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 1 a2205295z13f-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: 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 ---------------------------------- 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 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
---------- (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