Filing Details
- Accession Number:
- 0000898382-10-000020
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2010-06-08 13:00:00
- Reporting Period:
- 2010-03-18
- Filing Date:
- 2010-06-08
- Accepted Time:
- 2010-06-08 16:59:22
- Original Submission Date:
- 2010-05-25
- 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 | 88 Pine Street Wall St Plaza 31St Floor New York NY 10005 | 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 | Acquisiton | 2010-05-17 | 220,000 | $7.89 | 6,738,213 | No | 4 | P | Indirect | Managed Accounts |
| Common Stock | Acquisiton | 2010-05-18 | 300,000 | $7.88 | 7,038,213 | No | 4 | P | Indirect | Managed Accounts |
| Common Stock | Acquisiton | 2010-05-19 | 205,000 | $7.75 | 7,243,213 | No | 4 | P | Indirect | Managed Accounts |
| Common Stock | Acquisiton | 2010-05-20 | 43,800 | $7.45 | 7,287,013 | No | 4 | P | Indirect | Managed Accounts |
| Common Stock | Acquisiton | 2010-05-19 | 5,000 | $7.75 | 6,972,354 | No | 4 | P | Indirect | Investment Entities |
| Common Stock | Acquisiton | 2010-05-20 | 56,200 | $7.45 | 7,028,554 | No | 4 | P | Indirect | Investment Entities |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | Managed Accounts |
| No | 4 | P | Indirect | Managed Accounts |
| No | 4 | P | Indirect | Managed Accounts |
| No | 4 | P | Indirect | Managed Accounts |
| No | 4 | P | Indirect | Investment Entities |
| No | 4 | P | Indirect | Investment Entities |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | 7.5% Convertible Senior Notes due 2017 | Disposition | 2010-03-18 | 0 | $7.68 | 261,396 | $8.18 |
| Common Stock | 7.5% Convertible Senior Notes due 2017 | Disposition | 2010-03-18 | 0 | $7.68 | 155,933 | $8.18 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2017-01-15 | No | 4 | S | Indirect | |
| 0 | 2017-01-15 | No | 4 | S | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 2,000,000 | 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 | 7% Convertible Senior Notes due 2012 | $31.00 | 2012-07-15 | 161,291 | 161,291 | Direct | |
| Common Stock | 7.5% Convertible Senior Notes due 2017 | $8.18 | 2017-01-15 | 733,228 | 733,228 | Direct | |
| Common Stock | 7.5% Convertible Senior Notes due 2017 | $8.18 | 2017-01-15 | 1,222,046 | 1,222,046 | Indirect | |
| Common Stock | 7.5% Convertible Senior Notes due 2017 | $8.18 | 2017-01-15 | 73,323 | 73,323 | Indirect | |
| Common Stock | 7.5% Convertible Senior Notes due 2017 | $8.18 | 2017-01-15 | 48,882 | 48,882 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2012-07-15 | 161,291 | 161,291 | Direct |
| 2017-01-15 | 733,228 | 733,228 | Direct |
| 2017-01-15 | 1,222,046 | 1,222,046 | Indirect |
| 2017-01-15 | 73,323 | 73,323 | Indirect |
| 2017-01-15 | 48,882 | 48,882 | Indirect |
Footnotes
- This report is being amended to include the March 18, 2010 transactions listed on Table II, to correct a typographical error in the conversion price of the 7.5% Convertible Senior Notes due 2017, and to correct a typographical error in the purchase price of the 300,000 shares of Common Stock acquired on 5/18/2010.
- Represents weighted average purchase price. Full information regarding the number of shares purchased at each separate price will be provided by the reporting person upon request to the staff of the SEC, the Issuer, or a security holder of the Issuer.
- 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.
- 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 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 are convertible (i) at any time prior to the close of business on the business day preceding any redemption of the notes, to the extent such notes are called for redemption, (ii) upon the satisfaction of certain market price or trading price conditions or the occurrence of certain specified transactions or (iii) at any time between June 15, 2012 and the close of business on the business day preceding the stated maturity date, July 15, 2012.
- The Notes are convertible at the Company's option either for the number of shares of common stock listed in Table II, for cash or for a combination thereof.
- 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 a family limited partnership over which the reporting person has investment discretion. The reporting person disclaims beneficial ownership of these securities 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 NJ Performing Arts 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.
- Represents the principal amount of the Notes.
Billionaire Hedge Funds
