0001047469-11-007435.txt : 20110815
0001047469-11-007435.hdr.sgml : 20110815
20110815172159
ACCESSION NUMBER: 0001047469-11-007435
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110630
FILED AS OF DATE: 20110815
DATE AS OF CHANGE: 20110815
EFFECTIVENESS DATE: 20110815
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: 111037865
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
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a2205295z13f-hr.txt
13F-HR
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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, 2011
-----------------------
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
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New York, NY 10019
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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 15, 2011
------------------------------- ----------------- ---------------
[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).)
1
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 1
--------------------
Form 13F Information Table Entry Total: 59
--------------------
Form 13F Information Table Value Total: $16,688,206
--------------------
(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.
2
FORM 13F INFORMATION TABLE
KOHLBERG KRAVIS ROBERTS & CO. L.P.
FOR QUARTER ENDED JUNE 30, 2011
Voting Authority
Value SH/ Investment Other ------------------------
Name of Issuer Title of Class CUSIP (x $1000) Shrs or prn amt PRN Put/Call Discretion Managers Sole Shared None
---------------- ---------------- --------- --------- --------------- ---- -------- ------------ -------- ---- -------------- ----
ALLIANT
TECHSYSTEMS INC NOTE 2.750% 9/1 018804AN4 7,278 7,250,000 PRN SHARED-OTHER 1 7,250,000
AMGEN INC NOTE 3/0 031162AL4 29,485 37,228,000 PRN SHARED-OTHER 1 37,228,000
AMGEN INC NOTE 3/0 031162AE0 154 197,000 PRN SHARED-OTHER 1 197,000
AVAGO
TECHNOLOGIES
LTD (a) SHS Y0486S104 685,133 18,029,826 SH SHARED-OTHER 18,029,826
BIOMARIN
PHARMACEUTICAL
INC NOTE 1.875% 4/2 09061GAD3 1,400 1,000,000 PRN SHARED-OTHER 1 1,000,000
BLACKBOARD INC NOTE 3.250% 7/0 091935AA4 11,773 11,769,000 PRN SHARED-OTHER 1 11,769,000
BORGWARNER INC NOTE 3.500% 4/1 099724AF3 15,600 6,500,000 PRN SHARED-OTHER 1 6,500,000
BOSTON PPTYS
LTD PARTNERSHIP NOTE 2.875% 2/1 10112RAK0 12,253 12,168,000 PRN SHARED-OTHER 1 12,168,000
BROOKDALE SR
LIVING INC NOTE 2.750% 6/1 112463AA2 5,150 5,000,000 PRN SHARED-OTHER 1 5,000,000
CHARLES RIV
LABS INTL INC NOTE 2.250% 6/1 159864AB3 2,277 2,161,000 PRN SHARED-OTHER 1 2,161,000
CUBIST
PHARMACEUTICALS
INC NOTE 2.500% 11/0 229678AD9 6,316 4,500,000 PRN SHARED-OTHER 1 4,500,000
DEVELOPERS
DIVERSIFIED
REALTY NOTE 3.000% 3/1 251591AS2 2,003 2,000,000 PRN SHARED-OTHER 1 2,000,000
DOLLAR GEN CORP
NEW (a) COM 256677105 8,201,280 241,997,057(d) SH SHARED-OTHER 241,997,057(d)
EXPRESS INC COM 30219E103 13,808 633,391 SH SHARED-OTHER 633,391
GENERAL MTRS CO COM 37045V100 9,959 328,040 SH SHARED-OTHER 328,040
3
GENERAL MTRS CO W EXP 07/10/201 37045V118 6,382 298,218 SH SHARED-OTHER 298,218
GENERAL MTRS CO W EXP 07/10/201 37045V126 4,751 298,218 SH SHARED-OTHER 298,218
GENERAL MTRS CO JR PFD CNV SRB 37045V209 36,394 746,700 SH SHARED-OTHER 746,700
GREAT PLAINS
ENERGY INC UNIT 06/15/2042 391164803 6,545 100,000 SH SHARED-OTHER 1 100,000
HCA HOLDINGS
INC (a) COM 40412C101 2,953,578 89,502,363 SH SHARED-OTHER 89,502,363
HOSPITALITY
PPTYS TR DEBT 3.800% 3/1 44106MAK8 2,015 2,000,000 PRN SHARED-OTHER 1 2,000,000
HOLOGIC INC COM 436440101 6,192 307,000 SH PUT SHARED-OTHER 1 307,000
INTEL CORP COM 458140100 1,560 70,400 SH SHARED-OTHER 1 70,400
INVACARE CORP SDCV 4.125% 2/0 461203AD3 7,508 5,250,000 PRN SHARED-OTHER 1 5,250,000
KEMET CORP NOTE 2.250% 11/1 488360AB4 1,000 1,000,000 PRN SHARED-OTHER 1 1,000,000
JAZZ
PHARMACEUTICALS
INC (a) COM 472147107 331,597 9,942,946 SH SHARED-OTHER 9,942,946
KINROSS GOLD
CORP (e) COM NO PAR 496902404 6,363 402,700 SH PUT SHARED-OTHER 1 402,700
KINROSS GOLD
CORP NOTE 1.750% 3/1 496902AD9 4,290 4,290,000 PRN SHARED-OTHER 1 4,290,000
KKR & CO L P DEL COM UNITS 48248M102 76,168 4,667,166 SH SHARED-OTHER 1 4,667,166
L-3
COMMUNICATIONS
CORP DEBT 3.000% 8/0 502413AW7 8,675 8,517,000 PRN SHARED-OTHER 1 8,517,000
LEAR CORP COM NEW 521865204 73 1,374 SH SHARED-OTHER 1,374
MEDTRONIC INC DBCV 1.250% 9/1 585055AD8 292 293,000 PRN SHARED-OTHER 1 293,000
MARKET VECTORS
ETF TR GOLD MINER ETF 57060U100 3,668 67,200 SH SHARED-OTHER 1 67,200
MASCO CORP NOTE 7/2 574599BB1 2,994 5,578,000 PRN SHARED-OTHER 1 5,578,000
NIELSEN
HOLDINGS
N V (a) COM N63218106 1,743,059 55,938,988 SH SHARED-OTHER 55,938,988
4
NXP
SEMICONDUCTORS
N V (a) COM N6596X109 1,569,410 58,713,443 SH SHARED-OTHER 58,713,443
OWENS ILL INC COM NEW 690768403 527 20,400 SH PUT SHARED-OTHER 1 20,400
PPL CORP UNIT 99/99/9999S 69351T114 1,646 30,000 SH SHARED-OTHER 1 30,000
PRIMEDIA INC (a) COM NEW 74157K846 183,390 26,012,715 SH SHARED-OTHER 26,012,715
PROLOGIS NOTE 2.250% 4/0 74340XAQ4 13,480 13,413,000 PRN SHARED-OTHER 1 13,413,000
PROSHARES TR SHRT 20+YR TRE 74347X849 936 22,000 SH SHARED-OTHER 1 22,000
ROCKWOOD HLDGS
INC (a) COM 774415103 395,205 7,147,859 SH SHARED-OTHER 7,147,859
RTI INTL METALS
INC NOTE 3.000% 12/0 74973WAA5 4,519 3,500,000 PRN SHARED-OTHER 1 3,500,000
SALESFORCE COM
INC NOTE 0.750% 7/1 79466LAB0 10,267 5,746,000 PRN SHARED-OTHER 1 5,746,000
SANDISK CORP COM 80004C101 1,008 24,300 SH PUT SHARED-OTHER 1 24,300
SEALY CORP (a) COM 812139301 117,964 46,625,921 SH SHARED-OTHER 46,625,921
SILVER STD RES
INC (b) COM 82823L106 9,702 363,500 SH PUT SHARED-OTHER 1 363,500
SPDR S&P 500
ETF TR (c) TR UNIT 78462F103 87,100 660,000 SH PUT SHARED-OTHER 1 660,000
SPDR S&P 500
ETF TR TR UNIT 78462F103 4,117 31,200 SH SHARED-OTHER 1 31,200
SESI L L C FRNT 1.500% 12/1 7812FAH7 2,035 2,000,000 PRN SHARED-OTHER 1 2,000,000
SWEDISH EXPT
CR CORP MLCX GRN ETN23 870297215 126 20,000 SH PUT SHARED-OTHER 1 20,000
TEXAS CAPITAL
BANCSHARES INC W EXP 01/16/201 88224Q115 209 14,000 SH SHARED-OTHER 1 14,000
TRANSOCEAN INC NOTE 1.500% 12/1 893830AV1 23,838 23,946,000 PRN SHARED-OTHER 1 23,946,000
TTM
TECHNOLOGIES
INC NOTE 3.250% 5/1 87305RAC3 3,720 3,000,000 PRN SHARED-OTHER 1 3,000,000
US BANCORP DEL DBCV 9/2 902973AQ9 27,637 28,201,000 PRN SHARED-OTHER 1 28,201,000
5
UNITED DOMINION
REALTY TR IN NOTE 3.625% 9/1 910197AM4 11,558 11,500,000 PRN SHARED-OTHER 1 11,500,000
VORNADO RLTY L P DBCV 3.625%11/1 929043AE7 6,752 6,718,000 PRN SHARED-OTHER 1 6,718,000
WEST
PHARMACEUTICAL
SVSC INC SDCV 4.000% 3/1 955306AA3 2,710 2,850,000 PRN SHARED-OTHER 1 2,850,000
ZHONE
TECHNOLOGIES
INC NEW (a) COM NEW 98950P884 3,378 1,413,409 SH SHARED-OTHER 1,413,409
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(a) Position held by one or more entities engaged in KKR's private equity
business.
(b) Includes three series of SILVER STD RES INC put options.
(c) Includes two series of SPDR S&P 500 ETF TR put options.
(d) Represents shares held by Buck Holdings, L.P., an investment vehicle
jointly-owned by a consortium of KKR and other investors. KKR has a pro rata
interest of 126,114,789 shares held by the investment vehicle.
(e) Includes two series of KINROSS GOLD CORP put options.
6