0001140361-20-018899.txt : 20200821 0001140361-20-018899.hdr.sgml : 20200821 20200821180108 ACCESSION NUMBER: 0001140361-20-018899 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200819 FILED AS OF DATE: 20200821 DATE AS OF CHANGE: 20200821 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: 201124325 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 2020-08-19 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 2020-08-19 4 C 0 100000 A 100000 D KKR Holdings L.P. Units 2020-08-19 4 C 0 100000 0 D Common Stock 100000 1565260 D KKR Holdings L.P. Units Common Stock 1758333 1758333 I See footnote KKR Group Partnership Units (which refers to Class A partner interests in KKR Group Partnership L.P.) were received from KKR Holdings L.P. in exchange for units of KKR Holdings L.P. along with shares of Series II preferred stock of KKR & Co. Inc. and exchanged for common stock of KKR & Co. Inc. in each case as described in footnote 2 below. 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 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. These securities are held by a limited partnership, 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 2020-08-21