Filing Details
- Accession Number:
- 0001140361-21-006476
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-02-26 18:01:28
- Reporting Period:
- 2021-02-24
- Accepted Time:
- 2021-02-26 18:01:28
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1404912 | Kkr & Co. Inc. | KKR | Investment Advice (6282) | 260426107 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1494539 | David Sorkin | C/O Kkr &Amp; Co. Inc. 30 Hudson Yards New York NY 10001 | General Counsel And Secretary | 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2021-02-24 | 30,000 | $0.00 | 30,000 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2021-02-24 | 100,000 | $0.00 | 100,000 | No | 4 | C | Indirect | See footnote |
| Common Stock | Disposition | 2021-02-25 | 30,000 | $45.06 | 0 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-02-25 | 100,000 | $44.93 | 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 Stock | KKR Holdings L.P. Units | Disposition | 2021-02-24 | 30,000 | $0.00 | 30,000 | $0.00 |
| Common Stock | KKR Holdings L.P. Units | Disposition | 2021-02-24 | 100,000 | $0.00 | 100,000 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 1,485,260 | No | 4 | C | Direct | ||
| 1,658,333 | No | 4 | C | Indirect |
Footnotes
- KKR Group Partnership Units (which refers to Class A partner interests in KKR Group Partnership L.P.) were received from KKR Holdings L.P. in exchange for units of KKR Holdings L.P. along with shares of Series II preferred stock of KKR & Co. Inc. and exchanged for common stock of KKR & Co. Inc. in each case as described in footnote 2 below.
- Pursuant to an exchange agreement as disclosed in KKR & Co. Inc.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission ("SEC") on September 23, 2011, as amended by a post-effective amendment filed with the SEC on July 2, 2018, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units along with shares of Series II preferred stock of KKR & Co. Inc. on a one-for-one basis, and KKR Group Partnership Units and shares of Series II preferred stock are exchangeable for shares of common stock of KKR & Co. Inc. on a one-for-one basis.
- These securities are held by a limited partnership, whose general partner is a limited liability company over which the Reporting Person has investment discretion.
- Reflects a weighted average sale price. These shares of common stock of KKR & Co. Inc. were sold in multiple transactions at prices ranging from $44.89 to $44.95, 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 shares of common stock sold at each separate price.
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