SEC Form 4 · accession 0001140361-17-014706
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
Apr 1, 2017
Accepted (ET)
Apr 4, 2017 · 7:00 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 | Apr 1, 2017 | M | 105,960 | — | A | 161,131 | D | |
| Common Units | Apr 1, 2017 | F | 51,262 | $18.23 | D | 109,869 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Equity UnitsF1 | — | Apr 1, 2017 | M | 105,960 | D | — | — | Common Units | 105,960 | 180,926 | D |
Explanation of responses
- F1105,960 restricted equity units of KKR & Co. L.P. vested on April 1, 2017 and were settled for common units of KKR & Co. L.P. on a one-for-one basis. The remaining 180,926 restricted equity units consist of 73,597, 39,866 and 67,463 restricted equity units, which will generally vest in equal annual installments over a one, two and three-year period, respectively, with the next vesting on April 1, 2018, and upon vesting, may be settled by delivery of common units of KKR & Co. L.P. on a one-for-one basis.