2012-03-07 | |
| 2012-03-07 | Gottdiener Noah Director, Officer (CEO and President) | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Direct · (m) | J Other acquisition or disposition (describe transaction) | −41,715 550,224 owned after | $13.38 | 2012-03-07 | |
| 2012-03-07 | Gottdiener Noah Director, Officer (CEO and President) | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | −352 6,549 owned after | $13.38 | 2012-03-07 | |
| 2012-03-07 holding as of filing | Gottdiener Noah Director, Officer (CEO and President) | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · see footnote | Holding | 192,982 owned after | no price filed | 2012-03-07 | |
| 2012-03-07 | KRUEGER HARVEY M Director | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · see footnote | J Other acquisition or disposition (describe transaction) | −281 5,240 owned after | $13.38 | 2012-03-07 | |
| 2012-03-07 holding as of filing | KRUEGER HARVEY M Director | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Direct | Holding | 35,920 owned after | no price filed | 2012-03-07 | |
| 2012-03-07 | SILVERMAN JACOB Officer (Executive VP - Corp. Dev.) | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Direct | J Other acquisition or disposition (describe transaction) | −9,611 138,717 owned after | $13.38 | 2012-03-07 | |
| 2012-03-05 holding as of filing | Gottdiener Noah Director, Officer (CEO and President) | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · see footnote | Holding | 192,982 owned after | no price filed | 2012-03-05 | |
| 2012-03-05 holding as of filing | KRUEGER HARVEY M Director | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Direct | Holding | 35,920 owned after | no price filed | 2012-03-05 | |
| 2012-03-01 | VESTAR ASSOCIATES IV, L.P. | VESTAR ASSOCIATES CORP IV | VESTAR CAPITAL PARTNERS IV LP | VESTAR/D&P HOLDINGS LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Direct · (m) | J Other acquisition or disposition (describe transaction) | −1,873,522 2,997,633 owned after | no price filed | 2012-03-05 | |
| 2012-03-01 | VESTAR ASSOCIATES IV, L.P. | VESTAR ASSOCIATES CORP IV | VESTAR CAPITAL PARTNERS IV LP | VESTAR/D&P HOLDINGS LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | −58,939 94,301 owned after | no price filed | 2012-03-05 | |
| 2012-03-01 | Gottdiener Noah Director, Officer (CEO and President) | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Direct · (m) | J Other acquisition or disposition (describe transaction) | −446,086 591,939 owned after | $13.38 | 2012-03-05 | |
| 2012-03-01 | Gottdiener Noah Director, Officer (CEO and President) | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · (m) | J Other acquisition or disposition (describe transaction) | −4,314 6,901 owned after | $13.38 | 2012-03-05 | |
| 2012-03-01 | Lovell Minnick Partners LLC 10% Owner | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · See footnote | J Other acquisition or disposition (describe transaction) | −1,390,602 2,224,962 owned after | $13.38 | 2012-03-05 | |
| 2012-03-01 | Levy Sander M. Director | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · see footnotes | J Other acquisition or disposition (describe transaction) | −1,932,461 3,091,934 owned after | $13.38 | 2012-03-05 | |
| 2012-03-01 | KRUEGER HARVEY M Director | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · see footnote | J Other acquisition or disposition (describe transaction) | −3,451 5,521 owned after | $13.38 | 2012-03-05 | |
| 2012-03-01 | LOVELL JEFFREY Director | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · see footnotes | J Other acquisition or disposition (describe transaction) | −1,390,602 2,224,962 owned after | $13.38 | 2012-03-05 | |
| 2012-03-01 | BELKE ROBERT Director | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · see footnotes | J Other acquisition or disposition (describe transaction) | −1,390,602 2,224,962 owned after | $13.38 | 2012-03-05 | |
| 2012-03-01 | Forman Edward Officer (Executive VP, Gen. Cnsl., Sec.) | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Direct | J Other acquisition or disposition (describe transaction) | −28,601 0 owned after | $13.38 | 2012-03-05 | |
| 2012-03-01 | SILVERMAN JACOB Officer (Executive VP - Corp. Dev.) | 4 | Duff and Phelps Acquisitions, LLC New Class A Units Derivative · Direct | J Other acquisition or disposition (describe transaction) | −104,172 148,328 owned after | $13.38 | 2012-03-05 |