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United States

Deerfield Duff & Phelps LLC (DUF)

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Ticker: DUF
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• Purchase • Sale • Planned purchase • Planned sale Net purchase Net sale Activity signal Earnings
Top insiders
Trades
Gottdiener Noah
CEO and President
1 sale — total 2,518 USD
Sale 10 Sep 2012
Value US$1,275,644.70 | Price 356.96 | Shares 40,369
Sale 10 Sep 2012
Value US$2,621,647.98 | Price 385.65 | Shares 80,391
Sale 10 Sep 2012
Value US$1,104,294.75 | Price 13.25 | Shares 83,343
Sale 9 Aug 2012
Value US$43,473.25 | Price 13.25 | Shares 3,281
Sale 9 Aug 2012
Value US$54,351.50 | Price 13.25 | Shares 4,102
Sale 9 Aug 2012
Value US$23,777,867.00 | Price 13.25 | Shares 1,794,556
Sale 31 May 2012
Value US$3,867,478.50 | Price 14.25 | Shares 271,402
Sale 31 May 2012
Value US$3,867,478.50 | Price 14.25 | Shares 271,402
Buy 5 Aug 2011
Value US$109,354.00 | Price 10.94 | Shares 10,000
Sale 2 May 2011
Value US$231,419.24 | Price 15.34 | Shares 15,086
Planned sale 4 Apr 2011
Value US$35,834.40 | Price 15.80 | Shares 2,268
Planned sale 4 Apr 2011
Value US$6,111.00 | Price 15.75 | Shares 388
Planned sale 4 Apr 2011
Value US$21,546.00 | Price 15.75 | Shares 1,368
Planned sale 4 Apr 2011
Value US$26,809.00 | Price 15.77 | Shares 1,700
Buy 11 Mar 2011
Value US$75,650.00 | Price 15.13 | Shares 5,000
Buy 10 Mar 2011
Value US$4,530.00 | Price 15.10 | Shares 300
Buy 16 Aug 2010
Value US$10,212.00 | Price 10.21 | Shares 1,000
Buy 13 Aug 2010
Value US$35,444.50 | Price 10.26 | Shares 3,455
Buy 12 Aug 2010
Value US$170,534.28 | Price 10.31 | Shares 16,545
Planned sale 22 Mar 2010
Value US$29,818.53 | Price 17.53 | Shares 1,701
Planned sale 22 Mar 2010
Value US$13,360.80 | Price 17.58 | Shares 760
Planned sale 22 Mar 2010
Value US$5,292.00 | Price 17.64 | Shares 300
Planned sale 22 Mar 2010
Value US$19,096.80 | Price 17.52 | Shares 1,090
Planned sale 17 Mar 2010
Value US$30,478.57 | Price 17.72 | Shares 1,720
Planned sale 17 Mar 2010
Value US$44,275.00 | Price 17.71 | Shares 2,500
Planned sale 17 Mar 2010
Value US$30,358.00 | Price 17.65 | Shares 1,720
Planned sale 17 Mar 2010
Value US$44,100.00 | Price 17.64 | Shares 2,500
Planned sale 17 Mar 2010
Value US$30,239.42 | Price 17.53 | Shares 1,725
Planned sale 17 Mar 2010
Value US$26,640.00 | Price 17.76 | Shares 1,500
Planned sale 17 Mar 2010
Value US$26,580.00 | Price 17.72 | Shares 1,500
Planned sale 17 Mar 2010
Value US$17,656.87 | Price 17.71 | Shares 997
Planned sale 17 Mar 2010
Value US$17,587.98 | Price 17.64 | Shares 997
Planned sale 17 Mar 2010
Value US$26,415.00 | Price 17.61 | Shares 1,500
Planned sale 17 Mar 2010
Value US$27,909.63 | Price 17.72 | Shares 1,575
Planned sale 17 Mar 2010
Value US$16,434.88 | Price 17.71 | Shares 928
Planned sale 17 Mar 2010
Value US$13,303.20 | Price 17.64 | Shares 754
Planned sale 17 Mar 2010
Value US$13,290.48 | Price 17.58 | Shares 756
Buy 25 Nov 2008
Value US$1,900.00 | Price 9.50 | Shares 200
Buy 25 Nov 2008
Value US$1,900.00 | Price 9.50 | Shares 200
Buy 21 Nov 2008
Value US$4,892.48 | Price 9.04 | Shares 541
Buy 21 Nov 2008
Value US$8,416.04 | Price 9.40 | Shares 895
Buy 21 Nov 2008
Value US$32,438.68 | Price 9.04 | Shares 3,587
Buy 21 Nov 2008
Value US$32,438.68 | Price 9.04 | Shares 3,587
Buy 21 Nov 2008
Value US$8,093.84 | Price 9.04 | Shares 895
Buy 27 Aug 2008
Value US$46,250.00 | Price 18.50 | Shares 2,500
Abbreviations B: Buy, S: Sell, PP: Planned purchase, PlS: Planned sale, PrS: Proposed sale, O: Option / Other
Notification date Transaction date B/S Transaction type Insider and/or position Nb. shares
Price
Value 		Number of shares Price Value Details
2012-09-12 2012-09-10 S Sale Gottdiener Noah

CEO and President

Executive Director
40,369 -14.5%
356.96
US$1,275,645 		40,369 -14.5% 356.96 US$1,275,645
2012-09-12 2012-09-10 S Sale KRUEGER HARVEY M Non-Executive Director
80,391 +18.6%
385.65
US$2,621,648 		80,391 +18.6% 385.65 US$2,621,648
2012-09-12 2012-09-10 S Sale Levy Sander M. Non-Executive Director
72,515 -9.2%
460.53
US$4,654,329 		72,515 -9.2% 460.53 US$4,654,329
2012-08-13 2012-08-09 S Sale KRUEGER HARVEY M Non-Executive Director
3,281 -100.0%
13.25
US$43,473 		3,281 -100.0% 13.25 US$43,473
2012-08-13 2012-08-09 S Sale Gottdiener Noah

CEO and President

Executive Director
4,102 -100.0%
13.25
US$54,352 		4,102 -100.0% 13.25 US$54,352
2012-08-13 2012-08-09 S Sale Levy Sander M. Non-Executive Director
1,794,556 -100.0%
13.25
US$23,777,867 		1,794,556 -100.0% 13.25 US$23,777,867
2012-06-04 2012-05-31 S Sale BELKE ROBERT Non-Executive Director
271,402 -13.0%
14.25
US$3,867,478 		271,402 -13.0% 14.25 US$3,867,478
2012-06-04 2012-05-31 S Sale LOVELL JEFFREY Non-Executive Director
271,402 -13.0%
14.25
US$3,867,478 		271,402 -13.0% 14.25 US$3,867,478
2011-08-09 2011-08-05 B Purchase Gottdiener Noah

CEO and President

Executive Director
10,000 +4.1%
10.94
US$109,354 		10,000 +4.1% 10.94 US$109,354
2011-05-03 2011-05-02 S Sale MARSCHKE BRETT

Executive VP and COO

Officer
15,086 -16.6%
15.34
US$231,419 		15,086 -16.6% 15.34 US$231,419
2011-04-05 2011-04-04 PlS Planned sale MARSCHKE BRETT

Executive VP and COO

Officer
2,268 -2.2%
15.80
US$35,834 		2,268 -2.2% 15.80 US$35,834
2011-04-05 2011-04-04 PlS Planned sale Puzzuoli Patrick Michael

Executive VP and CFO

Officer
388 -1.0%
15.75
US$6,111 		388 -1.0% 15.75 US$6,111
2011-04-05 2011-04-04 PlS Planned sale SILVERMAN JACOB

Executive VP - Corp. Dev.

Officer
1,368 -1.2%
15.75
US$21,546 		1,368 -1.2% 15.75 US$21,546
2011-04-05 2011-04-04 PlS Planned sale Forman Edward

Executive VP, Gen. Cnsl., Sec.

Officer
1,700 -2.0%
15.77
US$26,809 		1,700 -2.0% 15.77 US$26,809
2011-03-14 2011-03-11 B Purchase Gottdiener Noah

CEO and President

Executive Director
5,000 +2.5%
15.13
US$75,650 		5,000 +2.5% 15.13 US$75,650
2011-03-14 2011-03-10 B Purchase Gottdiener Noah

CEO and President

Executive Director
300 +0.2%
15.10
US$4,530 		300 +0.2% 15.10 US$4,530
2010-08-17 2010-08-16 B Purchase Calamari Peter Non-Executive Director
1,000 +11.2%
10.21
US$10,212 		1,000 +11.2% 10.21 US$10,212
2010-08-16 2010-08-13 B Purchase Gottdiener Noah

CEO and President

Executive Director
3,455 +2.2%
10.26
US$35,444 		3,455 +2.2% 10.26 US$35,444
2010-08-16 2010-08-12 B Purchase Gottdiener Noah

CEO and President

Executive Director
16,545 +11.7%
10.31
US$170,534 		16,545 +11.7% 10.31 US$170,534
2010-03-23 2010-03-22 PlS Planned sale CREAGH GERARD

President

Executive Director
1,701 -1.0%
17.53
US$29,819 		1,701 -1.0% 17.53 US$29,819
2010-03-23 2010-03-22 PlS Planned sale Forman Edward

Executive VP, Gen. Cnsl., Sec.

Officer
760 -1.3%
17.58
US$13,361 		760 -1.3% 17.58 US$13,361
2010-03-23 2010-03-22 PlS Planned sale MARSCHKE BRETT

Executive VP and COO

Officer
300 -0.4%
17.64
US$5,292 		300 -0.4% 17.64 US$5,292
2010-03-23 2010-03-22 PlS Planned sale MARSCHKE BRETT

Executive VP and COO

Officer
1,090 -1.6%
17.52
US$19,097 		1,090 -1.6% 17.52 US$19,097
2010-03-18 2010-03-17 PlS Planned sale CREAGH GERARD

President

Executive Director
1,720 -1.0%
17.72
US$30,479 		1,720 -1.0% 17.72 US$30,479
2010-03-18 2010-03-17 PlS Planned sale CREAGH GERARD

President

Executive Director
2,500 -1.4%
17.71
US$44,275 		2,500 -1.4% 17.71 US$44,275
2010-03-18 2010-03-17 PlS Planned sale CREAGH GERARD

President

Executive Director
1,720 -0.9%
17.65
US$30,358 		1,720 -0.9% 17.65 US$30,358
2010-03-18 2010-03-17 PlS Planned sale CREAGH GERARD

President

Executive Director
2,500 -1.3%
17.64
US$44,100 		2,500 -1.3% 17.64 US$44,100
2010-03-18 2010-03-17 PlS Planned sale CREAGH GERARD

President

Executive Director
1,725 -0.9%
17.53
US$30,239 		1,725 -0.9% 17.53 US$30,239
2010-03-18 2010-03-17 PlS Planned sale MARSCHKE BRETT

Executive VP and COO

Officer
1,500 -2.0%
17.76
US$26,640 		1,500 -2.0% 17.76 US$26,640
2010-03-18 2010-03-17 PlS Planned sale MARSCHKE BRETT

Executive VP and COO

Officer
1,500 -1.9%
17.72
US$26,580 		1,500 -1.9% 17.72 US$26,580
2010-03-18 2010-03-17 PlS Planned sale MARSCHKE BRETT

Executive VP and COO

Officer
997 -1.3%
17.71
US$17,657 		997 -1.3% 17.71 US$17,657
2010-03-18 2010-03-17 PlS Planned sale MARSCHKE BRETT

Executive VP and COO

Officer
997 -1.3%
17.64
US$17,588 		997 -1.3% 17.64 US$17,588
2010-03-18 2010-03-17 PlS Planned sale MARSCHKE BRETT

Executive VP and COO

Officer
1,500 -1.9%
17.61
US$26,415 		1,500 -1.9% 17.61 US$26,415
2010-03-18 2010-03-17 PlS Planned sale Forman Edward

Executive VP, Gen. Cnsl., Sec.

Officer
1,575 -2.6%
17.72
US$27,910 		1,575 -2.6% 17.72 US$27,910
2010-03-18 2010-03-17 PlS Planned sale Forman Edward

Executive VP, Gen. Cnsl., Sec.

Officer
928 -1.5%
17.71
US$16,435 		928 -1.5% 17.71 US$16,435
2010-03-18 2010-03-17 PlS Planned sale Forman Edward

Executive VP, Gen. Cnsl., Sec.

Officer
754 -1.2%
17.64
US$13,303 		754 -1.2% 17.64 US$13,303
2010-03-18 2010-03-17 PlS Planned sale Forman Edward

Executive VP, Gen. Cnsl., Sec.

Officer
756 -1.2%
17.58
US$13,290 		756 -1.2% 17.58 US$13,290
2008-11-26 2008-11-25 B Purchase CREAGH GERARD

President

Executive Director
200 +0.3%
9.50
US$1,900 		200 +0.3% 9.50 US$1,900
2008-11-26 2008-11-25 B Purchase CREAGH GERARD

President

Executive Director
200 +0.3%
9.50
US$1,900 		200 +0.3% 9.50 US$1,900
2008-11-24 2008-11-21 B Purchase Forman Edward

Executive VP, Gen Cnsl, Sec.

Officer
541 +2.0%
9.04
US$4,892 		541 +2.0% 9.04 US$4,892
2008-11-24 2008-11-21 B Purchase SILVERMAN JACOB

Executive VP and CFO

Officer
895 +2.3%
9.40
US$8,416 		895 +2.3% 9.40 US$8,416
2008-11-24 2008-11-21 B Purchase Gottdiener Noah

Chief Executive Officer

Executive Director
3,587 +5.2%
9.04
US$32,439 		3,587 +5.2% 9.04 US$32,439
2008-11-24 2008-11-21 B Purchase CREAGH GERARD

President

Executive Director
3,587 +5.8%
9.04
US$32,439 		3,587 +5.8% 9.04 US$32,439
2008-11-24 2008-11-21 B Purchase MARSCHKE BRETT

Executive VP and COO

Officer
895 +2.4%
9.04
US$8,094 		895 +2.4% 9.04 US$8,094
2008-08-29 2008-08-27 B Purchase Carapezzi William R JR Non-Executive Director
2,500 +82.2%
18.50
US$46,250 		2,500 +82.2% 18.50 US$46,250
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