SEC Form 4 · accession 0001104659-16-148676
KKR & Co. Inc. · KKR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph Grundfest
Director
Period of report
Oct 1, 2016
Accepted (ET)
Oct 4, 2016 · 6:01 pm EDT
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,F2 | Oct 1, 2016 | M | 6,219 | — | A | 49,495 | I | See footnote |
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 | — | Oct 1, 2016 | M | 6,219 | D | — | — | Common Units | 6,219 | 0 | I |
Explanation of responses
- F16,219 restricted equity units of KKR & Co. L.P. vested on October 1, 2016 and were settled for common units of KKR & Co. L.P. on a one-for-one basis.
- F2These securities are held by the Reporting Person's living trust.
Remarks
Pursuant to Rule 16a-1(a)(4) of 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 indirecty held, and the Reporting Person disclaims beneficial ownership of such securities except to the extent of the Reporting Person's pecuniary interest therein.