Filing Details
- Accession Number:
- 0001140361-21-009209
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-03-18 21:18:08
- Reporting Period:
- 2021-03-16
- Accepted Time:
- 2021-03-18 21:18:08
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1651052 | Focus Financial Partners Inc. | FOCS | Investment Advice (6282) | 474780811 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1746577 | Kkr Americas Xii Aiv Gp Llc | C/O Kohlberg Kravis Roberts &Amp; Co. L.p. 30 Hudson Yards New York NY 10001 | No | No | No | No | |
| 1746578 | L.p. Parent Blocker (Freya) Xii Americas Kkr | C/O Kohlberg Kravis Roberts &Amp; Co. L.p. 30 Hudson Yards New York NY 10001 | No | No | No | No | |
| 1746579 | L.p. Parent Blocker (Freya) Eea Xii Americas Kkr | C/O Kohlberg Kravis Roberts &Amp; Co. L.p. 30 Hudson Yards New York NY 10001 | No | No | No | No | |
| 1746585 | Kkr Freya Aggregator Gp Llc | C/O Kohlberg Kravis Roberts &Amp; Co. L.p. 30 Hudson Yards New York NY 10001 | No | No | No | No | |
| 1746587 | L.p. Aggregator Freya Kkr | C/O Kohlberg Kravis Roberts &Amp; Co. L.p. 30 Hudson Yards New York NY 10001 | No | No | No | No | |
| 1746588 | L.p. (Freya) Xii Fund Americas Kkr | C/O Kohlberg Kravis Roberts &Amp; Co. L.p. 30 Hudson Yards New York NY 10001 | No | No | No | No | |
| 1746589 | L.p. Aiv Xii Americas Associates Kkr | C/O Kohlberg Kravis Roberts &Amp; Co. L.p. 30 Hudson Yards New York NY 10001 | No | 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Acquisiton | 2021-03-16 | 155,558 | $0.00 | 155,558 | No | 4 | C | Indirect | See footnotes |
| Class A Common Stock | Disposition | 2021-03-16 | 155,558 | $46.20 | 0 | No | 4 | S | Indirect | See footnotes |
| Class A Common Stock | Disposition | 2021-03-16 | 131,401 | $46.20 | 3,086,585 | No | 4 | S | Indirect | See footnotes |
| Class A Common Stock | Disposition | 2021-03-16 | 17,182 | $46.20 | 403,615 | No | 4 | S | Indirect | See footnotes |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | See footnotes |
| No | 4 | S | Indirect | See footnotes |
| No | 4 | S | Indirect | See footnotes |
| No | 4 | S | Indirect | See footnotes |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Units of Focus Financial Partners, LLC | Disposition | 2021-03-16 | 155,558 | $0.00 | 155,558 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 3,654,044 | No | 4 | C | Indirect |
Footnotes
- Units of Focus Financial Partners, LLC represent limited liability company units of Focus Financial Partners, LLC and an equal number of shares of Class B common stock ("Class B Common Stock") of Focus Financial Partners Inc. (the "Issuer"), which together are exchangeable, at the option of Focus Financial Partners, LLC or the Issuer, on a one-for-one basis for (i) a share of Class A common stock ("Class A Common Stock") of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions or (ii) an equivalent amount of cash pursuant to the Fourth Amended and Restated Limited Liability Company Agreement of Focus Financial Partners, LLC.
- This amount represents the $48.00 secondary public offering price per share of common stock of Focus Financial Partners Inc. less the underwriting discount of $1.80 per share for shares sold in connection with the underwriter's exercise of its over-allotment option granted in connection with an underwritten public offering.
- These shares of Class A Common Stock are held by KKR Freya Aggregator L.P.
- These shares of Class A Common Stock are held by KKR Americas XII (Freya) Blocker Parent L.P.
- These shares of Class A Common Stock are held by KKR Americas XII EEA (Freya) Blocker Parent L.P.
- These units of Focus Financial Partners, LLC are held by KKR Freya Aggregator L.P.
- KKR Freya Aggregator GP LLC is the general partner of KKR Freya Aggregator L.P., KKR Americas Fund XII (Freya) L.P. is the sole member of KKR Freya Aggregator GP LLC, KKR Associates Americas XII AIV L.P. is the general partner of KKR Americas Fund XII (Freya) L.P., and KKR Americas XII AIV GP LLC is the general partner of KKR Associates Americas XII AIV L.P. KKR Associates Americas XII L.P. is the general partner of KKR Americas XII (Freya) Blocker Parent L.P. and KKR Americas XII EEA (Freya) Blocker Parent L.P., and KKR Americas XII Limited is the general partner of KKR Associates Americas XII L.P.
- KKR Group Partnership L.P. is the sole member of KKR Americas XII AIV GP LLC and the sole shareholder of KKR Americas XII Limited. KKR Group Holdings Corp. is the general partner of KKR Group Partnership L.P. KKR & Co. Inc. is the sole shareholder of KKR Group Holdings Corp. KKR Management LLP is the Series I preferred stockholder of KKR & Co. Inc. Messrs. Henry R. Kravis and George R. Roberts are the founding partners of KKR Management LLP.
- Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein.
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