424B7 1 v166269_424b7.htm Unassociated Document

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 therein and in this prospectus supplement.  The selling stockholders are offering all of the shares of our Class A common stock offered by this prospectus supplement.  We will not receive any proceeds from the sale by the selling stockholders of shares of Class A common stock.
 
This prospectus supplement should be read in conjunction with and accompanied by the prospectus and is qualified by reference to the prospectus, except to the extent that the information in this prospectus supplement supersedes the information contained in the prospectus.
 
Our Class A common stock is listed on the New York Stock Exchange under the trading symbol “DUF.”  The last reported sale price of our Class A common stock on November 13, 2009 was $17.11 per share.
 
Investing in our securities involves a high degree of risk. See “Risk Factors” on page 3 before you make your investment decision.
 
Neither the Securities and Exchange Commission nor any state securities commission has approved or disapproved of these securities or determined if this prospectus or the accompanying prospectus supplement is truthful or complete. Any representation to the contrary is a criminal offense.
 
Prospectus Supplement dated November 16, 2009.

 
SELLING STOCKHOLDERS
 
 
On November 9, 2009, we completed an underwritten public offering of 2,500,000 shares of our Class A common stock. The proceeds of that offering were used to redeem, for cash, an equivalent number of New Class A Units of Duff & Phelps Acquisitions, LLC, which otherwise would have been exchangeable for our Class A common stock on a one-for-one basis pursuant to our exchange agreement. The shares of Class A common stock into which such redeemed New Class A Units would have been exchangeable are no longer available for resale under the prospectus to which this prospectus supplement relates. In connection with the offering, approximately 221,000 shares of Class A common stock listed in the table below are subject to lock-up restrictions until February 3, 2010.
 
The shares of Class A common stock offered by this prospectus supplement may be offered from time to time by the selling stockholders named below.  Information concerning other selling stockholders will be set forth in other prospectus supplements from time to time, if required.
 
Beneficial ownership is determined in accordance with the rules of the SEC. These rules generally attribute beneficial ownership of securities to persons who possess sole or shared voting power or investment power with respect to such securities. Except as otherwise indicated, all persons listed below have sole voting and investment power with respect to the shares of Class A common stock beneficially owned by them, subject to applicable community property laws.
 
Except as otherwise indicated, the address for each selling stockholder is c/o Duff & Phelps Corporation, 55 East 52nd Street, 31st Floor, New York, New York 10055.
 

   
Before the Offering
          
After the Offering
  
   
Class A Common Stock on a Fully-Exchanged Basis
    
Number of Shares Offered Hereby
    
Class A Common Stock on a Fully-Exchanged Basis(1)
  
Selling Stockholder
  
Number
    
Percent(2)
    
Number
    
Number
    
Percent(2)
  
Gerard Creagh(3)
     562,005       1.4 %     78,250       483,755       1.2 %
Kim S. Abello
     4,343       *       782       3,561       *  
Christian Aders
     17,205       *       1,019       16,186       *  
David Althoff
     15,898       *       666       15,232       *  
Tom Anastassiou
     3,039       *       75       2,964       *  
Jerome Arcy
     42,604       *       1,774       40,830       *  
Nicholas Armstrong
     4,846       *       4,349       497       *  
Michael Athanason
     95,043       *       2,722       92,321       *  
David Baldwin Jr.
     9,383       *       198       9,185       *  
Gary L. Bannon
     51,729       *       2,741       48,988       *  
Paul F. Barnes
     122,551       *       4,528       118,023       *  
Robert Bartell
     48,414       *       642       47,772       *  
Daniel Bayston
     28,873       *       3,253       25,620       *  
Belinsky Family Trust
     242,955       *       13,059       229,896       *  
Joshua Benn
     68,450       *       26,362       42,088       *  
Elyse Bluth
     29,757       *       2,014       27,743       *  
Frank Bollmann
     8,828       *       2,713       6,115       *  
Stephen Burt
     96,763       *       3,064       93,699       *  
 
 
Sean Cannaday
     10,191       *       167       10,024       *  
Michelle Carpenter-Hanson
     7,448       *       27       7,421       *  
David Cefali, 2007 Education Trust
     9,425       *       903       8,522       *  
Sheryl Cefali
     7,477       *       131       7,346       *  
Sheryl Cefali, 2007 Education Trust
     9,425       *       903       8,522       *  
Andreas Chrysostomou
     35,051       *       1,644       33,407       *  
Jack Clemens
     16,835       *       150       16,685       *  
Peter Corbell
     25,581       *       25,581       -       -  
Matthew D. Covington
     818       *       818       -       -  
Brian Cullen
     36,663       *       1,626       35,037       *  
Howard Dexter
     18,337       *       5,876       12,461       *  
Michael Dolan
     78,569       *       23,510       55,059       *  
Jeffrey D. Dunne
     60,201       *       4,398       55,803       *  
Kelly Dwyer
     32,480       *       812       31,668       *  
Greg S. Franceschi
     99,370       *       4,638       94,732       *  
Mark Gallagher
     69,641       *       25,000       44,641       *  
James Gavin
     18,994       *       84       18,910       *  
Aaron Arthur Gilcreast
     33,105       *       32,634       471       *  
Matthew Glace
     8,386       *       27       8,359       *  
Timothy Golden
     16,497       *       1,015       15,482       *  
Jeffrey Gordon
     35,837       *       2,415       33,422       *  
Steven W. Graham
     19,541       *       19,541       -       -  
Robert Herman
     20,812       *       1,046       19,766       *  
David Herr
     39,671       *       1,612       38,059       *  
Warren Hirschhorn
     60,954       *       2,874       58,080       *  
Carl R.E. Hoemke
     54,524       *       2,628       51,896       *  
Donald Jacobs
     1,221       *       1,221       -       -  
Jonathan Jacobs
     46,683       *       1,752       44,931       *  
Christopher Janssen
     45,298       *       605       44,693       *  
Jeffrey Chanin & Co.
     41,119       *       3,939       37,180       *  
Patrick Jensen
     31,106       *       616       30,490       *  
Glen Noll Kernick
     33,913       *       1,274       32,639       *  
Estate of Scott King
     66       *       66       -       -  
Robert Kirtley
     90,584       *       10,000       80,584       *  
Mark Kramer
     14,264       *       38       14,226       *  
Frank La Greca
     34,153       *       1,948       32,205       *  
David Larsen
     33,151       *       1,120       32,031       *  
Brian Lawrence
     14,818       *       2,883       11,935       *  
Edward Lee
     33,045       *       1,266       31,779       *  
Nathan I. Levin
     52,380       *       20,101       32,279       *  
John Levitske
     14,508       *       1,026       13,482       *  
John Lilly
     4,390       *       421       3,969       *  
Michael Lloyd
     24,425       *       1,628       22,797       *  
 
 
David MacGreevey
     277       *       277       -       -  
Daniel MacMullan
     50,648       *       2,749       47,899       *  
John Madden
     26,165       *       1,347       24,818       *  
Myron A. Marcinkowski
     72,075       *       4,713       67,362       *  
Carlos Martinez
     17,746       *       922       16,824       *  
James Massey
     21,187       *       1,051       20,136       *  
Bryce May
     3,138       *       354       2,784       *  
Richard C. May
     90,299       *       62,905       27,394       *  
Robert Mcdonald
     553       *       553       -       -  
Geoffrey Melrose
     36,640       *       15,886       20,754       *  
Christopher Mercier
     16,793       *       27       16,766       *  
John Miscione
     14,989       *       841       14,148       *  
Mark T. Mondello
     21,339       *       1,054       20,285       *  
Brian C. Moulton
     19,541       *       19,541       -       -  
Raphael Newman
     62,961       *       4,371       58,590       *  
Kenneth Nofziger
     23,461       *       10,814       12,647       *  
Denise Clarke Norton
     8,712       *       8,712       -       -  
John O'Brien
     10,580       *       414       10,166       *  
Michael O'Dowd
     17,150       *       454       16,696       *  
Henk Oosterhout
     24,865       *       1,754       23,111       *  
John Osswald
     25,870       *       9,390       16,480       *  
Daniel Peters
     26,095       *       26,095       -       -  
Allen Pfeiffer
     83,635       *       4,232       79,403       *  
Kleanthis Phili
     107,377       *       4,121       103,256       *  
Jeffrey J. Ploussard
     48,792       *       25,775       23,017       *  
Patrick Prendergast
     51,536       *       26,429       25,107       *  
Michael Press
     1,105       *       1,105       -       -  
Dean Price
     10,719       *       3,159       7,560       *  
Ross Prindle
     75,195       *       4,292       70,903       *  
Patrick Puzzuoli
     24,876       *       123       24,753       *  
Gregory Range
     87,660       *       49,439       38,221       *  
Timothy Reichert
     31,001       *       479       30,522       *  
Michael Reynolds
     809       *       809       -       -  
Mark Rubin
     28,964       *       3,263       25,701       *  
Sherri Saltzman
     10,032       *       4,356       5,676       *  
Stephen James Salvati
     154       *       154       -       -  
Pedro C. Santos
     15,079       *       15,079       -       -  
Jeffrey Schiedemeyer
     63,490       *       9,343       54,147       *  
Mathias Schumacher
     22,159       *       2,004       20,155       *  
Steve Sebastian
     5,562       *       3,708       1,854       *  
Mike J. Seery
     9,456       *       1,066       8,390       *  
Steven J. Shanker
     73,413       *       4,322       69,091       *  
Margaret Shanley
     23,477       *       7,759       15,718       *  
Jan Jaap Snel
     12,793       *       249       12,544       *  
David A. Spieler
     100,295       *       15,162       85,133       *  
 
 
Matthew Tanner
     14,323       *       168       14,155       *  
David Turf
     22,829       *       752       22,077       *  
Daniel R. Van Vleet
     2,416       *       2,416       -       -  
Theodor VanStephoudt
     334       *       334       -       -  
Skip Victor Trust
     242,955       *       13,059       229,896       *  
Paul Viscio
     34,431       *       1,830       32,601       *  
Michael Wabnitz
     15,478       *       442       15,036       *  
Lynne Weber
     46,299       *       27,866       18,433       *  
Michael C. Wierwille
     40,986       *       1,825       39,161       *  
Brent Williams
     26,603       *       1,424       25,179       *  
Philip Wisler
     32,614       *       1,280       31,334       *  
Daniel G. Zircher
     42       *       42       -       -  
*
Less than 1%
 
 (1)
Assumes that each selling stockholder sells all of its shares of Class A common stock offered pursuant to this prospectus and neither acquires nor disposes of any other shares, or right to purchase other shares, of our common stock subsequent to the date as of which we obtained information regarding its holdings.  The selling stockholders are not obligated to sell all or any portion of the shares of our Class A common stock, and the number and percentage of shares of Class A common stock owned after the offering will depend on the number of shares actually sold.
 
(2)
Based on a total of 40,224,138 shares of Class A common stock outstanding as of November 4, 2009 on a fully-exchanged basis.
 
(3)
Also includes 11,215 New Class A Units held by Mr. Creagh through Vestar/D&P Holdings, LLC.  Mr. Creagh is President and a Director of the Company.