0001140361-21-006476.txt : 20210226 0001140361-21-006476.hdr.sgml : 20210226 20210226180128 ACCESSION NUMBER: 0001140361-21-006476 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210224 FILED AS OF DATE: 20210226 DATE AS OF CHANGE: 20210226 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: 21692093 MAIL ADDRESS: STREET 1: C/O KKR & CO. INC. STREET 2: 30 HUDSON YARDS 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: 30 HUDSON YARDS CITY: NEW YORK STATE: NY ZIP: 10001 BUSINESS PHONE: 212-750-8300 MAIL ADDRESS: STREET 1: 30 HUDSON YARDS CITY: NEW YORK STATE: NY ZIP: 10001 FORMER COMPANY: FORMER CONFORMED NAME: KKR & Co. L.P. DATE OF NAME CHANGE: 20070627 4 1 form4.xml FORM 4 X0306 4 2021-02-24 0001404912 KKR & Co. Inc. KKR 0001494539 Sorkin David C/O KKR & CO. INC. 30 HUDSON YARDS NEW YORK NY 10001 true General Counsel and Secretary Common Stock 2021-02-24 4 C 0 30000 A 30000 D Common Stock 2021-02-24 4 C 0 100000 A 100000 I See footnote Common Stock 2021-02-25 4 S 0 30000 45.06 D 0 D Common Stock 2021-02-25 4 S 0 100000 44.9309 D 0 I See footnote KKR Holdings L.P. Units 2021-02-24 4 C 0 30000 0 D Common Stock 30000 1485260 D KKR Holdings L.P. Units 2021-02-24 4 C 0 100000 0 D Common Stock 100000 1658333 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. Reflects a weighted average sale price. These shares of common stock of KKR & Co. Inc. were sold in multiple transactions at prices ranging from $44.89 to $44.95, 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 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 2021-02-26