-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, TzMj75KRTekaFWHmXRcf7ojJbOO3CucAAwZzqeFUD+ySlGctomv6nt5pYgFXvVk/ LCjct87vLx3hyKG0psS8HQ== 0001047469-09-010206.txt : 20091116 0001047469-09-010206.hdr.sgml : 20091116 20091116153245 ACCESSION NUMBER: 0001047469-09-010206 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091116 DATE AS OF CHANGE: 20091116 EFFECTIVENESS DATE: 20091116 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Kohlberg Kravis Roberts & Co. CENTRAL INDEX KEY: 0001399770 IRS NUMBER: 132857105 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12880 FILM NUMBER: 091186394 BUSINESS ADDRESS: STREET 1: 9 WEST 57TH STREET SUITE 4200 CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-230-9742 MAIL ADDRESS: STREET 1: 9 WEST 57TH STREET SUITE 4200 CITY: NEW YORK STATE: NY ZIP: 10019 13F-HR 1 a2195510z13f-hr.txt 13F-HR ----------------------------- OMB APPROVAL ----------------------------- OMB Number: 3235-0006 Expires: December 31, 2009 Estimated average burden hours per response:..............22.6 ----------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2009 ----------------------- Check Here if Amendment / /; Amendment Number: --------- This Amendment (Check only one.): / / is a restatement. / / adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Kohlberg Kravis Roberts & Co. L.P. ---------------------------------- Address: 9 West 57th Street, Suite 4200 ---------------------------------- New York, NY 10019 ---------------------------------- Form 13F File Number: 28-12880 --------------------- The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: David Sorkin ------------------------------- Title: General Counsel ------------------------------- Phone: (212) 750-8300 ------------------------------- Signature, Place, and Date of Signing: /s/ David Sorkin New York, NY November 16, 2009 ------------------------------- ----------------- ----------------- [Signature] [City, State] [Date] Report Type (Check only one.): /X/ 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) / / 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) / / 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 -------------------- Form 13F Information Table Entry Total: 47 -------------------- Form 13F Information Table Value Total: $848,252 -------------------- (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. Form 13F File Number Name 1 28-13533 KKR Investment Management LLC ------ ----------------- --------------------------------- Explanatory Notes: Unless otherwise indicated, the positions reported herein are held by entities affiliated with Kohlberg Kravis Roberts & Co. L.P. ("KKR") that make minority investments in public securities and are not held by KKR's traditional private equity funds. FORM 13F INFORMATION TABLE KOHLBERG KRAVIS ROBERTS & CO. L.P. FOR QUARTER ENDED SEPTEMBER 30, 2009
Name of Issuer Title of Class CUSIP Value (x Shrs or prn SH/ Put/Call Investment Other Voting Authority - -------------- -------------- ----- -------- ----------- --- -------- ---------- ----- ---------------- $1000) amt PRN Discretion Managers Sole Shared None ------ --- --- ---------- -------- ---- ------ ---- ALLEGHENY TECHNOLOGIES INC COM 01741R102 980 28,000 SH SHARED-OTHER 1 28,000 ALLIED WASTE INDS INC SDCV 4.250% 4/1 019589AD2 1,664 1,770,000 PRN SHARED-OTHER 1 1,770,000 AMERICAN INTL GROUP INC UNIT 99/99/9999 026874115 578 50,000 SH SHARED-OTHER 1 50,000 AMGEN INC NOTE 0.125% 2/0 031162AN0 4,963 5,000,000 PRN SHARED-OTHER 1 5,000,000 AMGEN INC COM 31162100 3,012 50,000 SH PUT SHARED-OTHER 1 50,000 ARCHER DANIELS MIDLAND CO COM 39483102 713 24,400 SH CALL SHARED-OTHER 1 24,400 AUTOLIV INC UNIT 99/99/9999 052800208 3,597 75,000 SH SHARED-OTHER 1 75,000 AVERY DENNISON CORP (a) COM 53611109 1,801 50,000 SH CALL SHARED-OTHER 1 50,000 BUNGE LIMITED COM G16962105 1,290 20,600 SH CALL SHARED-OTHER 1 20,600 CAMERON INTERNATIONAL CORP COM 13342B105 337 8,900 SH SHARED-OTHER 1 8,900 CEPHALON INC NOTE 2.000% 6/0 156708AP4 2,661 2,000,000 PRN SHARED-OTHER 1 2,000,000 CHATTEM INC NOTE 1.625% 5/0 162456AR8 1,281 1,250,000 PRN SHARED-OTHER 1 1,250,000 CHATTEM INC NOTE 2.000%11/1 162456AP2 1,817 1,500,000 PRN SHARED-OTHER 1 1,500,000 CHEMED CORP NEW NOTE 1.875% 5/1 16359RAC7 3,292 4,000,000 PRN SHARED-OTHER 1 4,000,000 COMMSCOPE INC NOTE 3.250% 7/0 203372AG2 3,227 2,500,000 PRN SHARED-OTHER 1 2,500,000 COVANTA HLDG CORP DBCV 1.000% 2/0 22282EAA0 2,700 3,000,000 PRN SHARED-OTHER 1 3,000,000 COVANTA HLDG CORP COM 22282E102 391 23,000 SH PUT SHARED-OTHER 1 23,000
EQUINIX INC NOTE 4.750% 6/1 29444UAH9 1,340 1,000,000 PRN SHARED-OTHER 1 1,000,000 FPL GROUP INC (b) COM 302571104 2,463 44,600 SH PUT SHARED-OTHER 1 44,600 INTERNATIONAL GAME TECHNOLOG COM 459902102 580 27,000 SH SHARED-OTHER 1 27,000 INVACARE CORP SDCV 4.125% 2/0 461203AD3 2,062 1,900,000 PRN SHARED-OTHER 1 1,900,000 JANUS CAP GROUP INC NOTE 3.250% 7/1 47102XAG0 1,604 1,250,000 PRN SHARED-OTHER 1 1,250,000 JAZZ PHARMACEUTICALS INC* COM 472147107 79,742 9,942,946 SH SHARED-OTHER 9,942,946 MCMORAN EXPLORATION CO PFD MAND CNV 582411500 963 15,000 SH SHARED-OTHER 1 15,000 MEDCATH CORP* COM 58404W109 17,264 1,968,522 SH SHARED-OTHER 1,968,522 NEWMONT MINING CORP COM 651639106 563 12,800 SH SHARED-OTHER 1 12,800 PRIMEDIA INC* COM NEW 74157K846 65,552 26,012,715 SH SHARED-OTHER 26,012,715 PROSHARES TR PSHS REAL ESTAT 74347R552 281 29,000 SH SHARED-OTHER 1 29,000 PROSHARES TR PSHS ULTSH 20YRS 74347R297 1,320 30,000 SH SHARED-OTHER 1 30,000 RAYONIER TRS HLDGS INC NOTE 3.750%10/1 75508AAB2 2,120 2,000,000 PRN SHARED-OTHER 1 2,000,000 REGIONS FINANCIAL CORP NEW COM 7591EP100 124 20,000 SH PUT SHARED-OTHER 1 20,000 ROCKWOOD HLDGS INC* COM 774415103 455,311 22,134,709 SH SHARED-OTHER 22,134,709 SEALED AIR CORP NEW (c) COM 81211K100 2,100 107,000 SH PUT SHARED-OTHER 1 107,000 SEALY CORP* COM 812139301 149,203 46,625,921 SH SHARED-OTHER 46,625,921 SILVER STD RES INC COM 82823L106 656 30,700 SH PUT SHARED-OTHER 1 30,700 SLM CORP COM 78442P106 87 10,000 SH CALL SHARED-OTHER 1 10,000 SPARTAN STORES INC NOTE 3.375% 5/1 846822AE4 759 1,000,000 PRN SHARED-OTHER 1 1,000,000 SPDR TR UNIT SER 1 78462F103 2,112 20,000 SH PUT SHARED-OTHER 1 20,000
STANLEY WKS (d) COM 854616109 2,135 50,000 SH CALL SHARED-OTHER 1 50,000 TAKE-TWO INTERACTIVE SOFTWAR NOTE 4.375% 6/0 874054AA7 2,570 2,000,000 PRN SHARED-OTHER 1 2,000,000 TEREX CORP NEW NOTE 4.000% 6/0 880779AV5 5,984 4,000,000 PRN SHARED-OTHER 1 4,000,000 TRANSOCEAN INC NOTE 1.625%12/1 893830AU3 1,470 1,500,000 PRN SHARED-OTHER 1 1,500,000 UNITED STATES STL CORP NEW NOTE 4.000% 5/1 912909AE8 3,175 2,000,000 PRN SHARED-OTHER 1 2,000,000 VALE S A (e) COM 91912E955 4,614 199,500 SH CALL SHARED-OTHER 1 199,500 WATSON PHARMACEUTICALS INC COM 942683103 1,601 43,700 SH PUT SHARED-OTHER 1 43,700 WRIGHT MED GROUP INC NOTE 2.625%12/0 98235TAA5 1,713 2,000,000 PRN SHARED-OTHER 1 2,000,000 ZHONE TECHNOLOGIES INC NEW* COM 98950P108 4,480 8,959,375 SH SHARED-OTHER 8,959,375
* Position held by one or more entities engaged in the private equity business. (a) Includes two series of Avery Dennison Corp call options. (b) Includes two series of FPL Group Inc put options. (c) Includes three series of Sealed Air Corp New put options. (d) Includes two series of Stanley Wks call options. (e) Includes two series of Vale S A call options. -----END PRIVACY-ENHANCED MESSAGE-----