-----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, JfR+dU3tKE5AjDd29jqLLKVmXSVO6rcnDyDwBRioI6zi5HrIQP39ZzidHcb4OYfk CotjzNGZYpEW522w5CKC2A== 0001104659-11-008422.txt : 20110218 0001104659-11-008422.hdr.sgml : 20110218 20110218162738 ACCESSION NUMBER: 0001104659-11-008422 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20110216 FILED AS OF DATE: 20110218 DATE AS OF CHANGE: 20110218 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: KINDER MORGAN, INC. CENTRAL INDEX KEY: 0001506307 STANDARD INDUSTRIAL CLASSIFICATION: NATURAL GAS TRANSMISSION [4922] IRS NUMBER: 260238387 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 500 DALLAS STREET STREET 2: SUITE 1000 CITY: HOUSTON STATE: TX ZIP: 77002 BUSINESS PHONE: 713-369-9000 MAIL ADDRESS: STREET 1: 500 DALLAS STREET STREET 2: SUITE 1000 CITY: HOUSTON STATE: TX ZIP: 77002 FORMER COMPANY: FORMER CONFORMED NAME: Kinder Morgan Holdco LLC DATE OF NAME CHANGE: 20101122 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: C/R KNIGHT PARTNERS, L.P. CENTRAL INDEX KEY: 0001401160 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35081 FILM NUMBER: 11624825 BUSINESS ADDRESS: STREET 1: 1001 PENNSYLVANIA AVE NW CITY: WASHINGTON STATE: DC ZIP: 20004 BUSINESS PHONE: 202-347-2626 MAIL ADDRESS: STREET 1: 1001 PENNSYLVANIA AVE NW CITY: WASHINGTON STATE: DC ZIP: 20004 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Carlyle/Riverstone Energy Partners III, L.P. CENTRAL INDEX KEY: 0001478770 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35081 FILM NUMBER: 11624823 BUSINESS ADDRESS: STREET 1: 712 FIFTH AVENUE STREET 2: 51ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-993-0076 MAIL ADDRESS: STREET 1: 712 FIFTH AVENUE STREET 2: 51ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: C/R Energy GP III, LLC CENTRAL INDEX KEY: 0001478772 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35081 FILM NUMBER: 11624826 BUSINESS ADDRESS: STREET 1: 712 FIFTH AVENUE STREET 2: 51ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-993-0076 MAIL ADDRESS: STREET 1: 712 FIFTH AVENUE STREET 2: 51ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Carlyle/Riverstone Knight Investment Partnership, L.P. CENTRAL INDEX KEY: 0001512676 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35081 FILM NUMBER: 11624824 BUSINESS ADDRESS: STREET 1: 712 FIFTH AVENUE STREET 2: 51ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: (212) 993-0076 MAIL ADDRESS: STREET 1: 712 FIFTH AVENUE STREET 2: 51ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 4 1 a4.xml 4 X0303 4 2011-02-16 0 0001506307 KINDER MORGAN, INC. KMI 0001478772 C/R Energy GP III, LLC 712 FIFTH AVENUE, 51ST FLOOR NEW YORK NY 10019 0 0 1 0 0001401160 C/R KNIGHT PARTNERS, L.P. 712 FIFTH AVENUE, 51ST FLOOR NEW YORK NY 10019 0 0 1 0 0001512676 Carlyle/Riverstone Knight Investment Partnership, L.P. 712 FIFTH AVENUE, 51ST FLOOR NEW YORK NY 10019 0 0 1 0 0001478770 Carlyle/Riverstone Energy Partners III, L.P. 712 FIFTH AVENUE, 51ST FLOOR NEW YORK NY 10019 0 0 1 0 Class P Common Stock 2011-02-16 4 C 0 2798990 A 2798990 I See footnote Class P Common Stock 2011-02-16 4 C 0 9636908 A 9636908 I See footnote Class P Common Stock 2011-02-16 4 C 0 6513388 A 6513388 I See footnote Class P Common Stock 2011-02-16 4 C 0 267551 A 267551 I See footnote Class P Common Stock 2011-02-16 4 C 0 56979 A 56979 I See footnote Class P Common Stock 2011-02-16 4 S 0 2798990 29.10 D 0 I See footnote Class P Common Stock 2011-02-16 4 S 0 9636908 29.10 D 0 I See footnote Class P Common Stock 2011-02-16 4 S 0 6513388 29.10 D 0 I See footnote Class P Common Stock 2011-02-16 4 S 0 267551 29.10 D 0 I See footnote Class P Common Stock 2011-02-16 4 S 0 56979 29.10 D 0 I See footnote Class A Common Stock, Series A-5 2011-02-16 4 C 0 2798990 0.0 D Class P Common Stock 8647643 I See footnote Class A Common Stock, Series A-5 2011-02-16 4 C 0 9636908 0.0 D Class P Common Stock 29773786 I See footnote Class A Common Stock, Series A-5 2011-02-16 4 C 0 6513388 0.0 D Class P Common Stock 20123489 I See footnote Class A Common Stock, Series A-5 2011-02-16 4 C 0 267551 0.0 D Class P Common Stock 826614 I See footnote Class A Common Stock, Series A-5 2011-02-16 4 C 0 56979 0.0 D Class P Common Stock 176040 I See footnote See exhibit 99.1 for text of footnote (1). See exhibit 99.1 for text of footnote (2). See exhibit 99.1 for text of footnote (3). See exhibit 99.1 for text of footnote (4). See exhibit 99.1 for text of footnote (5). See exhibit 99.1 for text of footnote (6). Exhibit List Exhibit 99.1 - Explanation of Responses Exhibit 99.2 - Joint Filer Information /s/ Andrew Ward 2011-02-18 EX-99.1 2 ex-99d1.htm EX-99.1

Exhibit 99.1

 

(1)                                  The Reporting Persons beneficially own Series A-5 shares of Class A Common Stock (“Class A Shares”).  A holder of Class A Shares may, from time to time prior to May 31, 2015, elect to convert some, or all, of its Class A Shares in order to sell the resulting shares of the Issuer’s Class P Common Stock (“Common Shares”) to a third party or to make a distribution of such resulting Common Shares to its investors or partners.  As of the date of this filing, Class A Shares are convertible on a one-for-one basis into Common Share s.  As certain thresholds are met through holders of Class A Shares receiving additional value in the future from their ownership of the Class A Shares, either via distributions paid by the Issuer on such Class A Shares or future sales or distributions to its investors or partners of Common Shares received upon conversion of their Class A Shares, the holders of the Issuer’s Series B-5 Class B Common Stock (“Class B Shares”) and Series C-5 Common Stock (“Class C Shares”) will convert or be entitled to convert a portion of their Class B Shares and Class C Shares into Common Shares, and the Class A Shares will have their conversion ratio reduced in proportion to the amount of Common Shares that the Class B Shares and Class C Shares receive upon conversion.  The total number of Common Shares that the Class A Shares, Class B Shares and Class C Shares may receive in the aggregate is fixed.  The formula for the conversion of Class A Shares, Class B Shares and Class C Shares into Common Shares, as well as the terms and conditions of such conversions, are specified in Article Fourth of the Issuer’s Certificate of Incorporation, filed as Exhibit 3.1 of the Issuer’s Amendment No. 3 to the Registration Statement on Form S-1, filed with the Securities and Exchange Commission on January 26, 2011.

 

Pursuant to an underwriting agreement, dated February 10, 2011, and the final prospectus filed by the Issuer on February 10, 2011, in connection with the Issuer’s initial public offering of its Common Shares (the “IPO”), the following holders of Class A Shares beneficially owned by the Reporting Persons converted their Class A shares into Common Shares on a one-for-one basis, which Common Shares were sold in the IPO on February 16, 2011:

 

C/R Energy III Knight Non-U.S. Partnership, L.P. converted 2,798,990 shares of Series A-5 Class A Shares into an equal number of Common Shares that were sold in the IPO;

 

C/R Knight Partners, L.P. converted 9,636,908 shares of Series A-5 Class A Shares into an equal number of Common Shares that were sold in the IPO.

 

Carlyle/Riverstone Knight Investment Partnership, L.P. converted 6,513,388 shares of Series A-5 Class A Shares into an equal number of Common Shares that were sold in the IPO.

 

Riverstone Energy Coinvestment III, L.P. converted 267,551 shares of Series A-5 Class A Shares into an equal number of Common Shares that were sold in the IPO.

 

Carlyle Energy Coinvestment III, L.P. converted 56,979 shares of Series A-5 Class A Shares into an equal number of Common Shares that were sold in the IPO.

 

(2)                                  By C/R Energy III Knight Non-U.S. Partnership, L.P. C/R Energy GP III, LLC exercises investment discretion and control over the shares held by C/R Energy III Knight Non-U.S. Partnership, L.P. through its general partner, Carlyle/Riverstone Energy Partners III, L.P., of which C/R Energy GP III, LLC is the sole general partner.

 

(3)                                  By C/R Knight Partners, L.P. C/R Energy GP III, LLC exercises investment discretion and control over the shares held by C/R Knight Partners, L.P. through its general partner, Carlyle/Riverstone Energy Partners III, L.P., of which C/R Energy GP III, LLC is the sole general partner.

 

(4)                                  By Carlyle/Riverstone Knight Investment Partnership, L.P. C/R Energy GP III, LLC exercises investment discretion and control over the shares held by Carlyle/Riverstone Knight Investment Partnership, L.P. through its general partner, Carlyle/Riverstone Energy Partners III, L.P., of which C/R Energy GP III, LLC is the sole general partner.

 



 

(5)                                  By Riverstone Energy Coinvestment III, L.P., which subject to contractual commitments that it invest and divest side-by-side with C/R Energy III Knight Non-U.S. Partnership, L.P., C/R Knight Partners, L.P. and Carlyle/Riverstone Knight Investment Partnership, L.P.

 

(6)                                  By Carlyle Energy Coinvestment III, L.P., which subject to contractual commitments that it invest and divest side-by-side with C/R Energy III Knight Non-U.S. Partnership, L.P., C/R Knight Partners, L.P. and Carlyle/Riverstone Knight Investment Partnership, L.P.

 


EX-99.2 3 ex-99d2.htm EX-99.2 Exhibit 99

Exhibit 99.2

 

Form 3 Joint Filer Information

 

Name:

 

C/R Knight Partners, L.P.

 

 

 

Address:

 

712 Fifth Avenue, 51st Floor
New York, NY 10019

 

 

 

Designated Filer:

 

C/R Energy GP III, LLC

 

 

 

Issuer & Ticker Symbol:

 

Kinder Morgan, Inc. [KMI]

 

 

 

Date of Event Requiring Statement:

 

February 16, 2011

 

 

 

 

 

C/R KNIGHT PARTNERS, L.P.

 

 

 

 

 

by Carlyle/Riverstone Energy Partners III, L.P.,
its general partner

 

 

 

Signature:

 

by C/R Energy GP III, LLC,
its general partner

 

 

 

 

 

 

 

 

By:

/s/ Andrew Ward

 

 

 

Name:

Andrew Ward

 

 

 

Title:

Authorized Person

 

 

 

 

 

 

 

Name:

 

Carlyle/Riverstone Knight Investment Partnership, L.P.

 

 

 

Address:

 

712 Fifth Avenue, 51st Floor
New York, NY 10019

 

 

 

Designated Filer:

 

C/R Energy GP III, LLC

 

 

 

Issuer & Ticker Symbol:

 

Kinder Morgan, Inc. [KMI]

 

 

 

Date of Event Requiring Statement:

 

February 16, 2011

 

 

 

 

 

CARLYLE/RIVERSTONE KNIGHT INVESTMENT PARTNERSHIP, L.P.

 

 

 

 

 

by Carlyle/Riverstone Energy Partners III, L.P.,
its general partner

 

 

 

Signature:

 

by C/R Energy GP III, LLC,
its general partner

 

 

 

 

 

 

 

 

By:

/s/ Andrew Ward

 

 

 

Name:

Andrew Ward

 

 

 

Title:

Authorized Person

 

 



 

Name:

 

Carlyle/Riverstone Energy Partners III, L.P.,

 

 

 

Address:

 

712 Fifth Avenue, 51st Floor
New York, NY 10019

 

 

 

Designated Filer:

 

C/R Energy GP III, LLC

 

 

 

Issuer & Ticker Symbol:

 

Kinder Morgan, Inc. [KMI]

 

 

 

Date of Event Requiring Statement:

 

February 16, 2011

 

 

 

 

 

CARLYLE/RIVERSTONE ENERGY PARTNERS III, L.P.,

 

 

 

 

 

by C/R Energy GP III, LLC,
its general partner

Signature:

 

 

 

 

 

 

 

By:

/s/ Andrew Ward

 

 

 

Name:

Andrew Ward

 

 

 

Title:

Authorized Person

 

 


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