Filing Details
- Accession Number:
- 0001104659-13-040419
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-05-10 18:12:33
- Reporting Period:
- 2013-05-09
- Filing Date:
- 2013-05-10
- Accepted Time:
- 2013-05-10 18:12:33
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1404912 | Kkr & Co. L.p. | KKR | Investment Advice (6282) | 260426107 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1206470 | A Todd Fisher | C/O Kkr &Amp; Co. L.p. 9 West 57Th Street, 42Nd Floor New York NY 10019 | Chief Administrative Officer | No | Yes | 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 Units | Acquisiton | 2013-05-09 | 70,000 | $0.00 | 70,000 | No | 4 | C | Direct | |
| Common Units | Disposition | 2013-05-09 | 70,000 | $21.01 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Units | KKR Holdings L.P. Units | Disposition | 2013-05-09 | 70,000 | $0.00 | 70,000 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 8,241,214 | No | 4 | C | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Units | KKR Holdings L.P. Units | $0.00 | 546,821 | 546,821 | Indirect | ||
| Common Units | KKR Holdings L.P. Units | $0.00 | 500,000 | 500,000 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 546,821 | 546,821 | Indirect | |
| 500,000 | 500,000 | Indirect |
Footnotes
- KKR Group Partnership Units (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P. and KKR Fund Holdings L.P.) were received from KKR Holdings L.P. in exchange for units of KKR Holdings L.P. and were exchanged for common units of KKR & Co. L.P. in each case as described in footnote 2 below.
- Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.
- Reflects a weighted average sale price. These common units were sold in multiple transactions at prices ranging from $21.00 to $21.03, inclusive. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of common units sold at each separate price.
- These securities are held by a trust (the "Trust"), the beneficiaries of which are certain family members of the Reporting Person and of which the Reporting Person is a trustee.
- These units of KKR Holdings L.P. are held by a limited partnership, whose general partner is a limited liability company of which the Reporting Person is the sole member and investment manager and whose limited partner is the Trust.
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