-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, RI+sZvbdqhvwwxbu1+eSzMJ0xA8Dq35W73D/kSqqbIAb1UZh3sOFZI2v7EXdjzdE 9LZGQ3tivosmw2/dpjk/8w== 0001047469-08-012264.txt : 20081114 0001047469-08-012264.hdr.sgml : 20081114 20081114121734 ACCESSION NUMBER: 0001047469-08-012264 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080930 FILED AS OF DATE: 20081114 DATE AS OF CHANGE: 20081114 EFFECTIVENESS DATE: 20081114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Kohlberg Kravis Roberts & Co. CENTRAL INDEX KEY: 0001399770 IRS NUMBER: 132857105 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12880 FILM NUMBER: 081188578 BUSINESS ADDRESS: STREET 1: 9 WEST 57TH STREET SUITE 4200 CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-230-9742 MAIL ADDRESS: STREET 1: 9 WEST 57TH STREET SUITE 4200 CITY: NEW YORK STATE: NY ZIP: 10019 13F-HR 1 a2189118z13f-hr.txt 13F-HR .................................... . . . OMB APPROVAL . .................................... .OMB Number: 3235-0006 . .Expires: December 31, 2009 . .Estimated average . . burden hours per . . response:..................22.6 . .................................... UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2008 ----------------------- Check Here if Amendment / /; Amendment Number: --------- This Amendment (Check only one.): / / is a restatement. / / adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Kohlberg Kravis Roberts & Co. L.P. ---------------------------------- Address: 9 West 57th Street, Suite 4200 ---------------------------------- New York, NY 10019 ---------------------------------- Form 13F File Number: 28-12880 --------------------- The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: David Sorkin ------------------------------- Title: General Counsel ------------------------------- Phone: (212) 750-8300 ------------------------------- Signature, Place, and Date of Signing: /s/ David Sorkin New York, NY November 14, 2008 ------------------------------- ----------------- ----------------- [Signature] [City, State] [Date] Report Type (Check only one.): /X/ 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) / / 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) / / 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 -------------------- Form 13F Information Table Entry Total: 36 -------------------- Form 13F Information Table Value Total: $1,063,414 -------------------- (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NUMBER FORM 13F FILE NUMBER NAME 1 28-12879 KKR PEI Opportunities GP, Ltd. ------ ----------------- --------------------------------- Explanatory Note: Unless otherwise indicated, the positions reported herein are held by entities affiliated with Kohlberg Kravis Roberts & Co. L.P. ("KKR") that make minority investments in public securities and are not held by KKR's traditional private equity funds. FORM 13F INFORMATION TABLE KOHLBERG KRAVIS ROBERTS & CO. L.P. FOR QUARTER ENDED SEPTEMBER 30, 2008
VOTING AUTHORITY VALUE (X SHRS OR PRN SH/ INVESTMENT OTHER -------------------- NAME OF ISSUER TITLE OF CLASS CUSIP $1000) AMT PRN PUT/CALL DISCRETION MANAGERS SOLE SHARED NONE - --------------------------------------------------------------------------------------------------------------------------------- SHARED- AMERICAN INTL GROUP INC UNIT 99/99/9999 026874115 430 50,000 SH OTHER 50,000 SHARED- AMERICAN INTL GROUP INC COM 026874107 122 36,600 SH OTHER 36,600 SHARED- AMERISOURCEBERGEN CORP COM 03073E105 377 10,000 SH OTHER 10,000 SHARED- BERKLEY W R CORP COM 084423102 1,178 50,000 SH OTHER 50,000 SHARED- BERKLEY W R CORP COM 084423102 7,428 315,400 SH OTHER 1 315,400 SHARED- BRISTOW GROUP INC COM 110394103 1,354 40,000 SH OTHER 1 40,000 SHARED- CIGNA CORP COM 125509109 1,019 30,000 SH OTHER 30,000 SHARED- CISCO SYS INC COM 17275R102 1,410 62,500 SH OTHER 62,500 SHARED- CITADEL BROADCASTING CORP COM 17285T106 3,028 3,882,145 SH OTHER 1 3,882,145 SHARED- CMS ENERGY CORP COM 125896100 4,811 385,819 SH OTHER 1 385,819 SHARED- COMERICA INC COM 200340107 3,413 104,100 SH OTHER 1 104,100 SHARED- EXTERRAN HLDGS INC COM 30225X103 1,211 37,900 SH OTHER 1 37,900 SHARED- FIFTH THIRD BANCORP CNV PFD DEP1/250 316773209 3,755 35,000 SH OTHER 35,000 SHARED- GATEHOUSE MEDIA INC COM 367348109 555 1,133,100 SH OTHER 1,133,100 SHARED- HOSPIRA INC COM 441060100 1,757 46,000 SH OTHER 46,000 SHARED- HOSPIRA INC COM 441060100 1,662 43,500 SH OTHER 1 43,500
SHARED- IPCS INC COM NEW 44980Y305 1,980 88,900 SH OTHER 1 88,900 SHARED- ISHARES SILVER TRUST ISHARES 46428Q109 1,778 150,000 SH OTHER 150,000 SHARED- JAZZ PHARMACEUTICALS INC* COM 472147107 42,555 8,614,419 SH OTHER 8,614,419 SHARED- JPMORGAN & CHASE & CO COM 46625H100 1,168 25,000 SH OTHER 25,000 SHARED- MANITOWOC INC COM 563571108 311 20,000 SH OTHER 20,000 SHARED- MEDCATH CORP* COM 58404W109 35,276 1,968,522 SH OTHER 1,968,522 SHARED- MICROSOFT CORP COM 594918104 267 10,000 SH OTHER 10,000 SHARED- NEWCASTLE INVT CORP COM 65105M108 375 59,100 SH OTHER 59,100 SHARED- NORFOLK SOUTHERN CORP COM 655844108 3,311 50,000 SH OTHER 1 50,000 SHARED- PARKER HANNIFIN CORP COM 701094104 530 10,000 SH OTHER 10,000 SHARED- PRIMEDIA INC* COM NEW 74157K846 63,211 26,012,715 SH OTHER 26,012,715 SHARED- ROCKWOOD HLDGS INC* COM 774415103 567,977 22,134,709 SH OTHER 22,134,709 SHARED- SEALY CORP* COM 812139301 301,203 46,625,921 SH OTHER 46,625,921 SHARED- SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 1,899 30,000 SH OTHER 30,000 SHARED- TELETECH HOLDINGS INC COM 879939106 1,699 136,576 SH OTHER 1 136,576 SHARED- UNITEDHEALTH GROUP INC COM 91324P102 368 14,500 SH OTHER 14,500 SHARED- VALE CAP LTD NT RIO CV VALE 91912C208 949 25,000 SH OTHER 25,000 SHARED- WELLPOINT INC COM 94973V107 982 21,000 SH OTHER 21,000 SHARED- WILLIAMS COS INC DEL COM 969457100 2,365 100,000 SH OTHER 1 100,000 SHARED- ZHONE TECHNOLOGIES INC NEW* COM 98950P108 1,702 8,959,375 SH OTHER 8,959,375
* Position held by one or more entities engaged in the private equity business. -----END PRIVACY-ENHANCED MESSAGE-----