Filing Details

Accession Number:
0001179110-12-012661
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-08-09 20:27:18
Reporting Period:
2012-08-09
Filing Date:
2012-08-09
Accepted Time:
2012-08-09 20:27:18
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1386926 Kkr Financial Holdings Llc KFN Finance Services (6199) 113801844
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1192055 Paul Hazen C/O Kkr Financial Holdings Llc
555 California Street, 50Th Floor
San Francisco CA 94104
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Shares Acquisiton 2012-08-08 63,737 $9.16 651,043 No 4 P Direct
Common Shares Acquisiton 2012-08-09 46,263 $9.16 697,306 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Shares Phantom Shares Acquisiton 2012-08-09 12,958 $9.26 12,958 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
12,958 No 4 A Direct
Footnotes
  1. The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.075 to $9.19 per share, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 1.
  2. The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.10 to $9.19 per share, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 2.
  3. Consists of 640,989 common shares held directly by Mr. Hazen and an aggregate of 56,317 common shares held directly by trusts for which Mr. Hazen is an investment advisor and therefore may be deemed to have beneficial ownership of such shares. Mr. Hazen disclaims any beneficial ownership in the common shares held by these trusts.
  4. Each phantom share is the economic equivalent of one common share. The phantom shares become payable, in cash or common shares, at the election of the Company, upon the earlier of (i) the first day of January following the reporting person's termination of service as a director or (ii) an election date pre-selected by the reporting person, and in any event in cash or common shares, at the election of the reporting person, upon the occurence of a change in control of the Company.