SEC Form 4 · accession 0001140361-18-041540
KKR & Co. Inc. · KKR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David C Drummond
Director
Period of report
Oct 26, 2018
Accepted (ET)
Oct 29, 2018 · 6:41 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 Stock UnitsF2,F1 | — | Oct 26, 2018 | A | 6,539 | A | — | — | Class A Common Stock | 6,539 | 6,539 | I |
Explanation of responses
- F1These restricted stock units of KKR & Co. Inc. were approved for grant under the Amended and Restated KKR & Co. Inc. 2010 Equity Incentive Plan and will generally vest on October 1, 2019. Upon vesting, each restricted stock unit may be settled by delivery of one share of Class A common stock of KKR & Co. Inc.
- F2These securities are held by the Reporting Person's living trust and 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) 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 indirectly held, and the Reporting Person disclaims beneficial ownership of such securities except to the extent of the Reporting Person's pecuniary interest therein.