-----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, C967+SlXls5AFvH78B66L4rQPXjnti90J5MLDIFkTHAvAVGn2EndzYZDvZBQ/KvC jr5r4BWaiHw+P+igyAnj5Q== 0001047469-10-007564.txt : 20100816 0001047469-10-007564.hdr.sgml : 20100816 20100816163304 ACCESSION NUMBER: 0001047469-10-007564 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100630 FILED AS OF DATE: 20100816 DATE AS OF CHANGE: 20100816 EFFECTIVENESS DATE: 20100816 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: 101020233 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 a2199847z13f-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: June 30, 2010 ----------------------- 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 August 16, 2010 ------------------------------- ----------------- --------------- [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: 47 -------------------- Form 13F Information Table Value Total: $11,188,983 -------------------- (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. No. Form 13F File Number Name 1 28-13533 KKR Investment Management LLC ------ -------------------- --------------------------------- Explanatory Notes: 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 JUNE 30, 2010
VALUE SHRS OR PRN SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ---------------------------------------------------------------------------------------------------------------------------------- AMERICAN INTL GROUP INC UNIT 99/99/9999 026874115 480 50,000 SH SHARED-OTHER 1 50,000 AMGEN INC NOTE 0.125% 2/0 031162AN0 15,893 16,000,000 PRN SHARED-OTHER 1 16,000,000 AMGEN INC COM 031162100 2,630 50,000 SH PUT SHARED-OTHER 1 50,000 AVAGO TECHNOLOGIES LTD* SHS Y0486S104 2,690,578 127,757,725 SH SHARED-OTHER 127,757,725 BARCLAYS BANK PLC ETN DJUBS GRNS37 06739H305 676 20,000 SH SHARED-OTHER 1 20,000 BUNGE LIMITED COM G16962105 1,992 40,500 SH CALL SHARED-OTHER 1 40,500 CAPITAL ONE FINL CORP *W EXP 11/14/201 14040H139 3,845 95,400 SH SHARED-OTHER 1 95,400 CEPHALON INC NOTE 2.000% 6/0 156708AP4 2,676 2,000,000 PRN SHARED-OTHER 1 2,000,000 DOLLAR GEN CORP NEW* COM 256677105 7,439,722 270,044,338 SH SHARED-OTHER 270,044,338 EXTERRAN HLDGS INC NOTE 4.250% 6/1 30225XAA1 6,580 5,000,000 PRN SHARED-OTHER 1 5,000,000 GREAT PLAINS ENERGY INC UNIT 06/15/2042 391164803 8,365 140,000 SH SHARED-OTHER 1 140,000 GRIFFON CORP NOTE 4.000% 7/1 398433AC6 34 34,000 PRN SHARED-OTHER 1 34,000 HOLOGIC INC FRNT 2.000%12/1 436440AA9 5,070 6,000,000 PRN SHARED-OTHER 1 6,000,000 HOLOGIC INC (a) COM 436440101 6,310 453,000 SH PUT SHARED-OTHER 1 453,000 INTEL CORP COM 458140100 408 21,000 SH SHARED-OTHER 1 21,000
INVACARE CORP SDCV 4.125% 2/0 461203AD3 2,076 1,900,000 PRN SHARED-OTHER 1 1,900,000 JAZZ PHARMACEUTICALS INC* COM 472147107 77,853 9,942,946 SH SHARED-OTHER 9,942,946 L-3 COMMUNICATIONS CORP DEBT 3.000% 8/0 502413AW7 10,151 10,100,000 PRN SHARED-OTHER 1 10,100,000 L-3 COMMUNICATIONS HLDGS INC COM 502424104 7,084 100,000 SH PUT SHARED-OTHER 1 100,000 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 748 14,400 SH SHARED-OTHER 1 14,400 MEDTRONIC INC NOTE 1.500% 4/1 585055AL0 9,117 9,115,000 PRN SHARED-OTHER 1 9,115,000 MICROCHIP TECHNOLOGY INC SDCV 2.125%12/1 595017AB0 17,166 17,500,000 PRN SHARED-OTHER 1 17,500,000 MYLAN INC NOTE 3.750% 9/1 628530AJ6 1,438 1,000,000 PRN SHARED-OTHER 1 1,000,000 MYLAN INC PFD CONV 628530206 2,636 2,500 SH SHARED-OTHER 1 2,500 NETAPP INC NOTE 1.750% 6/0 64110DAB0 20,694 15,900,000 PRN SHARED-OTHER 1 15,900,000 NATIONAL CITY CORP NOTE 4.000% 2/0 635405AW3 269 267,000 PRN SHARED-OTHER 1 267,000 NEWMONT MINING CORP NOTE 1.625% 7/1 651639AJ5 7,213 5,000,000 PRN SHARED-OTHER 1 5,000,000 NEXTERA ENERGY INC (b) COM 65339F101 1,824 37,400 SH PUT SHARED-OTHER 1 37,400 PNC FINL SVCS GROUP INC *W EXP 12/31/201 693475121 15,272 270,300 SH SHARED-OTHER 1 270,300 PROSHARES TR SHRT 20+YR TRE 74347X849 813 19,000 SH SHARED-OTHER 1 19,000 PRIMEDIA INC* COM NEW 74157K846 76,217 26,012,715 SH SHARED-OTHER 26,012,715 REGIONS FINANCIAL CORP NEW COM 7591EP100 132 20,000 SH PUT SHARED-OTHER 1 20,000 ROCKWOOD HLDGS INC* COM 774415103 589,226 22,134,709 SH SHARED-OTHER 22,134,709
SANDISK CORP COM 80004C101 1,022 24,300 SH PUT SHARED-OTHER 1 24,300 SBA COMMUNICATIONS CORP NOTE 4.000%10/0 78388JAM8 4,656 3,610,000 PRN SHARED-OTHER 1 3,610,000 SEALY CORP* COM 812139301 124,491 46,625,921 SH SHARED-OTHER 46,625,921 SILVER STD RES INC (c) COM 82823L106 4,391 246,000 SH PUT SHARED-OTHER 1 246,000 SLM CORP COM 78442P106 2,774 267,000 SH CALL SHARED-OTHER 1 267,000 SLM CORP COM 78442P106 5,154 496,100 SH PUT SHARED-OTHER 1 496,100 SYNOVUS FINL CORP UNIT 99/99/9999 87161C204 1,465 60,000 SH SHARED-OTHER 1 60,000 TAKE-TWO INTERACTIVE SOFTWAR NOTE 4.375% 6/0 874054AA7 5,620 5,000,000 PRN SHARED-OTHER 1 5,000,000 TEXAS CAPITAL BANCSHARES INC *W EXP 01/16/201 88224Q115 484 29,500 SH SHARED-OTHER 1 29,500 VALE CAP II GTD CV 6.75%12 91912F201 3,513 50,000 SH SHARED-OTHER 1 50,000 VALLEY NATL BANCORP *W EXP 11/14/201 919794131 317 23,300 SH SHARED-OTHER 1 23,300 VIRGIN MEDIA INC NOTE 6.500%11/1 92769LAB7 5,906 5,000,000 PRN SHARED-OTHER 1 5,000,000 WRIGHT MED GROUP INC NOTE 2.625%12/0 98235TAA5 1,334 1,500,000 PRN SHARED-OTHER 1 1,500,000 ZHONE TECHNOLOGIES INC NEW* COM NEW 98950P884 2,670 1,791,875 SH SHARED-OTHER 1,791,875
* Position held by one or more entities engaged in the private equity business. (a) Includes two series of Hologic Inc put options. (b) Includes two series of Nextera Energy Inc put options. (c) Includes four series of Silver Std Res Inc put options. -----END PRIVACY-ENHANCED MESSAGE-----