0001179110-12-008380.txt : 20120514 0001179110-12-008380.hdr.sgml : 20120514 20120514165447 ACCESSION NUMBER: 0001179110-12-008380 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120510 FILED AS OF DATE: 20120514 DATE AS OF CHANGE: 20120514 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HAZEN PAUL CENTRAL INDEX KEY: 0001192055 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33437 FILM NUMBER: 12839430 MAIL ADDRESS: STREET 1: P O BOX 7070 CITY: CARMEL STATE: CA ZIP: 93921 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: KKR Financial Holdings LLC CENTRAL INDEX KEY: 0001386926 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199] IRS NUMBER: 113801844 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 555 CALIFORNIA STREET, 50TH FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94104 BUSINESS PHONE: (415) 315-3620 MAIL ADDRESS: STREET 1: 555 CALIFORNIA STREET, 50TH FLOOR CITY: SAN FRANCISCO STATE: CA ZIP: 94104 4 1 edgar.xml FORM 4 - X0305 4 2012-05-10 0 0001386926 KKR Financial Holdings LLC KFN 0001192055 HAZEN PAUL C/O KKR FINANCIAL HOLDINGS LLC 555 CALIFORNIA STREET, 50TH FLOOR SAN FRANCISCO CA 94104 1 0 0 0 Common Shares 2012-05-10 4 P 0 11467 8.7568 A 564806 I See Footnote Common Shares 2012-05-10 4 P 0 11300 8.8114 A 576106 I See Footnote Common Shares 2012-05-10 4 P 0 11200 8.8095 A 587306 I See Footnote Consists of 11,467 common shares acquired by the Brandt Hazen Gift Trust 2005 (the "Brandt Trust"). Mr. Hazen is an investment advisor to the Brandt Trust and therefore may be deemed to have beneficial ownership of such common shares. Mr. Hazen disclaims any beneficial ownership in all common shares held in the Brandt Trust. Consists of 11,300 common shares acquired by the Brooke Hazen 2005 Gift Trust (the "Brooke Trust"). Mr. Hazen is an investment advisor to the Brooke Trust and therefore may be deemed to have beneficial ownership of such common shares. Mr. Hazen disclaims any beneficial ownership in all common shares held in the Brooke Trust. Consists of 11,200 common shares acquired by the David Duron 2005 Gift Trust (the "Duron Trust", and together with the Brandt Trust and the Brooke Trust, the "Trusts"). Mr. Hazen is an investment advisor to the Duron Trust and therefore may be deemed to have beneficial ownership of such common shares. Mr. Hazen disclaims any beneficial ownership in all common shares held in the Duron Trust. Consists of 530,989 common shares held directly by Mr. Hazen and 56,317 common shares held directly by the Trusts. Mr. Hazen disclaims any beneficial ownership in the common shares held by the Trusts. Paul M. Hazen 2012-05-14