Puzzuoli Patrick Michael 4
4 · Duff & Phelps Corp · Filed Nov 16, 2012
Insider Transaction Report
Form 4
Puzzuoli Patrick Michael
Executive VP and CFO
Transactions
- Exercise/Conversion
Duff & Phelps Acquisitions, LLC New Class A Units
2012-11-15−1,932→ 0 total→ Class A common stock (1,932 underlying) - Exercise/Conversion
Class A common stock
2012-11-15+1,932→ 58,899 total
Footnotes (1)
- [F1]Pursuant to an exchange agreement, as amended, entered into in connection with the closing of the initial public offering of Duff & Phelps Corporation (the "IPO"), holders of New Class A Units of Duff & 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 & 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.