Filing Details

Accession Number:
0000898382-13-000002
Form Type:
4/A
Zero Holdings:
No
Publication Time:
2013-01-23 12:27:10
Reporting Period:
2012-11-28
Filing Date:
2013-01-23
Accepted Time:
2013-01-23 12:27:10
Original Submission Date:
2013-01-07
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
898382 G Leon Cooperman 2700 North Military Trail
Suite 230
Boca Raton FL 33301
No No Yes 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 Stock Disposition 2012-11-28 1,000,000 $0.00 1,500,000 No 4 G Direct
Common Stock Disposition 2012-12-20 1,500,000 $0.00 0 No 4 G Direct
Common Stock Acquisiton 2012-11-28 1,000,000 $0.00 1,200,000 No 4 G Indirect Cooperman Foundation
Common Stock Acquisiton 2012-12-28 1,500,000 $0.00 2,700,000 No 4 G Indirect Cooperman Foundation
Common Stock Disposition 2013-01-03 243,500 $10.83 5,675,869 No 4 S Indirect Managed Accounts
Common Stock Disposition 2013-01-04 251,000 $10.82 5,424,869 No 4 S Indirect Managed Accounts
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 G Direct
No 4 G Direct
No 4 G Indirect Cooperman Foundation
No 4 G Indirect Cooperman Foundation
No 4 S Indirect Managed Accounts
No 4 S Indirect Managed Accounts
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 7,963,954 Indirect Investment Entities
Common Stock 10,360 Indirect JCF Metrowest Foundation
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock $1,000,000 7.5% convertible note due 2017 $7.05 2017-01-15 141,286 141,286 Indirect
Common Stock $4,000,000 7.5% convertible note due 2017 $7.05 2017-01-15 567,302 567,302 Indirect
Common Stock $6,000,000 7.5% convertible note due 2017 $7.05 2017-01-15 850,924 850,924 Direct
Common Stock $400,000 7.5% convertible note due 2017 $7.05 2017-01-15 56,730 56,730 Indirect
Common Stock $600,000 7.5% convertible notes due 2017 $7.05 2017-01-15 85,095 85,095 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
2017-01-15 141,286 141,286 Indirect
2017-01-15 567,302 567,302 Indirect
2017-01-15 850,924 850,924 Direct
2017-01-15 56,730 56,730 Indirect
2017-01-15 85,095 85,095 Indirect
Footnotes
  1. Charitable Gift by Leon Cooperman to the Leon & Toby Cooperman Foundation.
  2. The securities are held in the account of the Leon & Toby Cooperman Foundation over which the reporting person has investment discretion. The reporting person disclaims beneficial ownership of these securities, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose.
  3. Represents weighted average purchase price. Full information regarding the number of shares purchased at each separate price will be provided by the reporting person upon request to the staff of the SEC, the Issuer, or a security holder of the Issuer.
  4. The securities are held in managed accounts over which the reporting person has investment discretion. The reporting person disclaims beneficial ownership except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose.
  5. The securities are held in the accounts of private investment entities over which the reporting person has investment discretion. The reporting person disclaims beneficial ownership except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose.
  6. The securities are held in the account of the JCF Metrowest Foundation over which the reporting person has investment discretion. The reporting person disclaims beneficial ownership of these securities, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose.
  7. The Notes are convertible at any time prior to the close of business on the business day preceding (i) any redemption of the notes; to the extent such notes are called for redemption, (ii) any termination of conversion rights or (iii) the stated maturity date, January 15, 2017.
  8. The securities are held in the account of Michael S. Cooperman over which the reporting person has investment discretion. The reporting person disclaims beneficial ownership of these securities, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose.
  9. The securities are held in the trust account for the benefit of Michael S. Cooperman over which the reporting person has investment discretion. The reporting person disclaims beneficial ownership of these securities, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose.
  10. The securities are held in the account of the NJ Performing Arts Foundation over which the reporting person has investment discretion. The reporting person disclaims beneficial ownership of these securities, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose.
  11. The securities are held in the account of the Omega Charitable Partnership LP over which the reporting person has investment discretion. The reporting person disclaims beneficial ownership of these securities, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose.