Filing Details
- Accession Number:
- 0000898382-12-000020
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2012-10-01 17:04:56
- Reporting Period:
- 2012-04-12
- Filing Date:
- 2012-10-01
- Accepted Time:
- 2012-10-01 17:04:56
- Original Submission Date:
- 2010-05-21
- 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 | 2012-04-12 | 768,700 | $0.00 | 6,698,213 | No | 4 | J | Indirect | Managed Accounts |
| Common Stock | Disposition | 2012-06-29 | 557,800 | $0.00 | 6,140,413 | No | 4 | J | Indirect | Managed Accounts |
| Common Stock | Disposition | 2012-09-26 | 36,688 | $9.95 | 6,103,725 | No | 4 | S | Indirect | Managed Accounts |
| Common Stock | Disposition | 2012-09-28 | 184,356 | $0.00 | 5,919,369 | No | 4 | J | Indirect | Managed Accounts |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | J | Indirect | Managed Accounts |
| No | 4 | J | Indirect | Managed Accounts |
| No | 4 | S | Indirect | Managed Accounts |
| No | 4 | J | Indirect | Managed Accounts |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | $5,000,000 7% Convertible Notes due 7/15/12 | Disposition | 2012-07-15 | 0 | $5,000,000.00 | 161,291 | $31.00 |
| Common Stock | $600,000 7% Convertible Notes due 2017 | Acquisiton | 2012-05-01 | 0 | $600,000.00 | 83,759 | $7.16 |
| Common Stock | $600,000 7% Convertible Notes due 2017 | Acquisiton | 2012-05-01 | 0 | $600,000.00 | 83,759 | $7.16 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2012-07-15 | 2012-07-15 | No | 4 | D | Direct |
| 0 | 2017-01-15 | No | 4 | G | Indirect | |
| 0 | 2017-01-15 | No | 4 | G | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 7,963,954 | Indirect | Investment Entities |
| Common Stock | 2,500,000 | Direct | |
| Common Stock | 200,000 | Indirect | Cooperman Foundation |
| 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 | $7.16 | 2017-01-15 | 139,599 | 0 | Indirect | |
| Common Stock | $4,000,000 7.5% Convertible Notes due 2017 | $7.16 | 2017-01-15 | 558,395 | 0 | Indirect | |
| Common Stock | $6,000,000 7% Convertible notes due 2017 | $7.16 | 2017-01-15 | 837,592 | 0 | Direct | |
| Common Stock | $400,000 Convertible Note due 2017 | $7.16 | 2017-01-15 | 55,839 | 0 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2017-01-15 | 139,599 | 0 | Indirect |
| 2017-01-15 | 558,395 | 0 | Indirect |
| 2017-01-15 | 837,592 | 0 | Direct |
| 2017-01-15 | 55,839 | 0 | Indirect |
Footnotes
- The Managed accounts liquidated securities in-kind to its underlying beneficial owner.
- 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.
- This transaction was executed in multiple trades, and the price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.
- 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.
- The securities are held in the account of the Leon & Toby Cooperman Family 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.
- 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.
- The Notes matured on July 15,2012 and were paid by Issuer.
- Subject to adjustment.
- 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.
- 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.
- The securities are held in the Trust Account F/B/O 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.
- The securities are held in the account of the NJ Performing Art 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.
- This is a gift to Omega Charitable Partnership LP (a Cayman Island limited partnership).
- 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.
Billionaire Hedge Funds
