SEC Form 4 · accession 0001104659-15-053885
KKR & Co. Inc. · KKR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph Grundfest
Director
Period of report
Jul 24, 2015
Accepted (ET)
Jul 28, 2015 · 5:01 pm EDT
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,F3,F1 | — | Jul 24, 2015 | A | 6,219 | A | — | — | Common Units | 6,219 | 12,273 | I |
Explanation of responses
- F1These restricted equity units of KKR & Co. L.P. were approved for grant under the KKR & Co. L.P. 2010 Equity Incentive Plan and will generally vest on October 1, 2016. Upon vesting, each restricted equity unit may be settled by delivery of one common unit of KKR & Co. L.P.
- F26,054 of these restricted equity units of KKR & Co. L.P. were previously granted to the Reporting Person and will generally vest on October 1, 2015.
- F3These securities are held by the Reporting Person's living trust. All restricted equity units referred to in footnote 1 were transferred to the Reporting Person's living trust in transactions exempt from reporting under Rule 16a-13 under the Securities Exchange Act of 1934.
Remarks
Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended, 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 held, and the Reporting Person disclaims beneficial ownership of such securities except to the extent of the Reporting Person's pecuniary interest therein.