0001140361-20-012363.txt : 20200522
0001140361-20-012363.hdr.sgml : 20200522
20200522180042
ACCESSION NUMBER: 0001140361-20-012363
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200520
FILED AS OF DATE: 20200522
DATE AS OF CHANGE: 20200522
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: 20907367
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
2020-05-20
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
Common Stock
2020-05-20
4
S
0
26333
26.56
D
0
D
KKR Holdings L.P. Units
2020-05-20
5
G
0
337500
0
D
Common Stock
337500
1758333
I
See footnote
KKR Holdings L.P. Units
2020-05-20
5
G
0
112500
0
A
Common Stock
112500
1758333
I
See footnote
KKR Holdings L.P. Units
Common Stock
1665260
1665260
D
Reflects a weighted average sale price. These shares of common stock of KKR & Co. Inc. were sold in multiple transactions at prices ranging from $26.54 to $26.61, 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 shares of common stock sold at each separate price.
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 Class A partner interests in KKR Group Partnership L.P. along with corresponding shares of Series II preferred stock of KKR & Co. Inc. on a one-for-one basis, and KKR Group Partnership L.P. units and corresponding shares of Series II preferred stock are exchangeable for shares of common stock of KKR & Co. Inc. on a one-for-one basis.
On May 20, 2020, for estate planning purposes, the Reporting Person's family member made a gift of certain limited partner interests in the limited partnership described in footnote 4 below (the "Partnership"), gifting a portion of such interests to a trust for the benefit of the Reporting Person's other family members, of which the Reporting Person is trustee, and a portion of such interests to a separate trust for the benefit of the Reporting Person's family members. The number reported reflects the portion of 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
2020-05-22