SEC Form 4 · accession 0001104659-15-013891
KKR & Co. Inc. · KKR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Sorkin
Officer — General Counsel & Secretary
Period of report
Feb 23, 2015
Accepted (ET)
Feb 25, 2015 · 5:00 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001404912
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Equity UnitsF2,F1 | — | Feb 23, 2015 | A | 220,789 | A | — | — | Common Units | 220,789 | 309,593 | D |
Explanation of responses
- F1These restricted equity units were approved for grant under the KKR & Co. L.P. 2010 Equity Incentive Plan and will generally vest in equal annual installments over a three-year period with the initial vesting on April 1, 2016. Upon vesting, each restricted equity unit may be settled by delivery of one common unit of KKR & Co. L.P.
- F288,804 of these restricted equity units were previously granted to the Reporting Person and consist of 18,271 restricted equity units of KKR & Co. L.P. that will generally vest on April 1, 2015 and 33,244 and 37,289 restricted equity units of KKR & Co L.P., which will generally vest in two or three equal installments, respectively, on April 1st of each year with the next vesting on April 1, 2015.