Levy Sander M. 4
4 · Duff & Phelps Corp · Filed Apr 25, 2013
Insider Transaction Report
Form 4
Levy Sander M.
Director
Transactions
- Other
Class A common stock
2013-04-23$15.55/sh−18,714$291,003→ 0 total - Other
Class A common stock
2013-04-23$15.55/sh−961,799$14,955,974→ 0 total(indirect: see footnotes)
Footnotes (3)
- [F1]Disposition pursuant to the Agreement and Plan of Merger, dated as of December 30, 2012, by and among Duff & Phelps Corporation (the "Company"), Duff & Phelps Acquisitions, LLC, a Delaware limited liability company and wholly owned subsidiary of the Company ("DPA"), Dakota Holding Corporation, a Delaware corporation ("Parent"), Dakota Acquisition I, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub I"), and Dakota Acquisition II, LLC, a Delaware limited liability company and a wholly owned subsidiary of Merger Sub I ("Merger Sub II"), pursuant to which Merger Sub II merged with and into DPA with DPA surviving as a wholly owned subsidiary of Merger Sub I and immediately thereafter Merger Sub I merged with and into the Company with the Company surviving as a wholly owned subsidiary of Parent.
- [F2]Owned of record and beneficially by Vestar Capital Partners IV, L.P. and Vestar/D&P Holdings, LLC. The address of Vestar Capital Partners IV, L.P. and Vestar/D&P Holdings, LLC is 245 Park Avenue, 41st Floor, New York, NY 10167.
- [F3]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/D&P 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/D&P 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.