0001140361-20-026288.txt : 20201120 0001140361-20-026288.hdr.sgml : 20201120 20201120192033 ACCESSION NUMBER: 0001140361-20-026288 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201120 FILED AS OF DATE: 20201120 DATE AS OF CHANGE: 20201120 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BAE JOSEPH Y CENTRAL INDEX KEY: 0001208917 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34820 FILM NUMBER: 201333913 MAIL ADDRESS: STREET 1: C/O KKR & CO. INC. STREET 2: 9 WEST 57TH STREET, SUITE 4200 CITY: NEW YORK STATE: NY ZIP: 10019 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: KKR & Co. Inc. CENTRAL INDEX KEY: 0001404912 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 260426107 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 9 WEST 57TH STREET STREET 2: SUITE 4200 CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-750-8300 MAIL ADDRESS: STREET 1: 9 WEST 57TH STREET STREET 2: SUITE 4200 CITY: NEW YORK STATE: NY ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: KKR & Co. L.P. DATE OF NAME CHANGE: 20070627 4 1 form4.xml FORM 4 X0306 4 2020-11-20 0001404912 KKR & Co. Inc. KKR 0001208917 BAE JOSEPH Y C/O KKR & CO. INC., 9 WEST 57TH STREET, 42ND FLOOR NEW YORK NY 10019 true true Co-President & Co-COO KKR Holdings L.P. Units 2020-11-20 4 J 0 3248506 D Common Stock 3248506 9699319 I See footnote KKR Holdings L.P. Units Common Stock 2927500 2927500 D KKR Holdings L.P. Units Common Stock 370578 370578 I By Trust Pursuant to an exchange agreement as disclosed in KKR & Co. Inc.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission ("SEC") on September 23, 2011, as amended by a post-effective amendment filed with the SEC on July 2, 2018, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units (which term refers to Class A partner interests in KKR Group Partnership L.P.) along with shares of Series II preferred stock of KKR & Co. Inc. on a one-for-one basis, and KKR Group Partnership Units and shares of Series II preferred stock are exchangeable for shares of common stock of KKR & Co. Inc. on a one-for-one basis. On November 20, 2020, for estate planning purposes, the Reporting Person transferred limited partner interests in the limited partnership described in footnote 4 below (the "Partnership") to a trust (the "Trust"). The number reported reflects the number of units of KKR Holdings L.P. held by the Partnership that corresponds to the limited partner interests transferred to the Trust on such date. In connection with the transfer to the Trust described above, the Trust executed a promissory note payable to the Reporting Person in an aggregate amount of approximately $69.4 million, based on an estimated appraised value of the limited partnership interests in the Partnership transferred, which consideration is subject to adjustment for a final valuation of the interests transferred. These securities are held by a limited partnership, whose general partner is a limited liability company over which the Reporting Person has investment discretion. The number reported as beneficially owned following the reported transaction reflects the aggregate number of units of KKR Holdings L.P. held by the Partnership. Reflects a transfer of an additional 3,281,319 KKR Holdings L.P. units from the Reporting Person to the Partnership. This transfer, which was exempt from reporting pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended, merely changed the form of the Reporting Person's pecuniary interest in such securities from direct to indirect. Pursuant to Rule 16a-1(a)(4) under 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 owned, and the Reporting Person disclaims beneficial ownership of such securities except to the extent of the Reporting Person's pecuniary interest therein. /s/ Christopher Lee, Attorney-in-fact 2020-11-20