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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Duff & Phelps Corp
SEC Filings (Chronological Order)
Denne side giver en komplet, kronologisk liste over SEC-arkiveringer, eksklusive ejerskabsregistreringer, som vi leverer andre steder.
| February 13, 2014 |
DUF / Duff & Phelps Corp / BARROW HANLEY MEWHINNEY & STRAUSS LLC - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Duff & Phelps Corp. Cl A (Name of Issuer) Common Stock (Title of Class of Securities) 26433B107 (CUSIP Number) December 31, 2013 (Date of Event Which Requires Filing of this Statement) Check appropriate box to designate the rule pursuant to which this Sch |
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| May 3, 2013 |
dakotaform15.htm - Generated by SEC Publisher for SEC Filing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 001-34518 DUFF |
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| April 23, 2013 |
dakotas-8.htm - Generated by SEC Publisher for SEC Filing As filed with the Securities and Exchange Commission on April 23, 2013 Registration Statement No. 333-148144 Registration Statement No. 333-169380 Registration Statement No. 333-181880 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 Registration Statement No. 333-148144 Regi |
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| April 23, 2013 |
Annual Report - 10-K/A FOR THE YEAR ENDED DECEMBER 31, 2012 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the year ended December 31, 2012 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-33693 DUFF & PHELP |
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| April 23, 2013 |
Private Investor Consortium Completes Acquisition of Duff & Phelps Corporation dakotaex991.htm - Generated by SEC Publisher for SEC Filing Exhibit 99.1 Press Release Private Investor Consortium Completes Acquisition of Duff & Phelps Corporation New York, NY, April 23, 2013 — Duff & Phelps Corporation (“the Company”) today announced the completion of its acquisition by a consortium (“the Consortium”) comprising controlled affiliates of or funds managed by The Carlyle Group, S |
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| April 23, 2013 |
forms-3posteffectiveamdt.htm - Generated by SEC Publisher for SEC Filing As filed with the Securities and Exchange Commission on April 23, 2013 Registration Statement No. 333-181132 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Post-Effective Amendment No. 1 to Form S-3 Registration Statement No. 333-181132 |
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| April 23, 2013 |
dakotas-8.htm - Generated by SEC Publisher for SEC Filing As filed with the Securities and Exchange Commission on April 23, 2013 Registration Statement No. 333-148144 Registration Statement No. 333-169380 Registration Statement No. 333-181880 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 Registration Statement No. 333-148144 Regi |
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| April 23, 2013 |
dakotaex32.htm - Generated by SEC Publisher for SEC Filing Exhibit 3.2 BY-LAWS OF DUFF & PHELPS CORPORATION ARTICLE I OFFICES SECTION 1. REGISTERED OFFICE ‑‑ The registered office of Duff & Phelps Corporation (the “Corporation”) shall be established and maintained at the office of 1209 Orange Street, Wilmington, Delaware 19801, County of New Castle, and Corporation Trust Company shall be the regis |
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| April 23, 2013 |
dakota8k.htm - Generated by SEC Publisher for SEC Filing UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): April 23, 2013 DUFF & PHELPS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 |
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| April 23, 2013 |
ARTICLE I ARTICLE II ARTICLE III ARTICLE IV ARTICLE V ARTICLE VI ARTICLE VII ARTICLE VIII ARTICLE IX dakotaex31.htm - Generated by SEC Publisher for SEC Filing Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF DUFF & PHELPS CORPORATION ARTICLE I The name of the corporation (which is hereinafter referred to as the “Corporation”) is: Duff & Phelps Corporation. ARTICLE II The address of the Corporation’s registered office in the State of Delaware is 1209 Orange Street, Wilmington, Del |
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| April 23, 2013 |
dakotas-8.htm - Generated by SEC Publisher for SEC Filing As filed with the Securities and Exchange Commission on April 23, 2013 Registration Statement No. 333-148144 Registration Statement No. 333-169380 Registration Statement No. 333-181880 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 Registration Statement No. 333-148144 Regi |
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| April 23, 2013 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on May 6, 2013, pursuant to the provisions of Rule 12d2-2 (a). |
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| April 22, 2013 |
Submission of Matters to a Vote of Security Holders - FORM 8-K Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 22, 2013 (April 22, 2013) DUFF & PHELPS CORPORATION (Exact name of Registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No. |
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| April 10, 2013 |
DUF / Duff & Phelps Corp / FMR LLC Passive Investment SCHEDULE 13G Amendment No. 2 DUFF & PHELPS CORP NEW Class A Common Stock Cusip #26433B107 Cusip #26433B107 Item 1: Reporting Person - FMR LLC Item 4: Delaware Item 5: 501 Item 6: 0 Item 7: 601 Item 8: 0 Item 9: 601 Item 11: 0.001% Item 12: HC Cusip #26433B107 Item 1: Reporting Person - Edward C. Johnson 3d Item 4: United States of America Item 5: 0 Item 6: 0 Item 7: 601 Item 8: 0 Item 9: 601 Item |
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| April 8, 2013 |
DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a6(e)(2)) ¨ Def |
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| March 21, 2013 |
DEFM14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 20, 2013 |
PRER14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 20, 2013 |
March 20, 2013 Via E-mail Noah Gottdiener Chief Executive Officer Duff & Phelps Corporation 55 East 52 St. |
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| March 20, 2013 |
DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 11, 2013 |
CORRESP 601 Lexington Avenue New York, New York 10022 (212) 446-6450 [email protected] (212) 446-4800 Facsimile: (212) 446-6460 www.kirkland.com March 11, 2013 Via EDGAR Transmission United States Securities and Exchange Commission Division of Corporate Finance 100 F Street, NE Washington, D.C. 20549 Attention: Ramin M. Olson Re: Duff & Phelps Corporation; PREM 14A; Filed February 6, 2 |
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| March 6, 2013 |
March 5, 2013 Via E-mail Noah Gottdiener Chief Executive Officer Duff & Phelps Corporation 55 East 52 St. |
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| February 25, 2013 |
DUFF & PHELPS REPORTS 2012 FOURTH QUARTER RESULTS, AND DECLARES QUARTERLY DIVIDEND FOR IMMEDIATE RELEASE DUFF & PHELPS REPORTS 2012 FOURTH QUARTER RESULTS, AND DECLARES QUARTERLY DIVIDEND FOURTH QUARTER HIGHLIGHTS: • Quarterly revenue of $145. |
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| February 25, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the year ended December 31, 2012 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-33693 DUFF & PHELPS CORPORATION (Exact |
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| February 25, 2013 |
EXHIBIT 21.1 DUFF & PHELPS CORPORATION AND SUBSIDIARIES LIST OF SUBSIDIARIES AS OF DECEMBER 31, 2012 Corporate Name Jurisdiction of Incorporation CETERIS US, LLC Illinois D&P Canada Acquisition Corp Canada D&P European Holdings, LLC Delaware D&P International Holdings, LLC Delaware Duff & Phelps (H.K.) Holdings Limited Hong Kong SAR Duff & Phelps Acquisitions, LLC Delaware Duff & Phelps B.V. The N |
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| February 25, 2013 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 25, 2013 (February 25, 2013) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of inc |
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| February 20, 2013 |
DUF / Duff & Phelps Corp / EAGLE ASSET MANAGEMENT INC Passive Investment February 19, 2013 Office of the Corporate Secretary Duff & Phelps Corp. 55 East 52nd Street New York, NY 10055 RE: Amended Schedule 13G Duff & Phelps Corp. As ofJanuary 31, 2013 Gentlemen: In accordance with Section 13(d)(5) of the Securities Exchange Act of 1934, attached please find a copy of Amended Schedule 13G for the above named company showing a change of beneficial ownership of 5% or more |
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| February 14, 2013 |
DUF / Duff & Phelps Corp / FMR LLC Passive Investment SCHEDULE 13G Amendment No. 1 DUFF & PHELPS CORP NEW Class A Common Stock Cusip #26433B107 Cusip #26433B107 Item 1: Reporting Person - FMR LLC Item 4: Delaware Item 5: 469 Item 6: 0 Item 7: 2,718,946 Item 8: 0 Item 9: 2,718,946 Item 11: 6.724% Item 12: HC Cusip #26433B107 Item 1: Reporting Person - Edward C. Johnson 3d Item 4: United States of America Item 5: 0 Item 6: 0 Item 7: 2,718,946 Item 8: 0 |
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| February 12, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 12, 2013 (February 11, 2013) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of inc |
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| February 12, 2013 |
Financial Statements and Exhibits, Other Events - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 12, 2013 (February 11, 2013) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of inc |
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| February 12, 2013 |
Duff & Phelps Corporation Announces Expiration of the “Go-Shop” Period EXHIBIT 99.1 Duff & Phelps Corporation Announces Expiration of the “Go-Shop” Period New York, NY, February 11, 2013 — Duff & Phelps Corporation (NYSE: DUF) (the “Company”), a leading independent financial advisory and investment banking firm, announced today that, following the expiration of the “go-shop” period provided for in its previously announced merger agreement with a Consortium comprising |
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| February 12, 2013 |
Duff & Phelps Corporation Announces Expiration of the “Go-Shop” Period EXHIBIT 99.1 Duff & Phelps Corporation Announces Expiration of the “Go-Shop” Period New York, NY, February 11, 2013 — Duff & Phelps Corporation (NYSE: DUF) (the “Company”), a leading independent financial advisory and investment banking firm, announced today that, following the expiration of the “go-shop” period provided for in its previously announced merger agreement with a Consortium comprising |
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| February 11, 2013 |
DUF / Duff & Phelps Corp / BARROW HANLEY MEWHINNEY & STRAUSS LLC - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Duff & Phelps Corporation (Name of Issuer) Common Stock (Title of Class of Securities) 26433B107 (CUSIP Number) December 31, 2012 (Date of Event Which Requires Filing of this Statement) Check appropriate box to designate the rule pursuant to which this Sc |
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| February 6, 2013 |
- PRELIMINARY MERGER PROXY STATEMENT Preliminary Merger Proxy Statement Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 5, 2013 |
AMENDMENT NO. 3 TO SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)1 Duff & Phelps Corporation (Name of Issuer) Common Stock, $0.01 par value (Title of Class of Securities) 26433B107 (CUSIP Number) December 31, 2012 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to desi |
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| January 29, 2013 |
DUF / Duff & Phelps Corp / EAGLE ASSET MANAGEMENT INC Passive Investment January 29, 2013 Securities and Exchange Commission 450 Fifth Street NW Washington, DC 20549 RE: Amended Schedule 13G Duff & Phelps Corp. |
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| December 31, 2012 |
Duff & Phelps Agrees to be Acquired by Private Investor Consortium Exhibit 99.1 Duff & Phelps Agrees to be Acquired by Private Investor Consortium - Transaction Valued at Approximately $665.5M; Stockholders to Receive $15.55 per Share - - Consortium Includes Entities or Funds Managed by The Carlyle Group, Stone Point Capital, Pictet & Cie and Edmond de Rothschild Group - New York, NY – December 30, 2012 – Duff & Phelps Corporation (NYSE: DUF) (“the Company”), a l |
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| December 31, 2012 |
Exhibit 2.1 ========================================================================================== Agreement and Plan of Merger Among Duff & Phelps Corporation, Duff & Phelps Acquisitions, LLC, Dakota Holding Corporation, Dakota Acquisition I, Inc. and Dakota Acquisition II, LLC Dated as of December 30, 2012 ========================================================================== TABLE OF CO |
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| December 31, 2012 |
Exhibit 2.1 ========================================================================================== Agreement and Plan of Merger Among Duff & Phelps Corporation, Duff & Phelps Acquisitions, LLC, Dakota Holding Corporation, Dakota Acquisition I, Inc. and Dakota Acquisition II, LLC Dated as of December 30, 2012 ========================================================================== TABLE OF CO |
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| December 31, 2012 |
Note to Duff & Phelps Employees by Chief Executive Officer, dated December 30, 2012 Exhibit 99.2 Note to Duff & Phelps Employees by Chief Executive Officer, dated December 30, 2012 Dear Colleagues, Today, we announced a plan to transition Duff & Phelps from public to private ownership. Specifically, a consortium of financial sponsors—including funds or entities managed by The Carlyle Group, Stone Point Capital, Pictet & Cie and Edmond de Rothschild Group—have agreed to acquire Du |
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| December 31, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 31, 2012 (December 30, 2012) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of inc |
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| December 31, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 31, 2012 (December 30, 2012) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of inc |
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| December 31, 2012 |
Note to Duff & Phelps Employees by Chief Executive Officer, dated December 30, 2012 Exhibit 99.2 Note to Duff & Phelps Employees by Chief Executive Officer, dated December 30, 2012 Dear Colleagues, Today, we announced a plan to transition Duff & Phelps from public to private ownership. Specifically, a consortium of financial sponsors—including funds or entities managed by The Carlyle Group, Stone Point Capital, Pictet & Cie and Edmond de Rothschild Group—have agreed to acquire Du |
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| December 31, 2012 |
Duff & Phelps Agrees to be Acquired by Private Investor Consortium Exhibit 99.1 Duff & Phelps Agrees to be Acquired by Private Investor Consortium - Transaction Valued at Approximately $665.5M; Stockholders to Receive $15.55 per Share - - Consortium Includes Entities or Funds Managed by The Carlyle Group, Stone Point Capital, Pictet & Cie and Edmond de Rothschild Group - New York, NY – December 30, 2012 – Duff & Phelps Corporation (NYSE: DUF) (“the Company”), a l |
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| December 31, 2012 |
424B7 1 a2012-12x31prospectussuppl.htm 424B7 PROSPECTUS SUPPLEMENT Prospectus Supplement Filed Pursuant to Rule 424(b)(7) (To Prospectus dated May 29, 2012) Registration No. 333-181132 Duff & Phelps Corporation Class A Common Stock This prospectus supplement supplements and amends the prospectus dated May 29, 2012 relating, in part, to the resale from time to time of up to 7,987,920 shares of our |
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| December 5, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 5, 2012 (December 3, 2012) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other j |
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| November 14, 2012 |
Prospectus Supplement Filed Pursuant to Rule 424(b)(7) (To Prospectus dated May 29, 2012) Registration No. |
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| October 29, 2012 |
Duff & Phelps Appoints Norman S. Matthews to Board of Directors EXHIBIT 99.1 Duff & Phelps Appoints Norman S. Matthews to Board of Directors NEW YORK—October 25, 2012—Duff & Phelps Corporation (NYSE: DUF), a leading independent financial advisory and investment banking firm, announced today that Norman S. Matthews has joined the company's board of directors. Matthews is the former president of Federated Department Stores, Inc. Noah Gottdiener, chief executive |
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| October 29, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 29, 2012 (October 24, 2012) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incor |
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| October 26, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended September 30, 2012 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 001-33693 DUFF & PHELPS CORPORATION (Exact name of registr |
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| October 25, 2012 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 25, 2012 (October 25, 2012) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incor |
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| October 25, 2012 |
DUFF & PHELPS REPORTS 2012 THIRD QUARTER RESULTS, AND DECLARES QUARTERLY DIVIDEND FOR IMMEDIATE RELEASE DUFF & PHELPS REPORTS 2012 THIRD QUARTER RESULTS, AND DECLARES QUARTERLY DIVIDEND HIGHLIGHTS: • Quarterly revenue of $111. |
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| October 22, 2012 |
Duff & Phelps Acquires Ceteris Duff & Phelps Acquires Ceteris Duff & Phelps Strengthens and Expands Global Transfer Pricing Capabilities by Acquiring CETERIS® NEW YORK, October 18, 2012 - Duff & Phelps Corporation (NYSE: DUF), a leading independent financial advisory and investment banking firm, today announced that it has acquired CETERIS®, a global economic consulting firm providing transfer pricing expertise along with strategic economic analysis and tax valuation services. |
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| October 22, 2012 |
Unregistered Sales of Equity Securities, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 22, 2012 (October 18, 2012) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incor |
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| October 10, 2012 |
DUF / Duff & Phelps Corp / EAGLE ASSET MANAGEMENT INC Passive Investment October 10, 2012 Securities and Exchange Commission 450 Fifth Street NW Washington, DC 20549 RE: Amended Schedule 13G Duff & Phelps Corp. |
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| August 14, 2012 |
Prospectus Supplement Filed Pursuant to Rule 424(b)(7) (To Prospectus dated May 29, 2012) Registration No. |
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| August 13, 2012 |
FIFTH AMENDMENT TO CREDIT AGREEMENT EXHIBIT 10.1 FIFTH AMENDMENT TO CREDIT AGREEMENT This FIFTH AMENDMENT to Credit Agreement (this “Amendment”) is entered into as of August 10, 2012, among DUFF & PHELPS, LLC, a Delaware limited liability company (the “Borrower”), DUFF & PHELPS ACQUISITIONS, LLC (“Holdings”), CHANIN CAPITAL PARTNERS LLC (“Chanin”), and RASH & ASSOCIATES, L.P. (“Rash” and together with Holdings and Chanin, each a “Gu |
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| August 13, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 13, 2012 (August 10, 2012) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incorpo |
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| August 13, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13D Under the Securities Exchange Act of 1934 (Amendment No. 5)* Duff & Phelps Corporation (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 26433B107 (CUSIP Number) Sander Levy Vestar Capital Partners IV, L.P. 245 Park Avenue, 41st Floor New York, New York 10167 (212) 351 |
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| August 9, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 9, 2012 (August 6, 2012) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incorpora |
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| August 9, 2012 |
Duff & Phelps Corporation A Common Stock, par value $0.01 Underwriting Agreement Duff & Phelps Corporation A Common Stock, par value $0.01 Underwriting Agreement August 6, 2012 Goldman, Sachs & Co. 200 West Street New York, New York 10282-2198 As representative of the several Underwriters named in Schedule I hereto Ladies and Gentlemen: The stockholders named in Schedule II hereto (the “Selling Stockholders”) of Duff & Phelps Corporation, a Delaware corporation (the “Company”) |
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| August 8, 2012 |
Filed Pursuant to Rule 424(b)(5) Registration No. 333-181132 Prospectus Supplement (To Prospectus dated May 29, 2012) 3,000,000 Shares Duff & Phelps Corporation Class A Common Stock Our Class A common stock is listed on the New York Stock Exchange (the “NYSE”) under the symbol “DUF.” The last reported sale price of our Class A common stock on August 6, 2012 was $14.72 per share. Investing in our C |
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| August 6, 2012 |
DUFF & PHELPS ANNOUNCES COMMON STOCK OFFERING OF 3,000,000 SHARES BY SELLING STOCKHOLDERS Filed Pursuant to Rule 433 Registration No. 333-181132 DUFF & PHELPS DUFF & PHELPS ANNOUNCES COMMON STOCK OFFERING OF 3,000,000 SHARES BY SELLING STOCKHOLDERS NEW YORK, August 6, 2012 – Duff & Phelps Corporation (NYSE: DUF), a leading independent financial advisory and investment banking firm, today announced the commencement of an underwritten public offering of 3,000,000 shares of its common sto |
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| July 25, 2012 |
Quarterly Report - QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended June 30, 2012 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 001-33693 DUFF & PHELPS CORPORATION (Exact name of registrant a |
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| July 24, 2012 |
DUFF & PHELPS REPORTS 2012 SECOND QUARTER RESULTS, AND DECLARES QUARTERLY DIVIDEND FOR IMMEDIATE RELEASE DUFF & PHELPS REPORTS 2012 SECOND QUARTER RESULTS, AND DECLARES QUARTERLY DIVIDEND HIGHLIGHTS: • Quarterly revenues of $118. |
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| July 24, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 24, 2012 (July 24, 2012) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incorporati |
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| June 5, 2012 |
As filed with the Securities and Exchange Commission on June 5, 2012 Registration No. |
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| May 25, 2012 |
DUFF & PHELPS CORPORATION 55 East 52nd Street, 31st Floor New York, New York 10055 May 25, 2012 VIA EDGAR AND EMAIL Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, D. |
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| May 22, 2012 |
As filed with the Securities and Exchange Commission on May 22, 2012 Registration No. |
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| May 22, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 22, 2012 (May 18, 2012) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incorporation |
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| May 22, 2012 |
DUFF & PHELPS CORPORATION 55 East 52nd Street, 31st Floor New York, New York 10055 May 22, 2012 VIA EDGAR AND EMAIL Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, D. |
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| May 22, 2012 |
Mr. Patrick Puzzuoli Duff & Phelps Corporation 55 E 52nd St., Fl. 31 New York, NY 10055 May 18, 2012 Dear Patrick: This letter agreement shall amend and restate in its entirety the letter agreement entered into between you and the Company which was effective March 7, 2011, pursuant to which you were appointed Executive Vice President and Chief Financial Officer of Duff & Phelps Corporation (togeth |
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| May 16, 2012 |
Prospectus Supplement Filed Pursuant to Rule 424(b)(7) (To Prospectus dated October 26, 2009) Registration No. |
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| May 15, 2012 |
May 14, 2012 Via Email Edward S. Forman, Esq. General Counsel Duff & Phelps Corporation 55 East 52 nd Street, 31 st Floor New York, New York 10055 Re: Duff & Phelps Corporation Registration Statement on Form S-3 Filed May 3, 2012 File No. 333-181132 Dear Mr. Forman: We have limited our review of your registration statement to the issue we have addressed in our comment below. In our comment, we ask |
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| May 3, 2012 |
As filed with the Securities and Exchange Commission on May 3, 2012 Registration No. |
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| May 3, 2012 |
Computation of Ratio of Earnings to Fixed Charges(1) Computation of Ratio of Earnings to Fixed Charges(1) Successor Predecessor Period from Period from Quarter Ended Quarter Ended Year Ended Year Ended Year Ended Year Ended October 4 to January 1 to March 31, March 31, December 31, December 31, December 31, December 31, December 31, October 3, 2012 2011 2011 2010 2009 2008 2007 2007 Income before income taxes $ 9,236 $ 9,555 $ 43,570 $ 42,849 $ 40,9 |
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| May 3, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) || THE BANK OF NEW YORK MELLON (Exact name of trustee as specified in its charter) New York (Jurisdiction of incorpora |
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| April 25, 2012 |
Quarterly Report - QUARTERLY REPORT FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended March 31, 2012 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 001-33693 DUFF & PHELPS CORPORATION (Exact name of registrant |
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| April 24, 2012 |
DUFF & PHELPS REPORTS 2012 FIRST QUARTER RESULTS AND DECLARES QUARTERLY DIVIDEND FOR IMMEDIATE RELEASE DUFF & PHELPS REPORTS 2012 FIRST QUARTER RESULTS AND DECLARES QUARTERLY DIVIDEND HIGHLIGHTS: • Quarterly revenues of $108. |
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| April 24, 2012 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 24, 2012 Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incorporation) (Commission |
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| April 23, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 23, 2012 (April 19, 2012) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other juris |
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| April 23, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 23, 2012 (April 19, 2012) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incorpora |
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| March 29, 2012 |
Prospectus Supplement Filed Pursuant to Rule 424(b)(7) (To Prospectus dated October 26, 2009) Registration No. |
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| March 14, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* Duff & Phelps Corporation (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 26433B107 (CUSIP Number) Sander Levy Vestar Capital Partners IV, L.P. 245 Park Avenue, 41st Floor New York, New York 10167 (212) 351 |
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| March 12, 2012 |
DUF / Duff & Phelps Corp / BlackRock Inc. Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No: 1) DUFF & PHELPS CORP - (Name of Issuer) Common Stock - (Title of Class of Securities) 26433B107 - (CUSIP Number) February 29, 2012 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is |
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| March 12, 2012 |
SC 13D/A 1 d309118dsc13da.htm AMENDMENT NO. 3 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* Duff & Phelps Corporation (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 26433B107 (CUSIP Number) Sander Levy Vestar Capital Partners IV, L.P. |
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| March 9, 2012 |
DUF / Duff & Phelps Corp / Lovell Minnick Partners Llc - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2) Duff & Phelps Corporation (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 26433B107 (CUSIP Number) Jennings J. Newcom Lovell Minnick Partners LLC Radnor Financial Center 150 N. Radnor Chester Road, Suite A |
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| March 6, 2012 |
Amendment No. 2 to Schedule 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* Duff & Phelps Corporation (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 26433B107 (CUSIP Number) Sander Levy Vestar Capital Partners IV, L.P. 245 Park Avenue, 41st Floor Ne |
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| March 5, 2012 |
- PROXY STATEMENT PURSUANT TO SECTION 14(A) DEF 14A 1 a2012proxydocument.htm PROXY STATEMENT PURSUANT TO SECTION 14(A) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential |
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| March 2, 2012 |
Duff & Phelps Corporation Class A Common Stock, par value $0.01 Underwriting Agreement EXHIBIT 1.1 EXECUTION COPY Duff & Phelps Corporation Class A Common Stock, par value $0.01 Underwriting Agreement February 27, 2012 Goldman, Sachs & Co. 200 West Street New York, New York 10282-2198 As representative of the several Underwriters named in Schedule I hereto Ladies and Gentlemen: Duff & Phelps Corporation, a Delaware corporation (the “Company”), proposes, subject to the terms and cond |
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| March 2, 2012 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 2, 2012 (February 27, 2012) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incorpo |
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| March 1, 2012 |
Prospectus Supplement Filed Pursuant to Rule 424(b)(7) (To Prospectus dated October 26, 2009) Registration No. |
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| March 1, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 1, 2012 Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incorporation) (Commission |
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| March 1, 2012 |
Duff & Phelps Appoints Gordon A. Paris to Board of Directors EXHIBIT 99.1 Duff & Phelps Appoints Gordon A. Paris to Board of Directors New York, NY, March 1, 2012—Duff & Phelps Corporation (NYSE: DUF), a leading independent financial advisory and investment banking firm, announced today that Gordon A. Paris has joined the company's board of directors. Paris served as the interim president of MediaNews Group, Inc. from January 2011 to October 2011 and a boar |
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| February 29, 2012 |
Filed Pursuant to Rule 424(b)(5) Registration No. 333-162551 Prospectus Supplement (To Prospectus dated October 26, 2009) 4,500,000 Shares Duff & Phelps Corporation Class A Common Stock Our Class A common stock is listed on the New York Stock Exchange (the “NYSE”) under the symbol “DUF.” The last reported sale price of our Class A common stock on February 27, 2012 was $15.08 per share. Investing i |
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| February 27, 2012 |
DUFF & PHELPS ANNOUNCES COMMON STOCK OFFERING OF 4,500,000 SHARES Filed Pursuant to Rule 433 Registration No. 333-162551 DUFF & PHELPS ANNOUNCES COMMON STOCK OFFERING OF 4,500,000 SHARES NEW YORK, February 27, 2012 – Duff & Phelps Corporation (NYSE: DUF), a leading independent financial advisory and investment banking firm, today announced that it has commenced an underwritten public offering of 4,500,000 shares of its common stock. Duff & Phelps is offering 3,2 |
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| February 21, 2012 |
EX-21.1 2 exhibit211listofsubsidiari.htm LIST OF SUBSIDIARIES EXHIBIT 21.1 DUFF & PHELPS CORPORATION AND SUBSIDIARIES LIST OF SUBSIDIARIES AS OF DECEMBER 31, 2011 Corporate Name Jurisdiction of Incorporation Chanin & Company, LLC California Chanin Advisors, LLC Delaware Chanin Capital Partners, LLC California D&P Canada Acquisition Corp Canada D&P International Holdings, LLC Delaware Duff & Phelps |
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| February 21, 2012 |
Annual Report - ANNUAL REPORT ON FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the year ended December 31, 2011 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-33693 DUFF & PHELPS CORPORATION (Exact |
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| February 15, 2012 |
DUFF & PHELPS REPORTS 2011 FOURTH QUARTER AND FULL YEAR RESULTS, AND DECLARES QUARTERLY DIVIDEND FOR IMMEDIATE RELEASE DUFF & PHELPS REPORTS 2011 FOURTH QUARTER AND FULL YEAR RESULTS, AND DECLARES QUARTERLY DIVIDEND FOURTH QUARTER HIGHLIGHTS: • Quarterly revenues of $124. |
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| February 15, 2012 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 15, 2012 (February 15, 2012) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of inc |
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| February 14, 2012 |
DUF / Duff & Phelps Corp / FMR LLC Passive Investment SCHEDULE 13G Amendment No. 0 DUFF & PHELPS CORP NEW Class A Common Stock Cusip #26433B107 Cusip #26433B107 Item 1: Reporting Person - FMR LLC Item 4: Delaware Item 5: 1,122 Item 6: 0 Item 7: 2,249,345 Item 8: 0 Item 9: 2,249,345 Item 11: 7.400% Item 12: HC Cusip #26433B107 Item 1: Reporting Person - Edward C. Johnson 3d Item 4: United States of America Item 5: 0 Item 6: 0 Item 7: 2,249,345 Item 8: |
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| February 10, 2012 |
DUF / Duff & Phelps Corp / Capital World Investors - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Duff & Phelps Corp (Name of Issuer) Class A Common Stock (Title of Class of Securities) 26433B107 (CUSIP Number) December 30, 2011 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which t |
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| February 9, 2012 |
DUF / Duff & Phelps Corp / BlackRock Inc. Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C.20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No: ) DUFF & PHELPS CORP - (Name of Issuer) Common Stock - (Title of Class of Securities) 26433B107 - (CUSIP Number) December 30, 2011 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is f |
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| February 8, 2012 |
Schedule 13G Amendment No.2 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)1 Duff & Phelps Corporation (Name of Issuer) Common Stock, $0.01 par value (Title of Class of Securities) 26433B107 (CUSIP Number) December 31, 2011 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designat |
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| February 2, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 2, 2012 DUFF & PHELPS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incorporation) (Commissi |
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| January 26, 2012 |
DUF / Duff & Phelps Corp / Cortina Asset Management, LLC - DUF13G123111 Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) DUFF & PHELPS CORPORATION - (Name of Issuer) Common Stock - (Title of Class of Securities) 26433B107 - (CUSIP Number) December 31, 2011 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to w |
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| January 24, 2012 |
DUF / Duff & Phelps Corp / EAGLE ASSET MANAGEMENT INC Passive Investment January 19,2012 Securities and Exchange Commission 450 Fifth Street NW Washington, DC 20549 RE: Schedule 13G Duff & Phelps Corp. |
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| January 4, 2012 |
EXHIBIT 99.1 Duff & Phelps Agrees to Acquire Pagemill Partners Addition of Silicon Valley-Based M&A Firm Enhances Global Technology Industry Expertise NEW YORK, December 19, 2011—Duff & Phelps Corporation (NYSE: DUF), a leading independent financial advisory and investment banking firm, today announced that it has entered into a definitive agreement to acquire Pagemill Partners, a Silicon Valley-b |
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| January 4, 2012 |
Duff & Phelps Completes Acquisition of Pagemill Partners EXHIBIT 99.2 Duff & Phelps Completes Acquisition of Pagemill Partners NEW YORK, January 3, 2012—Duff & Phelps Corporation (NYSE: DUF), a leading independent financial advisory and investment banking firm, today announced that it has successfully completed the acquisition of Pagemill Partners, a Silicon Valley-based investment banking and valuation services firm. The acquisition, which will enhance |
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| January 4, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 4, 2012 (December 30, 2011) DUFF & PHELPS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incor |
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| December 12, 2011 |
RSM Richter's Financial Restructuring Practice in Toronto Joins Duff & Phelps' Canadian Business EXHIBIT 99.1 RSM Richter's Financial Restructuring Practice in Toronto Joins Duff & Phelps' Canadian Business NEW YORK, December 12, 2011?Duff & Phelps Corporation (NYSE: DUF), a leading independent financial advisory and investment banking services firm, today announced that RSM Richter's Financial Restructuring Practice in Toronto has joined Duff & Phelps' existing team in Canada. RSM Richter's |
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| December 12, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 9, 2011 (December 12, 2011) DUFF & PHELPS CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of inco |
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| November 10, 2011 |
Prospectus Supplement Filed Pursuant to Rule 424(b)(7) (To Prospectus dated October 26, 2009) Registration No. |
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| November 1, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended September 30, 2011 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 001-33693 DUFF & PHELPS CORPORATION (Exact name of registr |
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| November 1, 2011 |
DUFF & PHELPS REPORTS 2011 THIRD QUARTER RESULTS, AND DECLARES QUARTERLY DIVIDEND EXHIBIT 99.1 FOR IMMEDIATE RELEASE DUFF & PHELPS REPORTS 2011 THIRD QUARTER RESULTS, AND DECLARES QUARTERLY DIVIDEND HIGHLIGHTS: ? Quarterly revenues of $94.4 million including reimbursable expenses (representing a $7.6 million or 8.7% increase over the corresponding prior year quarter) and $92.0 million excluding reimbursable expenses (representing a $7.6 million or 9.0% increase over the corresp |
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| November 1, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 1, 2011 (November 1, 2011) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incor |
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| October 31, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 31, 2011 (October 31, 2011) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other j |
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| October 31, 2011 |
Duff & Phelps Expands European Presence With Acquisition of MCR EXHIBIT 99.1 Duff & Phelps Expands European Presence With Acquisition of MCR Addition of UK-Based Restructuring and Turnaround Firm Expands Duff & Phelps' European Presence and Strengthens Global Restructuring Advisory Practice NEW YORK–October 31, 2011–Duff & Phelps Corporation (NYSE: DUF), a leading independent financial advisory and investment banking services firm, today announced that it has |
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| October 31, 2011 |
Unregistered Sales of Equity Securities, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 31, 2011 (October 31, 2011) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incor |
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| October 17, 2011 |
FOURTH AMENDMENT TO CREDIT AGREEMENT EXHIBIT 10.1 FOURTH AMENDMENT TO CREDIT AGREEMENT This FOURTH AMENDMENT to Credit Agreement (this “Amendment”) is entered into as of October 13, 2011, among DUFF & PHELPS, LLC, a Delaware limited liability company (the “Borrower”), DUFF & PHELPS ACQUISITIONS, LLC (“Holdings”), CHANIN CAPITAL PARTNERS LLC (“Chanin”), and RASH & ASSOCIATES, L.P. (“Rash” and together with Holdings and Chanin, each a |
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| October 17, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 17, 2011 (October 13, 2011) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incor |
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| September 15, 2011 |
POWER OF ATTORNEY KNOW ALL BY THESE PRESENTS, that the undersigned hereby constitutes and appoints each of Edward Forman, Patrick Puzzuoli and Noah Gottdiener as his true and lawful attorney-in-fact, solely for the following purposes, and hereby confers upon each such attorney-in-fact full power and authority to perform each and all of the following acts in the name of and on behalf of the undersigned. |
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| September 15, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 15, 2011 (September 13, 2011) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of i |
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| September 15, 2011 |
Duff & Phelps Appoints John Kritzmacher to Board of Directors Duff & Phelps Appoints John Kritzmacher to Board of Directors New York, NY, September 13, 2011 - Duff & Phelps Corporation (NYSE: DUF), a leading independent provider of financial advisory and investment banking services, announced today that John Kritzmacher has joined the company's board of directors. |
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| August 18, 2011 |
August 18, 2011 Via E-mail Patrick Puzzuoli Chief Financial Officer Duff & Phelps Corporation 55 East 52 nd Street, 31 st Floor New York, New York 10055 Re: Duff & Phelps Corporation Form 10-K Filed February 24, 2011 File No. |
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| August 15, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 15, 2011 (August 15, 2011) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incorpo |
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| August 15, 2011 |
THIRD AMENDMENT TO CREDIT AGREEMENT THIRD AMENDMENT TO CREDIT AGREEMENT This THIRD AMENDMENT to Credit Agreement (this “Amendment”) is entered into as of August 15, 2011, among DUFF & PHELPS, LLC, a Delaware limited liability company (the “Borrower”), DUFF & PHELPS ACQUISITIONS, LLC (“Holdings”), CHANIN CAPITAL PARTNERS LLC (“Chanin”), and RASH & ASSOCIATES, L. |
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| August 12, 2011 |
Duff & Phelps Corporation 55 East 52nd Street, 31st Floor New York, New York 10055 (212) 871-2000 Duff & Phelps Corporation 55 East 52nd Street, 31st Floor New York, New York 10055 (212) 871-2000 August 12, 2011 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance Washington, D. |
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| August 9, 2011 | ||
| July 28, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended June 30, 2011 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 001-33693 DUFF & PHELPS CORPORATION (Exact na |
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| July 27, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 27, 2011 Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incorporation) (Commission |
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| July 27, 2011 |
DUFF & PHELPS REPORTS 2011 SECOND QUARTER RESULTS AND DECLARES QUARTERLY DIVIDEND DUFF & PHELPS REPORTS 2011 SECOND QUARTER RESULTS AND DECLARES QUARTERLY DIVIDEND HIGHLIGHTS: - Quarterly revenues of $91. |
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| July 5, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 5, 2011 (June 30, 2011) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incorporatio |
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| July 5, 2011 |
July 05, 2011 09:00 AM Eastern Daylight Time July 05, 2011 09:00 AM Eastern Daylight Time Duff & Phelps Acquires Growth Capital Partners Addition of Texas-Based, Middle Market Investment Banking Firm Enhances Duff & Phelps' Energy Industry Expertise NEW YORK-(BUSINESS WIRE)-Duff & Phelps Corporation (NYSE: DUF), a leading independent financial advisory and investment banking services firm, today announced that it has acquired Growth Capital Partners. |
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| May 16, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 16, 2011 (May 12, 2011) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incorporation |
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| May 12, 2011 |
Duff & Phelps Corporation Class A Common Stock Prospectus Supplement Filed Pursuant to Rule 424(b)(7) (To Prospectus dated October 26, 2009) Registration No. |
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| April 28, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended March 31, 2011 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 001-33693 DUFF & PHELPS CORPORATION (Exact name of registrant |
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| April 28, 2011 |
EXHIBIT 10.1 FORM OF PERFORMANCE-VESTING RESTRICTED STOCK AWARD AGREEMENT UNDER THE DUFF & PHELPS CORPORATION AMENDED AND RESTATED 2007 OMNIBUS STOCK INCENTIVE PLAN This Performance-Vesting Restricted Stock Award Agreement (this ?Agreement?), dated as of (the ?Date of Grant?), is made by and between Duff & Phelps Corporation, a Delaware corporation (the ?Company?) and (the ?Participant?). Capitali |
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| April 27, 2011 |
DUFF & PHELPS REPORTS 2011 FIRST QUARTER RESULTS AND DECLARES QUARTERLY DIVIDEND FOR IMMEDIATE RELEASE DUFF & PHELPS REPORTS 2011 FIRST QUARTER RESULTS AND DECLARES QUARTERLY DIVIDEND HIGHLIGHTS: - Quarterly revenue of $86. |
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| April 27, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 27, 2011 Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incorporation) (Commission |
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| March 28, 2011 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material Pursuant to §240. |
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| March 28, 2011 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission only (as permitted by Rule 14a-6(e)(2)) o Definitive Proxy Statement x Definitive Additional Materials o Soliciting Material Pursuant to §240. |
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| March 16, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 16, 2011 (March 11, 2011) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incorpora |
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| March 8, 2011 |
POWER OF ATTORNEY KNOW ALL BY THESE PRESENTS, that the undersigned hereby constitutes and appoints each of Edward Forman, Jacob Silverman and Noah Gottdiener as his true and lawful attorney-in-fact, solely for the following purposes, and hereby confers upon each such attorney-in-fact full power and authority to perform each and all of the following acts in the name of and on behalf of the undersigned. |
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| March 7, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 7, 2011 (March 7, 2011) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incorporati |
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| March 7, 2011 |
Mr. Patrick Puzzuoli Duff & Phelps Corporation 55 E 52nd St., Fl. 31 New York, NY 10055 March 7, 2011 Dear Patrick: Effective March 7, 2011, you have been appointed Executive Vice President and Chief Financial Officer (?CFO?) of Duff & Phelps Corporation (the ?Company?). In connection with your serving the Company as CFO, this letter agreement sets forth the terms and conditions under which you ma |
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| March 7, 2011 |
Duff & Phelps Names New Head of Investment FOR IMMEDIATE RELEASE Duff & Phelps Names New Head of Investment Banking and New Chief Financial Officer NEW YORK, March 7, 2011 — Duff & Phelps Corporation (NYSE: DUF), a leading independent provider of financial advisory and investment banking services, today announced that Jacob Silverman has been named leader of the Investment Banking segment. |
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| March 2, 2011 |
OMB APPROVAL OMB Number: 3235-0145 Estimated average burden hours per response 11 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 2, 2011 |
Duff & Phelps Corporation Class A Common Stock Prospectus Supplement Filed Pursuant to Rule 424(b)(7) (To Prospectus dated October 26, 2009) Registration No. |
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| February 28, 2011 |
SECOND AMENDMENT TO CREDIT AGREEMENT SECOND AMENDMENT TO CREDIT AGREEMENT This SECOND AMENDMENT TO CREDIT AGREEMENT (this “Amendment”) is entered into as of February 23, 2011, among DUFF & PHELPS, LLC, a Delaware limited liability company (the “Borrower”), DUFF & PHELPS ACQUISITIONS, LLC (“Holdings”), CHANIN CAPITAL PARTNERS LLC (“Chanin”), and RASH & ASSOCIATES, L. |
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| February 28, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 28, 2011 (February 23, 2011) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of inc |
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| February 24, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the year ended December 31, 2010 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No. 001-33693 DUFF & PHELPS CORPORATION (Exact n |
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| February 24, 2011 |
DUFF & PHELPS CORPORATION AND SUBSIDIARIES LIST OF SUBSIDIARIES AS OF DECEMBER 31, 2010 EXHIBIT 21.1 DUFF & PHELPS CORPORATION AND SUBSIDIARIES LIST OF SUBSIDIARIES AS OF DECEMBER 31, 2010 Corporate Name Jurisdiction of Incorporation Chanin & Company, LLC California Chanin Advisors, LLC Delaware Chanin Capital Partners, LLC California D&P Canada Acquisition Corp Canada D&P International Holdings, LLC Delaware Duff & Phelps (H.K.) Holdings Limited Hong Kong SAR Duff & Phelps Acquisiti |
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| February 23, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 23, 2011 Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of (Commission (IRS Employ |
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| February 23, 2011 |
DUFF & PHELPS REPORTS 2010 FOURTH QUARTER AND FULL YEAR RESULTS AND DECLARES QUARTERLY DIVIDEND FOR IMMEDIATE RELEASE DUFF & PHELPS REPORTS 2010 FOURTH QUARTER AND FULL YEAR RESULTS AND DECLARES QUARTERLY DIVIDEND FOURTH QUARTER AND RECENT HIGHLIGHTS: - Quarterly revenues of $105. |
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| February 14, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Duff & Phelps Corp (Name of Issuer) Class A Common Stock (Title of Class of Securities) 26433B107 (CUSIP Number) December 31, 2010 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which t |
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| February 9, 2011 |
OMB APPROVAL OMB Number: 3235-0145 Estimated average burden hours per response 11 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 9, 2011 |
Amendment No. 1 to Schedule 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)1 Duff & Phelps Corp New (Name of Issuer) Common Stock, $0.01 par value (Title of Class of Securities) 26433B107 (CUSIP Number) December 31, 2010 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designa |
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| January 31, 2011 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) Information statement pursuant to Rules 13d-1 and 13d-2 Under the Securities Exchange Act of 1934 (Amendment No.1) Duff & Phelps Corporation (Name of Issuer) Class A Common Stock (Title of Class of Securities) 26433B107 (CUSIP Number) Date of Event Which Requires Filing of this Statement: December 31, 2010 *The r |
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| January 27, 2011 |
January 18, 2011 Securities and Exchange Commission 450 Fifth Street NW Washington, DC 20549 RE: Schedule 13G Duff & Phelps Corp. |
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| December 17, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 17, 2010 (December 15, 2010) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of inc |
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| December 17, 2010 |
FOR IMMEDIATE RELEASE Duff & Phelps Acquires Dynamic Credit Partners? U.S. Consulting Business and June Consulting Group Addition of 22 Professionals Expands Complex Valuation Capabilities and Legal Management Services NEW YORK, New York, Date - Duff & Phelps Corporation (NYSE: DUF), a leading independent financial advisory and investment banking firm, today announced that it has acquired Dynamic |
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| November 12, 2010 |
Duff & Phelps Corporation Class A Common Stock Prospectus Supplement Filed Pursuant to Rule 424(b)(7) (To Prospectus dated October 26, 2009) Registration No. |
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| November 9, 2010 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 9, 2010 (November 8, 2010) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incor |
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| November 9, 2010 |
FIRST AMENDMENT TO CREDIT AGREEMENT FIRST AMENDMENT TO CREDIT AGREEMENT This FIRST AMENDMENT to Credit Agreement (this “Amendment”) is entered into as of November 8, 2010, among DUFF & PHELPS, LLC, a Delaware limited liability company (the “Borrower”), DUFF & PHELPS ACQUISITIONS, LLC (“Holdings”), CHANIN CAPITAL PARTNERS LLC (“Chanin”), and RASH & ASSOCIATES, L. |
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| October 29, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended September 30, 2010 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 001-33693 DUFF & PHELPS CORPORATION (Exact name of registr |
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| October 29, 2010 |
FOR IMMEDIATE RELEASE CORRECTING and REPLACING Duff & Phelps Reports Third Quarter 2010 Results and Declares Quarterly Dividend CORRECTION. |
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| October 29, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A Amendment No. 1 CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 29, 2010 (October 28, 2010) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jur |
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| October 28, 2010 |
DUFF & PHELPS REPORTS THIRD QUARTER 2010 RESULTS AND DECLARES QUARTERLY DIVIDEND FOR IMMEDIATE RELEASE DUFF & PHELPS REPORTS THIRD QUARTER 2010 RESULTS AND DECLARES QUARTERLY DIVIDEND HIGHLIGHTS: - Quarterly revenues of $86. |
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| October 28, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 28, 2010 Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incorporation) (Commissi |
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| September 15, 2010 |
As filed with the Securities and Exchange Commission on September 15, 2010 As filed with the Securities and Exchange Commission on September 15, 2010 Registration No. |
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| August 12, 2010 |
Prospectus Supplement Filed Pursuant to Rule 424(b)(7) (To Prospectus dated October 26, 2009) Registration No. |
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| July 30, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended June 30, 2010 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 001-33693 DUFF & PHELPS CORPORATION (Exact name of registrant a |
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| July 29, 2010 |
DUFF & PHELPS REPORTS SECOND QUARTER 2010 RESULTS AND DECLARES QUARTERLY DIVIDEND FOR IMMEDIATE RELEASE DUFF & PHELPS REPORTS SECOND QUARTER 2010 RESULTS AND DECLARES QUARTERLY DIVIDEND HIGHLIGHTS: - Quarterly revenues of $90. |
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| July 29, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 29, 2010 Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incorporation) (Commission |
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| June 17, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 17, 2010 (June 15, 2010) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incorporati |
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| June 17, 2010 |
Duff & Phelps Acquires Cole & Partners FOR IMMEDIATE RELEASE Duff & Phelps Acquires Cole & Partners Addition of Leading Canadian Financial Advisory Firm Establishes Duff & Phelps’ Presence in Canada NEW YORK, June 15, 2010 - Duff & Phelps Corporation (NYSE: DUF), a leading independent financial advisory and investment banking firm, today announced that it has acquired Cole & Partners, a Toronto-based independent financial advisory practice comprised of approximately 20 client service professionals. |
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| May 13, 2010 |
Duff & Phelps Corporation Class A Common Stock Prospectus Supplement Filed Pursuant to Rule 424(b)(7) (To Prospectus dated October 26, 2009) Registration No. |
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| May 10, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 7, 2010 (May 6, 2010) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incorporation) |
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| April 30, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended March 31, 2010 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 001-33693 DUFF & PHELPS CORPORATION (Exact name of registrant |
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| April 29, 2010 |
DUFF & PHELPS REPORTS FIRST QUARTER 2010 FINANCIAL RESULTS DUFF & PHELPS DUFF & PHELPS REPORTS FIRST QUARTER 2010 FINANCIAL RESULTS HIGHLIGHTS: · Revenues of $92. |
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| April 29, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 29, 2010 Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incorporation) (Commission |
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| April 26, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 26, 2010 (April 22, 2010) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incorpora |
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| April 23, 2010 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission only (as permitted by Rule 14a-6(e)(2)) o Definitive Proxy Statement x Definitive Additional Materials o Soliciting Material Pursuant to §240. |
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| March 22, 2010 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission ? Definitive Proxy Statement only (as permitted by Rule 14a-6(e)(2)) x Definitive Additional Materials ? Soliciting Material Pursuant to ?240. |
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| March 22, 2010 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material Pursuant to §240. |
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| March 3, 2010 |
Prospectus Supplement (To Prospectus dated October 26, 2009) Filed Pursuant to Rule 424(b)(7) Registration No. |
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| February 25, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the year ended December 31, 2009 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No. 001-33693 DUFF & PHELPS CORPORATION (Exact n |
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| February 25, 2010 |
DUFF & PHELPS CORPORATION AND SUBSIDIARIES LIST OF SUBSIDIARIES AS OF DECEMBER 31, 2009 EXHIBIT 21.1 DUFF & PHELPS CORPORATION AND SUBSIDIARIES LIST OF SUBSIDIARIES AS OF DECEMBER 31, 2009 Corporate Name Jurisdiction of Incorporation Chanin & Company, LLC California Chanin Advisors, LLC Delaware Chanin Capital Partners, LLC California D&P International Holdings, LLC Delaware Duff & Phelps (H.K.) Holdings Limited Hong Kong SAR Duff & Phelps Acquisitions, LLC Delaware Duff & Phelps B.V |
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| February 23, 2010 |
DUFF & PHELPS DUFF & PHELPS REPORTS 2009 FULL YEAR AND FOURTH QUARTER FINANCIAL RESULTS AND DECLARES QUARTERLY DIVIDEND FULL YEAR HIGHLIGHTS: · Full year revenues of $382. |
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| February 23, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 23, 2010 Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incorporation) (Commiss |
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| February 16, 2010 |
SCHEDULE 13G/A FILINGS DATE:December 31, 2009 SECURITY:DUFF & PHELPS CORPORATION CUSIP:26433B107 CIK#:0001397821 IRS#:208893559 Exchange:NYSE ADDRESS:55 EAST 52ND STREET NEW YORK, NY 10055 SOLE VOTING SHARES: -0- SHARED DISPOSITIVE SHARES : -0- AGGREGATE AMOUNT: -0- SHARES OUTSTANDING: -0- % OWNED BY LOOMIS: 0% LOOMIS CIK#:0000312348 LOOMIS IRS#:043200030 LOOMIS PASSWORD:xxxxxxxx SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 12, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Duff & Phelps Corporation (Name of Issuer) Class A Common Stock (Title of Class of Securities) 26433B107 (CUSIP Number) December 31, 2009 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| February 11, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Duff & Phelps Corp (Name of Issuer) Class A Common Stock (Title of Class of Securities) 26433B107 (CUSIP Number) December 31, 2009 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which th |
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| February 11, 2010 |
OMB APPROVAL OMB Number: 3235-0145 Expires: February 28, 2009 Estimated average burden hours per response 11 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 11, 2010 |
Schedule 13G Amendment No. 2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 2)* DUFF & PHELPS CORPORATION (Name of issuer) CLASS A COMMON STOCK (Title of class of securities) 26433B107 (CUSIP |
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| February 9, 2010 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )1 Duff & Phelps Corp (Name of Issuer) Common Stock, $0.01 par value (Title of Class of Securities) 26433B107 (CUSIP Number) December 31, 2009 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sc |
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| February 2, 2010 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) Information statement pursuant to Rules 13d-1 and 13d-2 Under the Securities Exchange Act of 1934 (Amendment No.) Duff & Phelps Corporation (Name of Issuer) Class A Common Stock (Title of Class of Securities) 26433B107 (CUSIP Number) Date of Event Which Requires Filing of this Statement: December 31, 2009 *The re |
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| November 16, 2009 |
Duff & Phelps Corporation Class A Common Stock Filed Pursuant to Rule 424(b)(7) Registration No. 333-162551 Prospectus Supplement (To Prospectus dated October 26, 2009) 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 |
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| November 9, 2009 |
Duff & Phelps Corporation Class A Common Stock, par value $.01 Underwriting Agreement EXHIBIT 1.1 Duff & Phelps Corporation Class A Common Stock, par value $.01 Underwriting Agreement November 4, 2009 Goldman, Sachs & Co. 85 Broad Street New York, New York 10004 As representative of the several Underwriters named in Schedule I hereto Ladies and Gentlemen: Duff & Phelps Corporation, a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, |
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| November 9, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 9, 2009 (November 4, 2009) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incor |
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| November 6, 2009 |
Filed Pursuant to Rule 424(b)(5) Registration No. 333-162551 Prospectus Supplement (To Prospectus dated October 26, 2009) 2,500,000 Shares Duff & Phelps Corporation Class A Common Stock We sold 2,500,000 shares of our Class A common stock to the underwriter at a price of $15.00 per share for an aggregate of $37,500,000, and the underwriter is offering such shares to the public at a price of $15.50 |
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| November 4, 2009 |
Filed Pursuant to Rule 433 Registration No. 333-162551 DUFF & PHELPS ANNOUNCES COMMON STOCK OFFERING OF 2.5 MILLION SHARES New York, NY, November 4, 2009 – Duff & Phelps Corporation (NYSE: DUF), a leading independent financial advisory and investment banking firm, today announced that it has agreed to sell 2,500,000 shares in an underwritten public offering of Class A common stock. Duff & Phelps i |
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| November 4, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended September 30, 2009 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 001-33693 DUFF & PHELPS CORPORATION (Exact name of registr |
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| November 3, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 3, 2009 Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incorporation) (Commissi |
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| November 3, 2009 |
DUFF & PHELPS REPORTS THIRD QUARTER 2009 FINANCIAL RESULTS AND DECLARES QUARTERLY DIVIDEND DUFF & PHELPS REPORTS THIRD QUARTER 2009 FINANCIAL RESULTS AND DECLARES QUARTERLY DIVIDEND RECENT HIGHLIGHTS · Third quarter revenues excluding reimbursable expenses of $93. |
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| October 16, 2009 |
Computation of Ratio of Earnings to Fixed Charges(1) Exhibit 12.1 Computation of Ratio of Earnings to Fixed Charges(1) Initial Successor Predecessor Predecessor(2) Six Months Period from Period from Period from Period from Ended Year Ended October 4 to January 1 to Year Ended Year Ended March 15 to January 1 to June 30, December 31, December 31, October 3, December 31, December 31, December 31, March 14, 2009 2008 2007 2007 2006 2005 2004 2004 Incom |
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| October 16, 2009 |
As filed with the Securities and Exchange Commission on October 16, 2009 Registration No. |
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| October 16, 2009 |
Consolidated Statements of Operations (In thousands, except per share data) Exhibit 99.2 Item 6. Selected Financial Data The following table sets forth the historical selected financial data for the Company for all periods presented. For more information on our historical financial information and Adjusted EBITDA, see Item 7. “Management’s Discussion and Analysis of Financial Condition and Results of Operations” and Item 8. “Financial Statements and Supplemental Data.” Co |
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| October 16, 2009 |
Other Events, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 16, 2009 DUFF & PHELPS CORPORATION (Exact name of Registrant as specified in its charter) Commission File No. 001-33693 Delaware 20-8893559 (State or Other Jurisdiction of Inc |
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| October 16, 2009 |
Summary of Equity Based Compensation Expense (In thousands) Exhibit 99.3 Item 7. Management?s Discussion and Analysis of Financial Condition and Results of Operations. Overview The following results of operations, analysis and discussion present an aggregation of certain periods to help provide a full-year presentation of our results for comparability purposes. These aggregated results are a non-GAAP financial measure. For example, the Predecessor period f |
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| October 16, 2009 |
EXHIBIT 99.1 In this report, references to the ?Company,? ?we,? ?us,? ?our? and ?Successor? refer to Duff & Phelps Corporation and its consolidated subsidiaries during the period subsequent to October 3, 2007, the date we consummated our initial public offering (?IPO?) and related transactions. Prior to the IPO, Duff & Phelps Acquisitions, LLC and its subsidiaries (?D&P Acquisitions? or ?Predecess |
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| October 16, 2009 |
INDEX TO CONSOLIDATED FINANCIAL STATEMENTS Exhibit 99.4 Item 8. Financial Statements and Supplemental Data. The Company’s consolidated financial statements listed in the “Index to Consolidated Financial Statements” described at F-1 are incorporated by reference herein. 1 INDEX TO CONSOLIDATED FINANCIAL STATEMENTS Audited Consolidated Financial Statements: Report of Independent Registered Public Accounting Firm F-2 Consolidated Statements o |
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| October 6, 2009 |
FIRST AMENDMENT TO THE EXCHANGE AGREEMENT BY AND AMONG DUFF & PHELPS ACQUISITIONS, LLC LM DUFF HOLDINGS, LLC LOVELL MINNICK EQUITY PARTNERS LP VESTAR CAPITAL PARTNERS IV, L. |
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| October 6, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 6, 2009 (October 5, 2009) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incorpo |
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| August 4, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended June 30, 2009 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 001-33693 DUFF & PHELPS CORPORATION (Exact name of registrant a |
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| August 3, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 3, 2009 Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incorporation) (Commission |
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| August 3, 2009 |
DUFF & PHELPS REPORTS SECOND QUARTER 2009 FINANCIAL RESULTS AND DECLARES QUARTERLY DIVIDEND DUFF & PHELPS REPORTS SECOND QUARTER 2009 FINANCIAL RESULTS AND DECLARES QUARTERLY DIVIDEND RECENT HIGHLIGHTS · Second quarter revenues excluding reimbursable expenses of $90. |
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| July 20, 2009 |
Mail Stop 4561 June 10, 2009 (via U. S. Mail and facsimile ((917) 702-8658) Mr. Noah Gottdiener Chairman and Chief Executive Officer Duff & Phelps Corporation 55 East 52nd Street, 31st Floor New York, New York 10055 Re: Duff & Phelps Corporation File No. 001-33693 Form 10-K for the fiscal year ended December 31, 2008 Dear Mr. Gottdiener: We have reviewed your filings and have the following comment |
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| July 17, 2009 |
Published CUSIP Number: CREDIT AGREEMENT Dated as of July 15, 2009 among DUFF & PHELPS, LLC, as the Borrower, BANK OF AMERICA, N. |
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| July 17, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 17, 2009 (July 15, 2009) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incorporati |
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| July 15, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 DIVISION OF CORPORATION FINANCE Mail Stop 4561 July 15, 2009 Via US Mail and Facsimile to (212) 450-2801 Mr. Noah Gottdiener Chairman and Chief Executive Officer Duff & Phelps Corporation 55 East 52 nd Street, 31 st Floor New York, New York 10055 Re: Duff & Phelps Corporation Form 10-K for Fiscal Year Ended December 31, 2008 F |
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| June 16, 2009 |
Duff & Phelps Corporation 55 East 52nd Street, 31st Floor New York, New York 10055 (212) 871-2000 Duff & Phelps Corporation 55 East 52nd Street, 31st Floor New York, New York 10055 (212) 871-2000 June 16, 2009 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| May 29, 2009 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* Duff & Phelps Corporation (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 26433B107 (CUSIP Number) Sander Levy Vestar Capital Partners IV, L.P. 245 Park Avenue, 41st Floor New York, New Yo |
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| May 29, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1) Duff & Phelps Corporation (Name of Issuer) Class A Common Stock, par value $0.01 per share (Title of Class of Securities) 26433B107 (CUSIP Number) Jennings J. Newcom Lovell Minnick Partners LLC 2141 Rosecrans Avenue Suite 5150 El Segundo, CA 90245 (Name |
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| May 26, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 26, 2009 (May 22, 2009) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incorporation |
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| May 18, 2009 |
Duff & Phelps Corporation Class A Common Stock, par value $.01 Underwriting Agreement Exhibit 1.1 Duff & Phelps Corporation Class A Common Stock, par value $.01 Underwriting Agreement May 13, 2009 Goldman, Sachs & Co. 85 Broad Street New York, New York 10004 As representative of the several Underwriters named in Schedule I hereto Ladies and Gentlemen: Duff & Phelps Corporation, a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to i |
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| May 18, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 18, 2009 (May 13, 2009) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incorporation |
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| May 14, 2009 |
Filed Pursuant to Rule 424(b)(5) Registration No. 333-158739 Prospectus Supplement (To Prospectus dated May 4, 2009) 7,000,000 Shares Duff & Phelps Corporation Class A Common Stock We are offering 7,000,000 shares of Class A common stock of Duff & Phelps Corporation. Our Class A common stock is listed on the New York Stock Exchange under the symbol “DUF.” The last reported sale price of our Class |
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| May 13, 2009 |
DUFF & PHELPS CORPORATION Final Term Sheet Issuer Free Writing Prospectus Filed Pursuant to Rule 433 May 13, 2009 Registration Statement No. |
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| May 5, 2009 |
DUFF & PHELPS REPORTS FIRST QUARTER 2009 FINANCIAL RESULTS FIRST QUARTER HIGHLIGHTS: DUFF & PHELPS DUFF & PHELPS REPORTS FIRST QUARTER 2009 FINANCIAL RESULTS FIRST QUARTER HIGHLIGHTS: ? Revenues excluding reimbursable expenses of $89. |
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| May 5, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended March 31, 2009 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 001-33693 DUFF & PHELPS CORPORATION (Exact name of registrant |
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| May 5, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 5, 2009 Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incorporation) (Commission Fi |
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| May 5, 2009 |
The information in this preliminary prospectus supplement is not complete and may be changed. |
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| April 24, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 24, 2009 (April 23, 2009) Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incorpora |
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| April 24, 2009 |
EXHIBIT 25.1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) [ ] THE BANK OF NEW YORK MELLON (Exact name of trustee as specified in its charter) New York (Jurisdictio |
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| April 24, 2009 |
As filed with the Securities and Exchange Commission on April 23, 2009 As filed with the Securities and Exchange Commission on April 23, 2009 Registration No. |
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| April 24, 2009 |
Duff & Phelps Corporation Computation of Ratios of Earnings to Fixed Charges EXHIBIT 12.1 Duff & Phelps Corporation Computation of Ratios of Earnings to Fixed Charges Successor Predecessor Initial Predecessor(2) Year Ended December 31, 2008 Period from October 4 to December 31, 2007 Period from January 1 to October 3, 2007 Year Ended December 31, 2006 Year Ended December 31, 2005 Period from March 15, 2004 - December 31, 2004 Period from January 1, 2004 - March 14, 2004 In |
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| April 24, 2009 |
EXHIBIT 4.1 =================================================================== DUFF & PHELPS CORPORATION - INDENTURE Dated as of [Date] - DEBT SECURITIES THE BANK OF NEW YORK MELLON Trustee =================================================================== TABLE OF CONTENTS* ARTICLE I PAGE DEFINITIONS Section 1.01 Definitions. 1 ARTICLE II FORMS OF SECURITIES Section 2.01 Terms of the Securities |
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| March 16, 2009 |
Use these links to rapidly review the document TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 16, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| February 26, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 26, 2009 Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incorporation) (Commiss |
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| February 26, 2009 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the year ended December 31, 2008 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File No. 001-33693 DUFF & PHELPS CO |
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| February 26, 2009 |
EXHIBIT 21.1 DUFF & PHELPS CORPORATION AND SUBSIDIARIES LIST OF SUBSIDIARIES AS OF DECEMBER 31, 2008 Corporate Name Jurisdiction of Incorporation Chanin & Company, LLC California Chanin Advisors, LLC Delaware Chanin Capital Partners, LLC California D&P Netherlands Holdings, LLC Delaware Duff & Phelps (H.K.) Holdings Limited Hong Kong SAR Duff & Phelps Acquisitions, LLC Delaware Duff & Phelps B.V. |
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| February 26, 2009 |
DUFF & PHELPS REPORTS 2008 FULL-YEAR AND FOURTH QUARTER FINANCIAL RESULTS Exhibit 99.1 DUFF & PHELPS DUFF & PHELPS REPORTS 2008 FULL-YEAR AND FOURTH QUARTER FINANCIAL RESULTS FULL-YEAR HIGHLIGHTS: ? Full-year revenues excluding reimbursable expenses of $381.5 million, representing 11.8% growth compared to the prior year ? Adjusted EBITDA(1) of $73.6 million, representing 19.3% margin ? Adjusted pro forma net income per share(1) of $1.05, representing 12.9% growth from t |
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| February 17, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Duff & Phelps Corporation (Name of Issuer) Class A Common Stock (Title of Class of Securities) 26433B107 (CUSIP Number) December 31, 2008 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to w |
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| February 13, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 1)* DUFF & PHELPS CORPORATION (Name of Issuer) CLASS A COMMON STOCK (Title of Class of Securities) 26433B107 (CUSIP Number) December 31, 2008 (D |
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| February 13, 2009 |
SCHEDULE 13G FILINGS DATE:December 31, 2008 SECURITY:DUFF & PHELPS CORPORATION CUSIP:26433B107 CIK#:0001397821 IRS#:208893559 Exchange:NYSE ADDRESS:55 EAST 52ND STREET NEW YORK, NY 10055 SOLE VOTING SHARES: 652,946 SHARED DISPOSITIVE SHARES : -0- AGGREGATE AMOUNT: 882,366 SHARES OUTSTANDING: 14,592,000 % OWNED BY LOOMIS: 6. |
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| January 29, 2009 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) DUFF & PHELPS CORPORATION - (Name of Issuer) Class A Common Stock, $0.01 par value - (Title of Class of Securities) 26433B107 - (CUSIP Number) December 31, 2008 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pu |
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| November 6, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended September 30, 2008 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 001-33693 DUFF & PHELPS CORPORATION (Exact name of registra |
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| November 6, 2008 |
Results of Operations and Financial Condition, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 6, 2008 Duff & Phelps Corporation (Exact name of registrant as specified in its charter) Delaware 001-33693 20-8893559 (State or other jurisdiction of incorporation) (Commissi |
