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KKR & Co. Inc. — Director's Dealing 2018
May 19, 2018
10262_dirs_2018-05-18_b0ea45ed-2188-45c6-bc8b-32c6f2a0e84e.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: 2018-05-16
Reporting Person: Sorkin David (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-05-16 | Common Units | C | 150000 | — | Acquired | 321407 | Direct |
| 2018-05-16 | Common Units | G | 150000 | — | Disposed | 171407 | Direct |
| 2018-05-16 | Common Units | G | 150000 | — | Acquired | 150000 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-05-16 | KKR Holdings L.P. Units | $ | C | 150000 | Disposed | Common Units (150000) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| KKR Holdings L.P. Units | $ | Common Units (958333) | 958333 | Indirect |
Footnotes
F1: KKR Group Partnership Units (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P., KKR Fund Holdings L.P. and KKR International Holdings L.P.) were received from KKR Holdings L.P. in exchange for units of KKR Holdings L.P. and 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: Reflects a transfer of common units of KKR & Co. L.P. received upon the exchange described in footnote 1 above from the Reporting Person to a limited partnership.
F4: These common units are held by a limited partnership controlled by the Reporting Person. These 150,000 common units are being held by the limited partnership solely for purposes of future charitable donations.
F5: These securities are held by a limited partnership, whose general partner is a limited liability company over which the Reporting Person has investment discretion.