0001047469-12-000955.txt : 20120214
0001047469-12-000955.hdr.sgml : 20120214
20120214101103
ACCESSION NUMBER: 0001047469-12-000955
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20111231
FILED AS OF DATE: 20120214
DATE AS OF CHANGE: 20120214
EFFECTIVENESS DATE: 20120214
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Kohlberg Kravis Roberts & Co. L.P.
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: 12603429
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
FORMER COMPANY:
FORMER CONFORMED NAME: Kohlberg Kravis Roberts & Co.
DATE OF NAME CHANGE: 20070517
13F-HR
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a2207297z13f-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: December 31, 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.
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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
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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
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Title: General Counsel
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Phone: (212) 750-8300
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Signature, Place, and Date of Signing:
/s/ David Sorkin New York, NY February 14, 2012
------------------------------- ----------------- ----------------
[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
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Form 13F Information Table Entry Total: 51
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Form 13F Information Table Value Total: $9,899,793 (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
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List of Other Managers Reporting for this Manager:
Form 13F File Number Name
28- KKR Asset Management LLC
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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.
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FORM 13F INFORMATION TABLE
KOHLBERG KRAVIS ROBERTS & CO. L.P.
FOR QUARTER ENDED DECEMBER 31, 2011
Voting Authority
Value (x SH/ Put/ Investment Other ----------------
Name of Issuer Title of Class CUSIP $1000) Shrs or prn amt PRN Call Discretion Managers Sole Shared None
-------------- -------------- ----- ------ --------------- --- ---- ---------- -------- ---- ------ ----
AMGEN INC NOTE 3/0 031162AL4 30,676 39,328,000 PRN SHARED-OTHER 1 39,328,000
ARCHER DANIELS
MIDLAND CO NOTE 0.875% 2/1 039483AW2 12,060 12,000,000 PRN SHARED-OTHER 1 12,000,000
AVAGO TECHNOLOGIES
LTD(a) SHS Y0486S104 275,904 9,560,087(b) SH SHARED-OTHER 9,560,087(b)
BARRETT BILL CORP NOTE 5.000% 3/1 06846NAA2 2,010 2,000,000 PRN SHARED-OTHER 1 2,000,000
BEST BUY INC SDCV 2.250% 1/1 086516AF8 37,815 37,817,000 PRN SHARED-OTHER 1 37,817,000
BOSTON PPTYS LTD
PARTNERSHIP NOTE 2.875% 2/1 10112RAK0 31,449 31,433,000 PRN SHARED-OTHER 1 31,433,000
CHART INDS INC NOTE 2.000% 8/0 16115QAC4 5,551 5,200,000 PRN SHARED-OTHER 1 5,200,000
CITIGROUP INC COM NEW 172967424 2,302 87,500 SH CALL SHARED-OTHER 1 87,500
COMTECH
TELECOMMUNICATIONS C NOTE 3.000% 5/0 205826AF7 2,125 2,000,000 PRN SHARED-OTHER 1 2,000,000
CUBIST
PHARMACEUTICALS INC NOTE 2.50% 6/1 229678AC1 4,027 3,000,000 PRN SHARED-OTHER 1 3,000,000
CUBIST
PHARMACEUTICALS INC NOTE 2.500%11/0 229678AD9 17,086 11,381,000 PRN SHARED-OTHER 1 11,381,000
DOLLAR GEN CORP
NEW(a) COM 256677105 4,289,238 104,259,541(c) SH SHARED-OTHER 104,259,541(c)
ENDO PHARMACEUTICALS
HLDGS 1 NOTE 1.750% 4/1 29264FAB2 1,943 1,500,000 PRN SHARED-OTHER 1 1,500,000
FTI CONSULTING INC NOTE 3.750% 7/1 302941AB5 16,014 11,500,000 PRN SHARED-OTHER 1 11,500,000
GREAT PLAINS ENERGY
INC UNIT 06/15/2042 391164803 3,306 50,000 SH SHARED-OTHER 1 50,000
3
Voting Authority
Value (x SH/ Put/ Investment Other ----------------
Name of Issuer Title of Class CUSIP $1000) Shrs or prn amt PRN Call Discretion Managers Sole Shared None
-------------- -------------- ----- ------ --------------- --- ---- ---------- -------- ---- ------ ----
HCA HOLDINGS INC(a) COM 40412C101 1,928,251 87,528,426(d) SH SHARED-OTHER 87,528,426(d)
HERTZ GLOBAL
HOLDINGS INC NOTE 5.250% 6/0 42805TAA3 6,185 4,000,000 PRN SHARED-OTHER 1 4,000,000
HOLOGIC INC COM 436440101 5,200 297,000 SH PUT SHARED-OTHER 1 297,000
HOSPITALITY PPTYS TR NOTE 3.800% 3/1 44106MAK8 10,974 10,958,000 PRN SHARED-OTHER 1 10,958,000
INVITROGEN CORP NOTE 1.500% 2/1 46185RAK6 2,800 2,800,000 PRN SHARED-OTHER 1 2,800,000
JAZZ PHARMACEUTICALS
INC(a) COM 472147107 382,688 9,906,501(e) SH SHARED-OTHER 9,906,501(e)
KINROSS GOLD CORP NOTE 1.750% 3/1 496902AD9 6,885 7,040,000 PRN SHARED-OTHER 1 7,040,000
KINROSS GOLD CORP(f) COM NO PAR 496902404 4,933 432,700 SH PUT SHARED-OTHER 1 432,700
KKR & CO L P DEL COM UNITS 48248M102 59,880 4,667,166 SH SHARED-OTHER 1 4,667,166
MACERICH CO COM 554382101 3,036 60,000 SH PUT SHARED-OTHER 1 60,000
MYLAN INC NOTE 1.250% 3/1 628530AG2 1,010 1,000,000 PRN SHARED-OTHER 1 1,000,000
MYLAN INC NOTE 3.750% 9/1 628530AJ6 10,598 6,000,000 PRN SHARED-OTHER 1 6,000,000
NETAPP INC NOTE 1.750% 6/0 64110DAB0 7,642 6,000,000 PRN SHARED-OTHER 1 6,000,000
NEWMONT MINING CORP NOTE 1.250% 7/1 651639AH9 18,072 12,929,000 PRN SHARED-OTHER 1 12,929,000
NEWMONT MINING CORP NOTE 1.625% 7/1 651639AJ5 13,230 9,000,000 PRN SHARED-OTHER 1 9,000,000
NIELSEN HOLDINGS
N V(a) COM N63218106 1,352,670 45,559,794(g) SH SHARED-OTHER 45,559,794(g)
NUANCE
COMMUNICATIONS INC DBCV 2.750% 8/1 67020YAB6 5,795 4,000,000 PRN SHARED-OTHER 1 4,000,000
NXP SEMICONDUCTORS
N V(a) COM N6596X109 607,626 39,533,238(h) SH SHARED-OTHER 39,533,238(h)
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Voting Authority
Value (x SH/ Put/ Investment Other ----------------
Name of Issuer Title of Class CUSIP $1000) Shrs or prn amt PRN Call Discretion Managers Sole Shared None
-------------- -------------- ----- ------ --------------- --- ---- ---------- -------- ---- ------ ----
PROLOGIS NOTE 2.250% 4/0 74340XAQ4 9,700 10,000,000 PRN SHARED-OTHER 1 10,000,000
PROLOGIS NOTE 3.250% 4/0 74340XAT8 4,988 4,860,000 PRN SHARED-OTHER 1 4,860,000
PROSHARES TR SHRT 20+YR TRE 74347X849 920 29,500 SH SHARED-OTHER 1 29,500
ROCKWOOD HLDGS
INC(a) COM 774415103 275,513 6,998,053(i) SH SHARED-OTHER 6,998,053(i)
SALESFORCE COM INC NOTE 0.750% 7/1 79466LAB0 9,754 7,122,000 PRN SHARED-OTHER 1 7,122,000
SANDISK CORP COM 80004C101 1,196 24,300 SH PUT SHARED-OTHER 1 24,300
SEALY CORP(a) COM 031162AL4 78,715 45,764,718(j) SH SHARED-OTHER 45,764,718(j)
SILVER STD RES INC COM 82823L106 138 10,000 SH SHARED-OTHER 1 10,000
SILVER STD RES
INC(k) COM 82823L106 1,522 110,100 SH PUT SHARED-OTHER 1 110,100
SPDR S&P 500 ETF TR TR UNIT 78462F103 1,857 14,800 SH SHARED-OTHER 1 14,800
STANLEY WKS FRNT 854616AM1 4,707 4,233,000 PRN SHARED-OTHER 1 4,233,000
SWEDISH EXPT CR CORP MLCX BIO ENTN23 870297215 344 55,000 SH SHARED-OTHER 1 55,000
TEREX CORP NEW NOTE 4.000% 6/0 880779AV5 3,233 3,000,000 PRN SHARED-OTHER 1 3,000,000
TRANSOCEAN LTD(l) REG SHS H8817H100 64,718 1,685,800 SH PUT SHARED-OTHER 1 1,685,800
VIRGIN MEDIA INC NOTE 6.500% 11/1 92769LAB7 7,480 5,500,000 PRN SHARED-OTHER 1 5,500,000
VOLCANO CORPORATION NOTE 2.875% 9/0 928645AA8 2,145 2,000,000 PRN SHARED-OTHER 1 2,000,000
VORNADO RLTY L P DEB 3.875% 4/1 929043AC1 3,008 3,000,000 PRN SHARED-OTHER 1 3,000,000
WESTERN REFNG INC NOTE 5.750% 6/1 959319AC8 3,584 2,500,000 PRN SHARED-OTHER 1 2,500,000
5
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(a) Position held by one or more entities engaged in KKR's private equity
business.
(b) KKR may be deemed to have investment discretion over an aggregate number of
11,457,180 shares, which consists of shares held by an investment vehicle
jointly owned by KKR and other investors.
(c) KKR may be deemed to have investment discretion over an aggregate number of
181,172,991 shares, which consists of shares held by an investment vehicle
jointly owned by KKR and other investors.
(d) KKR may be deemed to have investment discretion over an aggregate number of
89,502,362 shares, which consists of shares held by an investment vehicle
jointly owned by KKR and other investors.
(e) KKR may be deemed to have investment discretion over an aggregate number of
9,942,946 shares.
(f) Includes two series of KINROSS GOLD CORP put options.
(g) KKR may be deemed to have investment discretion over an aggregate number of
55,938,988 shares, which consists of shares held by an investment vehicle
jointly owned by KKR and other investors.
(h) KKR may be deemed to have investment discretion over an aggregate number of
58,713,443 shares.
(i) KKR may be deemed to have investment discretion over an aggregate number of
7,147,859 shares.
(j) KKR may be deemed to have investment discretion over an aggregate number of
46,625,921 shares.
(k) Includes four series of SILVER STD RES INC put options.
(l) Includes two series of TRANSOCEAN LTD put options.
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