Filing Details
- Accession Number:
- 0001104659-12-074972
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-11-07 06:18:26
- Reporting Period:
- 2012-11-06
- Filing Date:
- 2012-11-07
- Accepted Time:
- 2012-11-07 06:18:26
- 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 | 2012-11-06 | 56,633 | $0.00 | 56,633 | No | 4 | C | Direct | |
Common Units | Acquisiton | 2012-11-06 | 58,029 | $0.00 | 58,029 | No | 4 | C | Indirect | See footnote |
Common Units | Disposition | 2012-11-06 | 56,633 | $14.71 | 0 | No | 4 | S | Direct | |
Common Units | Disposition | 2012-11-06 | 58,029 | $14.71 | 0 | No | 4 | S | Indirect | See footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Direct | |
No | 4 | C | Indirect | See footnote |
No | 4 | S | Direct | |
No | 4 | S | Indirect | See footnote |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Units | KKR Holdings L.P. Units(2) | Disposition | 2012-11-06 | 56,633 | $0.00 | 56,633 | $0.00 |
Common Units | KKR Holdings L.P. Units(2) | Disposition | 2012-11-06 | 58,029 | $0.00 | 58,029 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
8,311,214 | No | 4 | C | Direct | ||
546,821 | No | 4 | C | Indirect |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Units | KKR Holdings L.P. Units(2) | $0.00 | 500,000 | 500,000 | Indirect |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
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.
- 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.