DUF - Duff & Phelps Corp - Insider Stock Trading

TC	Stat	Stk	Ins	Fil	+d	+w	+m	+q	+h	+y	avg
P	%ret	1	7	12	0	5	42	34	34	44	27
P	%wins				42	92	100	83	83	90	82
S	%ret	1	5	19	1	-1	-7	-27	-27	-10	-12
S	%wins				42	100	100	100	100	100	90

Filing Date	T Date	Ticker	Sector	Ind	Industry	Owner	oSt	Rel	Title	T	TVal	Price	L	Qty	oc	Own	H	r2y	r1y	r6m	r3m	r6w	r3w	r7d	r3d	f1d	f1w	f1m	f3m	f6m	f1y
1/3/13 15:16	12/31/12	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Marschke Brett	NY	O	EVP,COO	M.d	0	0.00	0	64	66	161	D
1/3/13 15:13	12/31/12	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Silverman Jacob	NY	O	EVP - Co	M.d	0	0.00	0	135	125	242	D
1/3/13 15:08	12/31/12	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Krueger Harvey M	NY	D		M.d	0	0.00	0	38	201	56	M
1/3/13 15:04	12/31/12	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Gottdiener Noah	NY	DO	CEO,P	M.d	0	0.00	0	679	513	811	M
1/3/13 15:01	12/31/12	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Levy Sander M.	NY	D		M.d	0	0.00	0	962	999%	981	I
11/16/12 10:57	11/15/12	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Puzzuoli Patrick Michael	NY	O	EVP,CFO	M.d	0	0.00	0	2	3	59	D
9/12/12 10:15	9/10/12	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Krueger Harvey M	NY	D		M.d	0	0.00	0	0	1	19	I
9/12/12 10:15	9/10/12	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Krueger Harvey M	NY	D		S.d	-2	13.25	0	0	-1	19	I
9/12/12 10:14	9/10/12	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Levy Sander M.	NY	D		M.d	0	0.00	0	83		19	I
9/12/12 10:14	9/10/12	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Levy Sander M.	NY	D		S.d	-1,104	13.25	0	-83	-82	19	I
9/12/12 10:14	9/10/12	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Gottdiener Noah	NY	DO	CEO,P	M.d	0	0.00	0	0	0	325	I
9/12/12 10:14	9/10/12	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Gottdiener Noah	NY	DO	CEO,P	S.d	-3	13.25	0	0	0	325	I
8/13/12 10:15	8/9/12	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Krueger Harvey M	NY	D		M.d	0	0.00	0	3	21	19	I
8/13/12 10:15	8/9/12	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Krueger Harvey M	NY	D		S.d	-43	13.25	0	-3	-15	19	I
8/13/12 10:04	8/9/12	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Gottdiener Noah	NY	DO	CEO,P	M.d	0	0.00	0	4	1	325	I
8/13/12 10:04	8/9/12	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Gottdiener Noah	NY	DO	CEO,P	S.d	-54	13.25	0	-4	-1	325	I
8/13/12 09:52	8/9/12	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Levy Sander M.	NY	D		M.d	0	0.00	0	1,795		19	I
8/13/12 09:52	8/9/12	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Levy Sander M.	NY	D		S.d	-23,778	13.25	0	-1,795	-99	19	I
7/26/12 17:39	7/25/12	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Silverman Jacob	NY	O	EVP - Co	S	-144	15.40	0	-9	-8	107	D
7/26/12 17:32	7/25/12	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Marschke Brett	NY	O	EVP,COO	S	-45	15.50	0	-3	-3	97	D
7/17/12 16:29	7/13/12	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Marschke Brett	NY	O	EVP,COO	S	-110	15.00	0	-7	-7	100	D
7/17/12 16:21	7/13/12	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Silverman Jacob	NY	O	EVP - Co	S	-140	15.00	0	-9	-7	117	D
6/4/12 16:39	5/31/12	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Lovell Jeffrey	PA	D		S	-3,867	14.25	0	-271	-13	1,841	I
6/4/12 16:34	5/31/12	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Belke Robert	PA	D		S	-3,867	14.25	0	-271	-13	1,841	I
4/16/12 15:56	4/12/12	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Puzzuoli Patrick Michael	NY	O	EVP,CFO	S	-32	16.00	0	-2	-3	57	D
4/3/12 13:26	3/30/12	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Puzzuoli Patrick Michael	NY	O	EVP,CFO	S	-35	15.61	0	-2	-4	59	D
4/3/12 11:34	3/30/12	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Lovell Jeffrey	PA	D		M.d	0	0.00	0	2,094	999%	2,108	I
4/3/12 11:15	3/30/12	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Belke Robert	PA	D		M.d	0	0.00	0	2,094	999%	2,108	I
8/9/11 11:50	8/5/11	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Gottdiener Noah	NY	DO	CEO,P	P	109	10.94	2	10	4	256	D	-46	-13	-43	-34	-23	-19	-17	-11	8	8	8	49	59
5/3/11 16:03	5/2/11	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Marschke Brett	NY	O	EVP,COO	S	-231	15.34	3	-15	-17	76	D	-13	-2	10	-10	-2	-3	-1	-7	-2	-2	-6	-26	-15
4/28/11 16:12	4/26/11	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Forman Edward	NY	O	EVP,Gen.	S	-72	16.07	2	-4	-5	77	D	-8	5	15	-5	10	2	4	2	1	-2	-8	-22	-23
4/28/11 16:09	4/26/11	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Marschke Brett	NY	O	EVP,COO	S	-189	16.19	2	-12	-11	91	D	-8	5	15	-5	10	2	4	2	1	-2	-8	-22	-23
4/28/11 16:06	4/26/11	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Puzzuoli Patrick Michael	NY	O	EVP,CFO	S	-8	16.00	2	-1	-1	38	D	-8	5	15	-5	10	2	4	2	1	-2	-8	-22	-23
4/28/11 16:03	4/26/11	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Silverman Jacob	NY	O	EVP - Co	S	-344	16.27	2	-21	-18	95	D	-8	5	15	-5	10	2	4	2	1	-2	-8	-22	-23
4/5/11 16:22	4/1/11	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Silverman Jacob	NY	O	EVP - Co	S.m	-118	15.74	2	-8	-6	116	D	-17	-6	21	-6	-4	5	-1	0	1	-1	-5	-18	-37
4/5/11 16:19	4/1/11	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Puzzuoli Patrick Michael	NY	O	EVP,CFO	S.m	-63	15.72	2	-4	-9	39	D	-17	-6	21	-6	-4	5	-1	0	1	-1	-5	-18	-37
4/5/11 16:17	4/1/11	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Marschke Brett	NY	O	EVP,COO	S.m	-102	15.79	2	-6	-6	103	D	-17	-6	21	-6	-4	5	-1	0	1	-1	-5	-18	-37
4/5/11 16:13	4/1/11	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Forman Edward	NY	O	EVP,Gen.	S.m	-200	15.87	2	-13	-13	82	D	-17	-6	21	-6	-4	5	-1	0	1	-1	-5	-18	-37
3/14/11 13:37	3/10/11	DUF	Financ	FinTrd	Security Brokers, Dealers & F	Gottdiener Noah	NY	DO	CEO,P	P.m	80	15.13	2	5	2	257	D	9	-11	33	-2	-10	-12	-4	-1	1	1	4	-14	-33
8/17/10 10:57	8/16/10	DUF	Financ	Loan	Finance Services	Calamari Peter	CO	D		P	10	10.21	2	1	11	10	D	-35	-40	-36	-29	-9	-7	-4	3	2	-1	10	40	60	0
8/16/10 12:04	8/12/10	DUF	Financ	Loan	Finance Services	Gottdiener Noah	NY	DO	CEO,P	P.m	206	10.30	2	20	14	161	D	-38	-45	-39	-33	-17	-11	-7	-7	6	7	17	49	69	3
4/16/10 14:35	4/15/10	DUF	Financ	Loan	Finance Services	Creagh Gerard	NY	DO	P	S	-443	17.00	2	-26	-13	168	D	-1	-12	-10	-10	0	-2	-1	2	-1	-2	-10	-35	-17	-9
3/29/10 10:36	3/25/10	DUF	Financ	Loan	Finance Services	Marschke Brett	NY	O	EVP,COO	S	-14	17.64	3	-1	-1	68	D	-7	2	-8	-9	4	-1	-2	-2	2	0	-8	-29	-23	-6
3/29/10 10:22	3/25/10	DUF	Financ	Loan	Finance Services	Forman Edward	NY	O	EVP,Gen.	S	-13	17.64	3	-1	-1	55	D	-7	2	-8	-9	4	-1	-2	-2	2	0	-8	-29	-23	-6
3/29/10 10:14	3/25/10	DUF	Financ	Loan	Finance Services	Creagh Gerard	NY	DO	P	S	-30	17.65	3	-2	-1	194	D	-7	2	-8	-9	4	-1	-2	-2	2	0	-8	-29	-23	-6
3/23/10 13:13	3/22/10	DUF	Financ	Loan	Finance Services	Creagh Gerard	NY	DO	P	S	-30	17.53	3	-2	-1	195	D	-5	31	-7	0	12	4	4	0	0	0	-7	-31	-25	-10
3/23/10 13:09	3/22/10	DUF	Financ	Loan	Finance Services	Marschke Brett	NY	O	EVP,COO	S	-24	17.55	3	-1	-2	69	D	-5	31	-7	0	12	4	4	0	0	0	-7	-31	-25	-10
3/23/10 13:05	3/22/10	DUF	Financ	Loan	Finance Services	Forman Edward	NY	O	EVP,Gen.	S	-13	17.58	3	-1	-1	56	D	-5	31	-7	0	12	4	4	0	0	0	-7	-31	-25	-10
3/18/10 16:27	3/17/10	DUF	Financ	Loan	Finance Services	Forman Edward	NY	O	EVP,Gen.	S	-100	17.63	3	-6	-9	60	D	5	15	2	5	8	3	1	2	0	-1	-5	-35	-33	-14
3/18/10 16:23	3/17/10	DUF	Financ	Loan	Finance Services	Marschke Brett	NY	O	EVP,COO	S	-132	17.67	3	-7	-9	74	D	5	15	2	5	8	3	1	2	0	-1	-5	-35	-33	-14
3/18/10 16:18	3/17/10	DUF	Financ	Loan	Finance Services	Creagh Gerard	NY	DO	P	S	-223	17.63	3	-13	-6	206	D	5	15	2	5	8	3	1	2	0	-1	-5	-35	-33	-14
11/26/08 16:07	11/25/08	DUF	Financ	Loan	Finance Services	Creagh Gerard	NY	DO	P	P	2	9.50	1	0	0	65	D		-45	-41	-46	-34	-36	-8	14	-5	21	59	17	27	54
11/26/08 16:05	11/25/08	DUF	Financ	Loan	Finance Services	Creagh Gerard	NY	DO	P	P	2	9.50	1	0	0	65	D		-45	-41	-46	-34	-36	-8	14	-5	21	59	17	27	54
11/24/08 17:13	11/21/08	DUF	Financ	Loan	Finance Services	Forman Edward	NY	O	EVP,Gen	P	5	9.04	1	1	2	28	D		-44	-39	-41	-44	-47	-7	-6	-2	1	67	57	47	68
11/24/08 17:09	11/21/08	DUF	Financ	Loan	Finance Services	Marschke Brett	NY	O	EVP,COO	P	8	9.04	1	1	2	37	D		-44	-39	-41	-44	-47	-7	-6	-2	1	67	57	47	68
11/24/08 17:05	11/21/08	DUF	Financ	Loan	Finance Services	Silverman Jacob	NY	O	EVP,CFO	P	8	9.40	1	1	2	40	D		-44	-39	-41	-44	-47	-7	-6	-2	1	67	57	47	68
11/24/08 17:00	11/21/08	DUF	Financ	Loan	Finance Services	Creagh Gerard	NY	DO	P	P	32	9.04	1	4	6	65	D		-44	-39	-41	-44	-47	-7	-6	-2	1	67	57	47	68
11/24/08 16:47	11/21/08	DUF	Financ	Loan	Finance Services	Gottdiener Noah	NY	DO	CEO	P	32	9.04	1	4	5	72	D		-44	-39	-41	-44	-47	-7	-6	-2	1	67	57	47	68
8/29/08 09:43	8/27/08	DUF	Financ	Loan	Finance Services	Carapezzi William R Jr	NY	D		P	46	18.50	1	3	82	6	D			26	18	21	17	14	9	7	3	6	-37	-33	-11

D	Derivative transaction in filing (usually option exercise)
M	Multiple transactions in filing; earliest reported transaction date and weighted average transaction price
A	Amended filing
E	Error detected in filing

S - Sale	Sale of securities on an exchange or to another person
S - Sale+OE	Sale of securities on an exchange or to another person (after option exercise)
F - Tax	Payment of exercise price or tax liability using portion of securities received from the company
P - Purchase	Purchase of securities on an exchange or from another person

TC

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