SEC Form 4 · accession 0001104659-15-017198
KKR & Co. Inc. · KKR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Henry R Kravis
Officer — Co-Chairman and Co-CEO · Director · 10% Owner
Period of report
Mar 3, 2015
Accepted (ET)
Mar 5, 2015 · 5:15 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001404912
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common UnitsF1 | Mar 3, 2015 | G | 1,000,000 | $0.00 | D | 1,000,000 | I | See footnote |
| Common Units | holding | — | — | — | 1,105,832 | D | ||
| Common UnitsF2,F3 | holding | — | — | — | 4,667,166 | I | See footnotes | |
| Common UnitsF4 | holding | — | — | — | 130,925 | I | See footnote | |
| Common UnitsF5 | holding | — | — | — | 43,299 | I | See footnote | |
| Common UnitsF6 | holding | — | — | — | 15,227 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This Form 4 reports the gift of 1,000,000 common units by a limited partnership (the "Partnership"), which is an entity beneficially owned by the Reporting Person, to a charitable foundation in which the Reporting Person has no pecuniary interest. The Partnership continues to hold the remaining 1,000,000 common units.
- F2KKR MIF Fund Holdings L.P. and KKR Reference Fund Investments L.P. hold an aggregate of 4,667,166 common units. KKR IFI GP L.P. is the general partner of KKR Reference Fund Investments L.P. and the general partner of KKR Index Fund Investments L.P., which is the sole shareholder of KKR MIF Carry Limited, which is the general partner of KKR MIF Carry Holdings L.P., which is the general partner of KKR MIF Fund Holdings L.P. The general partner of KKR IFI GP L.P. is KKR IFI Limited. The sole shareholder of KKR IFI Limited is KKR Fund Holdings L.P. A general partner of KKR Fund Holdings L.P. is KKR Fund Holdings GP Limited. (Continued in footnote 3)
- F3(Continued from footnote 2) The sole shareholder of KKR Fund Holdings GP Limited and a general partner of KKR Fund Holdings L.P. is KKR Group Holdings L.P. The sole partner of KKR Group Holdings L.P. is KKR Group Limited. The sole shareholder of KKR Group Limited is KKR & Co. L.P. The sole general partner of KKR & Co. L.P. is KKR Management LLC. In his capacity as a designated member of KKR Management LLC, the Reporting Person may be deemed to be a beneficial owner of the securities held by KKR MIF Fund Holdings, L.P. and KKR Reference Fund Investments L.P.
- F4These common units are held by a limited liability company of which the Reporting Person is the managing member.
- F5These common units are held by a trust of which the Reporting Person is a trustee.
- F6These common units are held by the Reporting Person's spouse.
Remarks
Pursuant to Rule 16a-1(a)(4) under the Exchange Act, the Reporting Person states that this filing shall not be an admission that the Reporting Person is the beneficial owner of any of the securities reported herein as indirectly beneficially owned, and the Reporting Person disclaims beneficial ownership of such securities except to the extent of the Reporting Person's pecuniary interest therein.