-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, LiSE4DbZGZ6NQ9F80uoVBHjdYunc4jPLihd+Xfwr3MPT2use7ms0vz9+D0zKpi5I UA2fe/uaWYw6dvGahuGjZg== 0001144204-10-059796.txt : 20101112 0001144204-10-059796.hdr.sgml : 20101111 20101112160848 ACCESSION NUMBER: 0001144204-10-059796 CONFORMED SUBMISSION TYPE: 424B7 PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20101112 DATE AS OF CHANGE: 20101112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Duff & Phelps Corp CENTRAL INDEX KEY: 0001397821 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199] IRS NUMBER: 208893559 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 424B7 SEC ACT: 1933 Act SEC FILE NUMBER: 333-162551 FILM NUMBER: 101186636 BUSINESS ADDRESS: STREET 1: 55 EAST 52ND STREET CITY: NEW YORK STATE: NY ZIP: 10055 BUSINESS PHONE: (212) 871-2000 MAIL ADDRESS: STREET 1: 55 EAST 52ND STREET CITY: NEW YORK STATE: NY ZIP: 10055 FORMER COMPANY: FORMER CONFORMED NAME: Duff & Phelps CORP DATE OF NAME CHANGE: 20070427 424B7 1 v202090_424b7.htm Unassociated Document
Prospectus Supplement
Filed Pursuant to Rule 424(b)(7)
(To Prospectus dated October 26, 2009)
Registration No. 333-162551

 
Duff & Phelps Corporation
 
Class A Common Stock
________________
 
This prospectus supplement supplements and amends the prospectus dated October 26, 2009 relating, in part, to the resale from time to time of up to 19,618,979 shares of our Class A common stock by the selling stockholders described therein and in this prospectus supplement.  The selling stockholders are offering all of the shares of our Class A common stock offered by this prospectus supplement.  We will not receive any proceeds from the sale by the selling stockholders of shares of Class A common stock.
 
This prospectus supplement should be read in conjunction with and accompanied by the prospectus and is qualified by reference to the prospectus, except to the extent that the information in this prospectus supplement supersedes the information contained in the prospectus.
 
Our Class A common stock is listed on the New York Stock Exchange under the trading symbol “DUF.”  The last reported sale price of our Class A common stock on November 11, 2010 was $14.96 per share.
 
Investing in our securities involves a high degree of risk.  See “Risk Factors” on page 3 before you make your investment decision.
 
Neither the Securities and Exchange Commission nor any state securities commission has approved or disapproved of these securities or determined if this prospectus or the accompanying prospectus supplement is truthful or complete.  Any representation to the contrary is a criminal offense.
 
Prospectus Supplement dated November 12, 2010.

 

 
 
SELLING STOCKHOLDERS
 
            The shares of Class A common stock offered by this prospectus supplement may be offered from time to time by the selling stockholders named below.  Information concerning other selling stockholders will be set forth in other prospectus supplements from time to time, if required.
 
Beneficial ownership is determined in accordance with the rules of the SEC.  These rules generally attribute beneficial ownership of securities to persons who possess sole or shared voting power or investment power with respect to such securities.  Except as otherwise indicated, the persons listed below have sole voting and investment power with respect to the shares of Class A common stock beneficially owned by them, subject to applicable community property laws.
 
Except as otherwise indicated, the address for each selling stockholder is c/o Duff & Phelps Corporation, 55 East 52nd Street, 31st Floor, New York, New York 10055.

 
S-2

 

   
Shares
             
   
Offered
   
Class A Common Stock
 
   
Hereby
   
on a Fully-Exchanged Basis(1)
 
Selling Stockholders
 
Number
   
Number
   
Percent(2)
 
Abello, Kim
    3,068       -       -  
Aders, Christian
    6,968       11,362       *  
Althoff, David
    6,707       14,441       *  
Arcy, Jerome
    22,610       25,533       *  
Athanason, Michael
    21,159       -       -  
Baldwin Jr., David
    1,933       11,508       *  
Bannon, Gary L.
    26,838       17,741       *  
Barnes, Paul F.
    45,542       106,599       *  
Bartell, Robert
    7,802       82,774       *  
Bayston, Daniel
    25,620       3,253       *  
Belinsky Family Trust
    114,948       114,948       *  
Benn, Joshua
    16,868       53,645       *  
Bluth, Elyse
    19,453       23,475       *  
Bollmann, Frank
    1,933       6,088       *  
Burt, Steve
    32,191       89,383       *  
Butcher, Scot
    1,044       -       -  
Cannaday, Sean
    1,742       4,128       *  
Cefali, David, 2007 Education Trust
    8,522       -       -  
Cefali, Sheryl
    1,546       11,637       *  
Cefali, Sheryl, 2007 Education Trust
    8,522       -       -  
Chrysostomou, Andreas
    16,317       42,770       *  
Clemens, Jack
    1,933       27,815       *  
Cody, Alan M.
    47,624       3,750       *  
Creagh, Gerard
    65,803       252,820
(3)
    *  
Creagh, Gerard, Qualfied Annuity Trust
    34,792       69,584       *  
Cullen, Brian
    13,610       21,927       *  
Dolan, Michael
    16,317       66,242       *  
Dunne, Jeffrey D.
    34,352       4,398       *  
Fagan, Kevin
    11,214       428       *  
Franceschi, Greg S.
    45,542       81,029       *  
Gavin, James
    10,840       10,404       *  
Gilcreast, Aaron A.
    471       -       -  
Glace, Matthew
    348       13,511       *  
Golden, Timothy
    9,912       12,148       *  
Gordon, Jeffrey
    23,357       10,815       *  

 
S-3

 
 
   
Shares
             
   
Offered
   
Class A Common Stock
 
   
Hereby
   
on a Fully-Exchanged Basis(1)
 
Selling Stockholders
 
Number
   
Number
   
Percent(2)
 
Grabowski Harte, Sarah
    290       -       -  
Grabowski Jr., Roger
    290       -       -  
Grabowski, Julia
    290       -       -  
Grabowski, Paul
    290       -       -  
Grabowski, The Roger, Trust
    37,416       27,102       *  
Grant, Dwight
    5,662       36,373       *  
Herman, Robert
    348       43,964       *  
Herr, David
    16,317       52,417       *  
Higgins, Gregory
    50,000       79,098       *  
Hirschhorn, Warren
    28,890       38,697       *  
Hoemke, Carl R.E.
    26,326       63,448       *  
Jacobs, Jonathan
    18,111       51,322       *  
Janssen, Christopher
    7,255       51,438       *  
Jeffrey Chanin & Co.,
    37,180       -       -  
Jensen, Patrick
    6,707       32,649       *  
Katz, Kevin
    802       25,536       *  
Kernick, Glen Noll
    12,989       38,112       *  
Kirtley, Robert
    20,000       67,084       *  
Kramer, Mark
    1,742       18,210       *  
La Greca, Frank
    19,055       27,775       *  
Larsen, David
    10,453       36,766       *  
Lee, Edward
    12,989       24,056       *  
Levin, Nathan I.
    4,000       42,342       *  
Levitske, John
    9,912       5,596       *  
Lilly, John, Strategic Insights, LLC
    3,969       421       *  
Lloyd, Michael
    14,674       13,314       *  
Lynch, Michael
    18,910       31,673       *  
MacMullan, Daniel
    26,838       28,257       *  
Madden, John
    11,909       14,756       *  
Magnan, Yann
    1,304       6,791       *  
Marcinkowski, Myron A.
    45,542       29,070       *  
Martinez, Carlos
    6,868       12,056       *  
Massey, James
    10,424       11,763       *  
May, Bryce
    2,784       -       -  
May, Richard
    27,394       -       -  
Melrose, Geoffrey
    10,184       19,519       *  
Miscione, John
    8,288       10,076       *  
Mondello, Mark T.
    10,495       12,399       *  
Newman, Raphael
    42,083       31,146       *  
O'Brien, John
    348       11,443       *  
Osswald, John
    6,160       26,148       *  
Pfeiffer, Allen
    42,083       69,820       *  
Phili, Kleanthis
    42,083       94,681       *  
Ploussard, Jeffrey J.
    13,707       30,883       *  
Prendergast, Patrick
    14,817       12,040       *  
Price, Dean
    1,933       6,752       *  
Prindle, Ross
    42,083       56,320       *  
Puzzuoli, Patrick
    806       34,179       *  
Rubin, Mark
    25,701       3,263       *  
Sacks, Jeremy L.
    18,031       16,290       *  

 
S-4

 
 
   
Shares
             
   
Offered
   
Class A Common Stock
 
   
Hereby
   
on a Fully-Exchanged Basis(1)
 
Selling Stockholders
 
Number
   
Number
   
Percent(2)
 
Saltzman, Sherri
    2,738       7,794       *  
Schiedemeyer, Jeffrey
    7,802       65,345       *  
Schumacher, Mathias
    1,933       48,002       *  
Sebastian, Steve
    1,854       -       -  
Seery, Mike
    8,390       -       -  
Shanker, Steven J.
    42,083       37,893       *  
Shanley, Margaret
    3,484       23,681       *  
Snel, Jan Jaap
    3,398       10,521       *  
Spieler, David A.
    10,000       82,667       *  
Tanner, Matthew
    1,933       8,365       *  
Turf, David
    7,802       24,025       *  
Victor, Skip, Trust,
    114,948       114,948       *  
Viscio, Paul
    18,031       27,633       *  
Vitti, Michael
    762       24,208       *  
Wabnitz, Michael
    1,334       15,269       *  
Weaver, Tab
    3,222       78,543       *  
Wierwille, Michael C.
    3,288       39,623       *  
Williams, Brent
    12,590       14,013       *  
Wisler, Philip
    12,989       38,598       *  
 ____________________ 
 *
Less than 1%.

(1)
Assumes that each selling stockholder sells all of its shares of Class A common stock offered pursuant to this prospectus and neither acquires nor disposes of any other shares, or right to purchase other shares, of our Class A common stock subsequent to the date as of which we obtained information regarding its holdings.  The selling stockholders are not obligated to sell all or any portion of the shares of our Class A common stock, and the number and percentage of shares of Class A common stock owned after the offering will depend on the number of shares actually sold.

(2)
Based on a total of 40,999,934 shares of Class A common stock outstanding as of November 11, 2010 on a fully-exchanged basis.

(3)
Also includes 11,215 New Class A Units held by Mr. Creagh through Vestar/D&P Holdings, LLC.

 
S-5

 
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-----END PRIVACY-ENHANCED MESSAGE-----