0001140361-18-042891.txt : 20181109
0001140361-18-042891.hdr.sgml : 20181109
20181109180220
ACCESSION NUMBER: 0001140361-18-042891
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20181108
FILED AS OF DATE: 20181109
DATE AS OF CHANGE: 20181109
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: 181174296
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
2018-11-08
0001404912
KKR & Co. Inc.
KKR
0001494539
Sorkin David
C/O KKR & CO. INC.
9 WEST 57TH STREET, 42ND FLOOR
NEW YORK
NY
10019
true
General Counsel and Secretary
KKR Holdings L.P. Units
2018-11-08
5
G
0
247494
0
D
Class A Common Stock
247494
958333
I
See footnote
KKR Holdings L.P. Units
2018-11-08
5
G
0
247494
0
A
Class A Common Stock
247494
958333
I
See footnote
KKR Holdings L.P. Units
Class A Common Stock
2465260
2465260
D
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 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.) along with corresponding shares of Class C common stock of KKR & Co. Inc. on a one-for-one basis, and KKR Group Partnership Units and corresponding shares of Class C common stock are exchangeable for shares of Class A common stock of KKR & Co. Inc. on a one-for-one basis.
On November 8, 2018, for estate planning purposes, the Reporting Person's spouse made a gift of limited partner interests in the limited partnership described in footnote 3 below (the "Partnership") to trusts for the benefit of the Reporting Person's family members. The number reported reflects the units of KKR Holdings L.P. held by the Partnership that corresponds to the limited partner interests gifted on such date. The gift was exempt from matching pursuant to Rule 16b-5 under the Securities Exchange Act of 1934 (the "Exchange Act").
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.
Pursuant to Rule 16a-1(a)(4) under the Exchange Act, 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
2018-11-09