Filing Details

Accession Number:
0001179110-13-002447
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-02-12 13:30:50
Reporting Period:
2013-02-08
Filing Date:
2013-02-12
Accepted Time:
2013-02-12 13:30:50
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 2013-02-08 5,200 $11.22 646,189 No 4 P Direct
Common Shares Acquisiton 2013-02-08 3,500 $11.21 3,500 No 4 P Indirect See Footnote
Common Shares Acquisiton 2013-02-08 1,750 $11.21 1,750 No 4 P Indirect See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Indirect See Footnote
No 4 P Indirect See Footnote
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Shares 17,467 Indirect See Footnote
Common Shares 23,000 Indirect See Footnote
Common Shares 15,850 Indirect See Footnote
Footnotes
  1. The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $11.215 to $11.23 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. Consists of 3,500 common shares acquired by the Cassandra L La Ruffa Revocable Trust (the "Cassandra Trust"), for which Cassandra Hazen is the Trustee. Mr. Hazen shares a household with Cassandra Hazen and therefore may be deemed to have beneficial ownership of such common shares. Mr. Hazen disclaims any beneficial ownership in all common shares held in the Cassandra Trust.
  3. Consists of 1,750 common shares acquired by Cassandra Hazen. Mr. Hazen shares a household with Cassandra Hazen and therefore may be deemed to have beneficial ownership of such common shares. Mr. Hazen disclaims any beneficial ownership in such common shares.
  4. The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $11.205 to $11.21 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 4.
  5. Consists of 17,467 common shares acquired by the Brandt Hazen Gift Trust 2005 (the "Brandt Trust"). Mr. Hazen is an investment advisor to the Brandt Trust and therefore may be deemed to have beneficial ownership of such common shares. Mr. Hazen disclaims any beneficial ownership in all common shares held in the Brandt Trust.
  6. Consists of 23,000 common shares acquired by the Brooke Hazen 2005 Gift Trust (the "Brooke Trust"). Mr. Hazen is an investment advisor to the Brooke Trust and therefore may be deemed to have beneficial ownership of such common shares. Mr. Hazen disclaims any beneficial ownership in all common shares held in the Brooke Trust.
  7. Consists of 15,850 common shares acquired by the David Duron 2005 Gift Trust (the "Duron Trust"). Mr. Hazen is an investment advisor to the Duron Trust and therefore may be deemed to have beneficial ownership of such common shares. Mr. Hazen disclaims any beneficial ownership in all common shares held in the Duron Trust.