-----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, UaQfxxTaf5QvRQLr90q1FPonyyFAN+DFbqCWaiUEemW5TeIABlbZfxyAV8tPiIMJ APadwDKPgbsqNTxwySGbiQ== 0001047469-10-009802.txt : 20101115 0001047469-10-009802.hdr.sgml : 20101115 20101115171619 ACCESSION NUMBER: 0001047469-10-009802 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101115 DATE AS OF CHANGE: 20101115 EFFECTIVENESS DATE: 20101115 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: 101193944 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 a2200987z13f-hr.txt 13F-HR |------------------------------| | OMB APPROVAL | |------------------------------| |OMB Number: 3235-0006 | |Expires: August 31, 2012 | |Estimated average | | burden hours per | | response:..............23.5 | |------------------------------| 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, 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 November 15, 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: 56 -------------------- Form 13F Information Table Value Total: $12,655,725 -------------------- (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 SEPTEMBER 30, 2010
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 - ----------------------- ---------------- --------- --------- ----------- --- -------- ------------ -------- ---- ----------- ---- ALLIANT TECHSYSTEMS INC COM 018804104 3,860 51,200 SH PUT SHARED-OTHER 1 51,200 ALLIANT TECHSYSTEMS INC NOTE 2.750% 9/1 018804AN4 2,020 2,000,000 PRN SHARED-OTHER 1 2,000,000 AMERICAN INTL GROUP INC UNIT 99/99/9999 26874115 430 50,000 SH SHARED-OTHER 1 50,000 AMGEN INC COM 31162100 2,756 50,000 SH PUT SHARED-OTHER 1 50,000 AMGEN INC NOTE 0.125% 2/0 031162AN0 5,015 5,018,000 PRN SHARED-OTHER 1 5,018,000 AMGEN INC NOTE 3/0 031162AL4 3,703 4,794,000 PRN SHARED-OTHER 1 4,794,000 AVAGO TECHNOLOGIES LTD* SHS Y0486S104 2,604,118 115,687,178 SH SHARED-OTHER 115,687,178 BOSTON PPTYS LTD PARTNERSHIP NOTE 2.875% 2/1 10112RAK0 312 311,000 PRN SHARED-OTHER 1 311,000 BRE PROPERTIES INC NOTE 4.125% 8/1 05564EBH8 6,242 6,000,000 PRN SHARED-OTHER 1 6,000,000 BUNGE LIMITED COM G16962105 2,396 40,500 SH CALL SHARED-OTHER 1 40,500 CAPITAL ONE FINL CORP *W EXP 11/14/201 14040H139 3,773 95,400 SH SHARED-OTHER 1 95,400 CEPHALON INC NOTE 2.000% 6/0 156708AP4 2,839 2,000,000 PRN SHARED-OTHER 1 2,000,000 DOLLAR GEN CORP NEW* COM 256677105 7,898,797 270,044,338 SH SHARED-OTHER 270,044,338 EXPRESS INC COM 30219E103 21,724 1,428,257 SH SHARED-OTHER 1,428,257 GENCO SHIPPING & TRADING LTD NOTE 5.000% 8/1 36869MAA3 1,065 1,000,000 PRN SHARED-OTHER 1 1,000,000
GREAT PLAINS ENERGY INC UNIT 06/15/2042 391164803 6,331 100,000 SH SHARED-OTHER 1 100,000 HOLOGIC INC (a) COM 436440101 5,956 372,000 SH PUT SHARED-OTHER 1 372,000 HOLOGIC INC FRNT 2.000%12/1 436440AA9 2,356 2,500,000 PRN SHARED-OTHER 1 2,500,000 INTEL CORP COM 458140100 747 38,900 SH SHARED-OTHER 1 38,900 INVACARE CORP SDCV 4.125% 2/0 461203AD3 2,256 1,900,000 PRN SHARED-OTHER 1 1,900,000 JAZZ PHARMACEUTICALS INC* COM 472147107 106,688 9,942,946 SH SHARED-OTHER 9,942,946 KINROSS GOLD CORP COM NO PAR 496902404 3,110 165,500 SH PUT SHARED-OTHER 1 165,500 KINROSS GOLD CORP NOTE 1.750% 3/1 496902AD9 4,603 4,524,000 PRN SHARED-OTHER 1 4,524,000 KKR & CO L P DEL COM UNITS 48248M102 49,472 4,667,166 SH SHARED-OTHER 1 4,667,166 L-3 COMMUNICATIONS HLDGS INC COM 502424104 7,227 100,000 SH PUT SHARED-OTHER 1 100,000 L-3 COMMUNICATIONS CORP DEBT 3.000% 8/0 502413AW7 4,646 4,600,000 PRN SHARED-OTHER 1 4,600,000 MEDTRONIC INC DBCV 1.250% 9/1 585055AD8 257 259,000 PRN SHARED-OTHER 1 259,000 MEDTRONIC INC NOTE 1.500% 4/1 585055AL0 7,830 7,810,000 PRN SHARED-OTHER 1 7,810,000 MICROCHIP TECHNOLOGY INC SDCV 2.125%12/1 595017AB0 3,833 3,500,000 PRN SHARED-OTHER 1 3,500,000 NETAPP INC NOTE 1.750% 6/0 64110DAB0 22,831 14,000,000 PRN SHARED-OTHER 1 14,000,000 NATIONAL CITY CORP NOTE 4.000% 2/0 635405AW3 6,187 6,149,000 PRN SHARED-OTHER 1 6,149,000 NEWMONT MINING CORP NOTE 1.625% 7/1 651639AJ5 8,041 5,500,000 PRN SHARED-OTHER 1 5,500,000 NEXTERA ENERGY INC (b) COM 65339F101 2,034 37,400 SH PUT SHARED-OTHER 1 37,400 NXP SEMICONDUCTORS N V* COM N6596X109 874,503 70,581,370 SH SHARED-OTHER 70,581,370
OWENS ILL INC COM NEW 690768403 1,263 45,000 SH PUT SHARED-OTHER 1 45,000 PNC FINL SVCS GROUP INC *W EXP 12/31/201 693475121 14,530 279,900 SH SHARED-OTHER 1 279,900 PROSHARES TR SHRT 20+YR TRE 74347X849 886 22,000 SH SHARED-OTHER 1 22,000 PRIMEDIA INC* COM NEW 74157K846 98,848 26,012,715 SH SHARED-OTHER 26,012,715 ROCKWOOD HLDGS INC* COM 774415103 696,579 22,134,709 SH SHARED-OTHER 22,134,709 SANDISK CORP COM 80004C101 891 24,300 SH PUT SHARED-OTHER 1 24,300 SANDISK CORP NOTE 1.500% 8/1 80004CAD3 6,554 7,000,000 PRN SHARED-OTHER 1 7,000,000 SEALY CORP* COM 812139301 113,767 46,625,921 SH SHARED-OTHER 46,625,921 SILVER STD RES INC (c) COM 82823L106 6,749 337,800 SH PUT SHARED-OTHER 1 337,800 SLM CORP COM 78442P106 3,083 266,900 SH CALL SHARED-OTHER 1 266,900 SLM CORP COM 78442P106 4,022 348,200 SH PUT SHARED-OTHER 1 348,200 SPDR S&P 500 ETF TR (d) TR UNIT 78462F103 2,283 20,000 SH PUT SHARED-OTHER 1 20,000 SYNOVUS FINL CORP UNIT 99/99/9999 87161C204 1,413 60,000 SH SHARED-OTHER 1 60,000 TEREX CORP NEW NOTE 4.000% 6/0 880779AV5 3,939 2,500,000 PRN SHARED-OTHER 1 2,500,000 TEXAS CAPITAL BANCSHARES INC *W EXP 01/16/201 88224Q115 509 29,500 SH SHARED-OTHER 1 29,500 US BANCORP DEL DBCV 9/2 902973AQ9 1,654 1,707,000 PRN SHARED-OTHER 1 1,707,000 US BANCORP DEL DBCV 12/1 902973AM8 5,020 5,029,000 PRN SHARED-OTHER 1 5,029,000 VALE CAP II VALEP 6.75%12 91912F300 2,237 25,000 SH SHARED-OTHER 1 25,000
VALE CAP II GTD CV 6.75%12 91912F201 4,402 50,000 SH SHARED-OTHER 1 50,000 VALLEY NATL BANCORP *W EXP 11/14/201 919794131 301 23,300 SH SHARED-OTHER 1 23,300 VIRGIN MEDIA INC NOTE 6.500%11/1 92769LAB7 5,149 3,500,000 PRN SHARED-OTHER 1 3,500,000 ZHONE TECHNOLOGIES INC NEW* COM NEW 98950P884 3,691 1,791,875 SH SHARED-OTHER 1,791,875
* Position held by one or more entities engaged in KKR's private equity business, a portion of which may include shares owned by third party investor(s) for which KKR may be deemed to share investment discretion for SEC reporting purposes. (a) Includes two series of Hologic Inc put options. (b) Includes two series of Nextera Energy Inc put options. (c) Includes three series of Silver Std Res Inc put options. (d) Includes three series of SPDR S&P 500 ETF TR put options. -----END PRIVACY-ENHANCED MESSAGE-----