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KKR & Co. Inc. — Director's Dealing 2021
Nov 4, 2021
10262_dirs_2021-11-03_45b512a3-a869-413f-9118-d56b55406c6e.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: KKR Real Estate Finance Trust Inc. (KREF)
CIK: 0001631596
Period of Report: 2021-11-01
Reporting Person: KKR REFT Holdings L.P. (N/A)
Reporting Person: KKR REFT Holdings GP LLC (N/A)
Reporting Person: KKR REFT Asset Holdings LLC (N/A)
Reporting Person: KKR Group Partnership L.P. (N/A)
Reporting Person: KKR Financial Holdings LLC (N/A)
Reporting Person: KKR Group Holdings Corp. (N/A)
Reporting Person: KKR & Co. Inc. (N/A)
Reporting Person: KKR Management LLP (N/A)
Reporting Person: KRAVIS HENRY R (N/A)
Reporting Person: ROBERTS GEORGE R (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-11-01 | Common Stock | C | 1 | — | Acquired | 1 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-11-01 | Special Voting Preferred Stock | $ | C | 1 | Disposed | Common Stock (1) | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 14250000 | Indirect |
Footnotes
F1: On November 1, 2021, KKR Real Estate Finance Trust Inc. (the "Company") completed an underwritten offering of 5 million shares of the Company's common stock, par value $0.01 per share ("Common Stock"). As a result of the consummation of the offering, KKR & Co. Inc. and its affiliates no longer own at least 25% of the outstanding shares of the Company's Common Stock and, as a result, the share of the Company's Special Voting Preferred Stock held by KKR REFT Asset Holdings LLC automatically converted into one share of Common Stock.
F2: Represents securities held by KKR REFT Asset Holdings LLC.
F3: Represents securities held by KKR REFT Holdings L.P. The general partner of KKR REFT Holdings L.P. is KKR REFT Holdings GP LLC, which is wholly owned by KKR REFT Asset Holdings LLC.
F4: KKR REFT Asset Holdings LLC is owned by KKR Group Partnership L.P. and KKR Financial Holdings LLC, whose common shares are wholly owned by KKR Group Partnership L.P. KKR Group Holdings Corp. is the general partner of KKR Group Partnership L.P. KKR & Co. Inc. is the sole shareholder of KKR Group Holdings Corp. KKR Management LLP is the Series I preferred stockholder of KKR & Co. Inc. Henry R. Kravis and George R. Roberts are the founding partners of KKR Management LLP.
F5: Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein.