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KKR & Co. Inc. — Director's Dealing 2012
Nov 7, 2012
10262_dirs_2012-11-07_aa7b97b8-0322-4971-8da7-96a3e54d8b75.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: KKR & Co. L.P. (KKR)
CIK: 0001404912
Period of Report: 2012-11-06
Reporting Person: FISHER TODD A (Chief Administrative Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-11-06 | Common Units | C | 56633 | — | Acquired | 56633 | Direct |
| 2012-11-06 | Common Units | C | 58029 | — | Acquired | 58029 | Indirect |
| 2012-11-06 | Common Units | S | 56633 | $14.71 | Disposed | 0 | Direct |
| 2012-11-06 | Common Units | S | 58029 | $14.71 | Disposed | 0 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-11-06 | KKR Holdings L.P. Units(2) | $ | C | 56633 | Disposed | Common Units (56633) | Direct | |
| 2012-11-06 | KKR Holdings L.P. Units(2) | $ | C | 58029 | Disposed | Common Units (58029) | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| KKR Holdings L.P. Units(2) | $ | Common Units (500000) | 500000 | Indirect |
Footnotes
F1: KKR Group Partnership Units (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P. and KKR Fund Holdings L.P.) were received from KKR Holdings L.P. in exchange for units of KKR Holdings L.P. and were exchanged for common units of KKR & Co. L.P., in each case as described in footnote 2 below.
F2: 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.
F3: These securities are held by a trust (the "Trust"), the beneficiaries of which are certain family members of the Reporting Person and of which the Reporting Person is a trustee.
F4: These units of KKR Holdings L.P. are held by a limited partnership, whose general partner is a limited liability company of which the Reporting Person is the sole member and investment manager and whose limited partner is the Trust.