0001104659-15-036315.txt : 20150508 0001104659-15-036315.hdr.sgml : 20150508 20150508170723 ACCESSION NUMBER: 0001104659-15-036315 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150506 FILED AS OF DATE: 20150508 DATE AS OF CHANGE: 20150508 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: KKR & Co. L.P. 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sorkin David CENTRAL INDEX KEY: 0001494539 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34820 FILM NUMBER: 15847786 MAIL ADDRESS: STREET 1: KKR STREET 2: 9 WEST 57TH STREET SUITE 3200 CITY: NEW YORK STATE: NY ZIP: 10019 4 1 a4.xml 4 X0306 4 2015-05-06 0 0001404912 KKR & Co. L.P. KKR 0001494539 Sorkin David C/O KKR & CO. L.P. 9 WEST 57TH STREET, 42ND FLOOR NEW YORK NY 10019 0 1 0 0 General Counsel and Secretary Common Units 2015-05-06 4 C 0 30000 A 30000 I See footnote Common Units 2015-05-06 4 S 0 2767 22.78 D 27233 I See footnote Common Units 2015-05-06 4 C 0 10000 A 10000 I See footnote Common Units 2015-05-06 4 S 0 10000 22.71 D 0 I See footnote KKR Holdings L.P. Units 2015-05-06 4 C 0 30000 0 D Common Units 30000 0 I See footnote KKR Holdings L.P. Units Common Units 2826360 2826360 D KKR Holdings L.P. Units 2015-05-06 4 C 0 10000 0 D Common Units 10000 320000 I See footnote These securities are held by a limited partnership over which the Reporting Person has investment discretion. KKR Group Partnership Units (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P., KKR Fund Holdings L.P. and KKR International Holdings L.P.) were received from KKR Holdings L.P. in exchange for units of KKR Holdings L.P. and exchanged for common units of KKR & Co. L.P. in each case as described in footnote 3 below. Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis. These sales were made pursuant to a Rule 10b5-1 plan. Reflects a weighted average sale price. These common units were sold in multiple transactions at prices ranging from $22.78 to $22.79, inclusive. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of common units sold at each separate price. Reflects a weighted average sale price. These common units were sold in multiple transactions at prices ranging from $22.70 to $22.73, inclusive. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of common units sold at each separate price. Reflects a transfer of 30,000 KKR Holdings L.P. units from the Reporting Person to the limited partnership described in footnote 1 above. This transfer, which was exempt from reporting pursuant to Rule 16a-13 under the Exchange Act, merely changed the form of the Reporting Person's pecuniary interest in such securities from direct to indirect. These securities are held by a limited partnership (different than the limited partnership referred to in footnote 1 above), whose general partner is a limited liability company over which the Reporting Person has investment discretion. 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 2015-05-08