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KKR & Co. Inc. — Director's Dealing 2012
Aug 17, 2012
10262_dirs_2012-08-17_ea1c6576-ab0a-49b1-8e6d-7bff5e92fb06.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: 2012-08-15
Reporting Person: KRAVIS HENRY R (Director, Co-Chairman and Co-CEO, 10% Owner)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-08-15 | KKR Holdings L.P. Units | $ | G | 172500 | Disposed | Common Units (172500) | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| KKR Holdings L.P. Units | $ | Common Units (83814740) | 83814740 | Direct |
Footnotes
F1: This Form 4 reflects a gift of KKR Holdings L.P. units for estate planning purposes involving a limited partnership (the "Partnership"), whose general partner (the "General Partner") is a limited liability company of which the Reporting Person is the sole member and investment manager and whose limited partners are the Reporting Person and trusts (the "Trusts") of which the Reporting Person is not a trustee. The gift reflected in this Form 4 was exempt from reporting and matching pursuant to Rule 16b-5 under the Securities Exchange Act of 1934.
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 (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P. and KKR Fund Holdings L.P.) 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: On August 15, 2012, for estate planning purposes, the Reporting Person made a gift of certain limited partner interests in the Partnership, which were held as described in a previously filed Form 4, to the Trusts. 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 to the Trusts on such date.
F4: These units of KKR Holdings L.P. are held by the Partnership, and the number reported reflects the aggregate number of units of KKR Holdings L.P. held by the Partnership.