0001144204-12-044651.txt : 20120813
0001144204-12-044651.hdr.sgml : 20120813
20120813095225
ACCESSION NUMBER: 0001144204-12-044651
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120809
FILED AS OF DATE: 20120813
DATE AS OF CHANGE: 20120813
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Levy Sander M.
CENTRAL INDEX KEY: 0001407188
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33693
FILM NUMBER: 121026240
MAIL ADDRESS:
STREET 1: C/O VALIDUS RE
STREET 2: 48 PAR-LA-VILLE ROAD, SUITE 1790
CITY: HAMILTON HM11
STATE: D0
ZIP: HM11
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Duff & Phelps Corp
CENTRAL INDEX KEY: 0001397821
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
IRS NUMBER: 208893559
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
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
4
1
form452449_20120813095204-.xml
X0306
4
2012-08-09
0
0001397821
Duff & Phelps Corp
DUF
0001407188
Levy Sander M.
C/O VESTAR CAPITAL PARTNERS IV, L.P.
245 PARK AVENUE, 41ST FLOOR
NEW YORK
NY
US 10167
1
0
0
0
Class A common stock
2012-08-09
4
M
0
1794556
A
1794556
I
see footnotes
Class A common stock
2012-08-09
4
S
0
1794556
13.25
D
0
I
see footnotes
Class A common stock
18714
D
Duff and Phelps Acquisitions, LLC New Class A Units
2012-08-09
4
M
0
1794556
D
Class A common stock
1794556
1045142
I
see footnotes
Pursuant to an exchange agreement entered into in connection with the closing of the initial public offering of Duff and Phelps Corporation (the "IPO"), holders of New Class A Units of Duff and 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 and 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/DandP Holdings, LLC. The address of Vestar Capital Partners IV, L.P. and Vestar/DandP 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/DandP 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/DandP 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/DandP Holdings, LLC in connection with a public offering of shares of Class A common stock.
/s/ Edward S. Forman as Attorney-in-Fact for Sander M. Levy
2012-08-13