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