Filing Details

Accession Number:
0001140361-21-009210
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-03-18 21:18:21
Reporting Period:
2021-03-16
Accepted Time:
2021-03-18 21:18:21
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1651052 Focus Financial Partners Inc. FOCS () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1081714 R Henry Kravis C/o Kohlberg Kravis Roberts & Co. L.p.
30 Hudson Yards
New York NY 10001
No No No No
1081715 R George Roberts C/o Kohlberg Kravis Roberts & Co. L.p.
2800 Sand Hill Road
Menlo Park CA 94025
No No No No
1404912 Kkr & Co. Inc. C/o Kohlberg Kravis Roberts & Co. L.p.
30 Hudson Yards
New York NY 10001
No No No No
1472694 Llp Management Kkr C/o Kohlberg Kravis Roberts & Co. L.p.
30 Hudson Yards
New York NY 10001
No No No No
1472698 L.p. Partnership Group Kkr C/o Kohlberg Kravis Roberts & Co. L.p.
30 Hudson Yards
New York NY 10001
No No No No
1743754 Kkr Group Holdings Corp. C/o Kohlberg Kravis Roberts & Co. L.p.
30 Hudson Yards
New York NY 10001
No No No No
1746583 Ltd Xii Americas Kkr C/o Kohlberg Kravis Roberts & Co. L.p.
30 Hudson Yards
New York NY 10001
No No No No
1746586 L.p. Xii Americas Associates Kkr C/o Kohlberg Kravis Roberts & 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
  1. 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.
  2. 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.
  3. These shares of Class A Common Stock are held by KKR Freya Aggregator L.P.
  4. These shares of Class A Common Stock are held by KKR Americas XII (Freya) Blocker Parent L.P.
  5. These shares of Class A Common Stock are held by KKR Americas XII EEA (Freya) Blocker Parent L.P.
  6. These units of Focus Financial Partners, LLC are held by KKR Freya Aggregator L.P.
  7. 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.
  8. 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.
  9. 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.