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: 27 rows in 2007. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2007-10-09: Reporting owner VESTAR ASSOCIATES IV, L.P. | VESTAR/D&P HOLDINGS LLC | VESTAR CAPITAL PARTNERS IV LP | VESTAR ASSOCIATES CORP IV; Form 3; Security Duff & Phelps Acquisitions, LLC New Class A Units; Transaction Holding.
- 2007-10-09: Reporting owner Lovell Minnick Partners LLC; Form 3; Security Duff & Phelps Acquisitions, LLC New Class A Units; Transaction Holding.
- 2007-10-03: Reporting owner SILVERMAN JACOB; Form 4; Security Duff & Phelps Acquisitions, LLC New Class A Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2007-10-03: Reporting owner MARSCHKE BRETT; Form 4; Security Duff & Phelps Acquisitions, LLC New Class A Units; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2007-10-09 holding as of filing | VESTAR ASSOCIATES IV, L.P. | VESTAR/D&P HOLDINGS LLC | VESTAR CAPITAL PARTNERS IV LP | VESTAR ASSOCIATES CORP IV 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · See Footnote | Holding | no price filed | 2007-10-09 | ||
| 2007-10-09 holding as of filing | Lovell Minnick Partners LLC 10% Owner | 3 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · See Footnote | Holding | no price filed | 2007-10-09 | ||
| 2007-10-03 | SILVERMAN JACOB Officer (Executive VP and CFO) | 4 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +332,985 332,985 owned after | no price filed | 2007-10-05 | |
| 2007-10-03 | MARSCHKE BRETT Officer (Executive VP and COO) | 4 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +90,545 90,545 owned after | no price filed | 2007-10-05 | |
| 2007-10-03 | LOVELL JEFFREY Director | 4 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,515,564 5,515,564 owned after | no price filed | 2007-10-05 | |
| 2007-10-03 | Levy Sander M. Director | 4 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,583,021 6,583,021 owned after | no price filed | 2007-10-05 | |
| 2007-10-03 | KRUEGER HARVEY M Director | 4 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +41,074 41,074 owned after | no price filed | 2007-10-05 | |
| 2007-10-03 | KRUEGER HARVEY M Director | 4 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,801 11,801 owned after | no price filed | 2007-10-05 | |
| 2007-10-03 | Gottdiener Noah Officer (Chief Executive Officer) | 4 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +983,269 983,269 owned after | no price filed | 2007-10-05 | |
| 2007-10-03 | Gottdiener Noah Officer (Chief Executive Officer) | 4 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +585,205 585,205 owned after | no price filed | 2007-10-05 | |
| 2007-10-03 | Gottdiener Noah Officer (Chief Executive Officer) | 4 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,786 14,786 owned after | no price filed | 2007-10-05 | |
| 2007-10-03 | Forman Edward Officer (Executive VP, Gen. Cnsl., Sec.) | 4 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +47,668 47,668 owned after | no price filed | 2007-10-05 | |
| 2007-10-03 | CREAGH GERARD Director, Officer (President) | 4 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +329,014 329,014 owned after | no price filed | 2007-10-05 | |
| 2007-10-03 | CREAGH GERARD Director, Officer (President) | 4 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +173,960 173,960 owned after | no price filed | 2007-10-05 | |
| 2007-10-03 | CREAGH GERARD Director, Officer (President) | 4 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +14,786 14,786 owned after | no price filed | 2007-10-05 | |
| 2007-10-03 | Calamari Peter Director | 4 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,583,021 6,583,021 owned after | no price filed | 2007-10-05 | |
| 2007-10-03 | BELKE ROBERT Director | 4 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,515,564 5,515,564 owned after | no price filed | 2007-10-05 | |
| 2007-09-27 holding as of filing | KRUEGER HARVEY M Director | 3 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Direct | Holding | no price filed | 2007-09-27 | ||
| 2007-09-27 holding as of filing | SILVERMAN JACOB Officer (Executive VP and CFO) | 3 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Direct | Holding | no price filed | 2007-09-27 | ||
| 2007-09-27 holding as of filing | MARSCHKE BRETT Officer (Executive VP and COO) | 3 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Direct | Holding | no price filed | 2007-09-27 | ||
| 2007-09-27 holding as of filing | LOVELL JEFFREY Director | 3 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Direct | Holding | no price filed | 2007-09-27 | ||
| 2007-09-27 holding as of filing | Levy Sander M. Director | 3 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Direct | Holding | no price filed | 2007-09-27 | ||
| 2007-09-27 holding as of filing | Gottdiener Noah Officer (CEO and Chairman of the Board) | 3 | Duff & Phelps Acquisitions, LLC New CLass A Units Derivative · Direct | Holding | no price filed | 2007-09-27 | ||
| 2007-09-27 holding as of filing | Forman Edward Officer (Executive VP, Gen. Cnsl., Sec.) | 3 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Direct | Holding | no price filed | 2007-09-27 | ||
| 2007-09-27 holding as of filing | CREAGH GERARD Director, Officer (President) | 3 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Direct | Holding | no price filed | 2007-09-27 | ||
| 2007-09-27 holding as of filing | Calamari Peter Director | 3 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Direct | Holding | no price filed | 2007-09-27 | ||
| 2007-09-27 holding as of filing | BELKE ROBERT Director | 3 | Duff & Phelps Acquisitions, LLC New Class A Units Derivative · Direct | Holding | no price filed | 2007-09-27 |