SEC Form 4 · accession 0001140361-17-008894
KKR & Co. Inc. · KKR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Sorkin
Officer — General Counsel and Secretary
Period of report
Feb 21, 2017
Accepted (ET)
Feb 23, 2017 · 6:21 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 21, 2017 | A | 67,463 | A | — | — | Common Units | 67,463 | 286,886 | 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, 2018. Upon vesting, each restricted equity unit may be settled by delivery of one common unit of KKR & Co. L.P.
- F2219,423 of these restricted equity units were previously granted to the Reporting Person and consist of 12,430 restricted equity units of KKR & Co. L.P. that will generally vest on April 1, 2017 and 147,194 and 59,799 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, 2017.