0001047469-12-010541.txt : 20121114
0001047469-12-010541.hdr.sgml : 20121114
20121114121128
ACCESSION NUMBER: 0001047469-12-010541
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120930
FILED AS OF DATE: 20121114
DATE AS OF CHANGE: 20121114
EFFECTIVENESS DATE: 20121114
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: 121202375
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
1
a2211852z13f-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: September 30, 2012
-----------------------
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: William J. Janetschek
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Title: Chief Financial Officer
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Phone: (212) 750-8300
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Signature, Place, and Date of Signing:
/s/ William J. Janetschek New York, NY November 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
--------------------
Form 13F Information Table Entry Total: 35
--------------------
Form 13F Information Table Value Total: $9,998,787
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(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
28-14775 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.
2
FORM 13F INFORMATION TABLE
KOHLBERG KRAVIS ROBERTS & CO. L.P.
FOR QUARTER ENDED SEPTEMBER 30, 2012
VOTING AUTHORITY
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER --------------------------
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE
----------------------------------------------------------------------------------------------------------------------------------
AKORN INC NOTE 3.500% 6/0 009728AB2 2,086 1,259,000 PRN SHARED-OTHER 1 1,259,000
AVAGO TECHNOLOGIES
LTD (a) SHS Y0486S104 333,360 9,560,087 (b) SH SHARED-OTHER 9,560,087 (b)
CADENCE DESIGN
SYSTEM INC NOTE 2.625% 6/0 127387AJ7 3,552 2,000,000 PRN SHARED-OTHER 1 2,000,000
CHART INDS INC NOTE 2.000% 8/0 16115QAC4 3,286 2,500,000 PRN SHARED-OTHER 1 2,500,000
CSX CORP COM 126408103 830 40,000 SH CALL SHARED-OTHER 1 40,000
DOLLAR GEN CORP
NEW (a) COM 256677105 3,327,016 64,552,113 (c) SH SHARED-OTHER 64,552,113 (c)
FEDEX CORP COM 31428X106 889 10,500 SH CALL SHARED-OTHER 1 10,500
HCA HOLDINGS
INC (a) COM 40412C101 2,910,320 87,528,426 (d) SH SHARED-OTHER 87,528,426 (d)
HERTZ GLOBAL
HOLDINGS INC NOTE 5.250% 6/0 42805TAA3 6,195 3,500,000 PRN SHARED-OTHER 1 3,500,000
HOME DEPOT INC (e) COM 437076102 3,924 65,000 SH CALL SHARED-OTHER 1 65,000
JAZZ
PHARMACEUTICALS
PLC (a) SHS USD G50871105 394,394 6,919,193 (f) SH SHARED-OTHER 1 6,919,193 (f)
KELLOGG CO (g) COM 487836108 4,608 89,200 SH CALL SHARED-OTHER 1 89,200
KINROSS GOLD CORP NOTE 1.750% 3/1 496902AD9 24,572 24,584,000 PRN SHARED-OTHER 1 24,584,000
KINROSS GOLD CORP COM NO PAR 496902404 3,073 301,000 SH PUT SHARED-OTHER 1 301,000
KKR & CO L P DEL COM UNITS 48248M102 70,521 4,667,166 SH SHARED-OTHER 1 4,667,166
3
VOTING AUTHORITY
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER --------------------------
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE
----------------------------------------------------------------------------------------------------------------------------------
LAM RESEARCH CORP NOTE 0.500% 5/1 512807AJ7 2,851 3,000,000 PRN SHARED-OTHER 1 3,000,000
LEUCADIA NATL CORP NOTE 3.750% 4/1 527288AX2 3,024 2,676,000 PRN SHARED-OTHER 1 2,676,000
NETAPP INC NOTE 1.750% 6/0 64110DAB0 4,573 4,000,000 PRN SHARED-OTHER 1 4,000,000
NEXTERA ENERGY INC UNIT 09/01/2015 65339F887 6,476 125,000 SH SHARED-OTHER 1 125,000
NIELSEN HOLDINGS
N V (a) COM N63218106 1,172,232 39,100,471 (h) SH SHARED-OTHER 39,100,471 (h)
NXP SEMICONDUCTORS
N V (a) COM N6596X109 988,726 39,533,238 (i) SH SHARED-OTHER 39,533,238 (i)
PMC-SIERRA INC NOTE 2.250% 10/1 69344FAD8 14,448 14,445,000 PRN SHARED-OTHER 1 14,445,000
PROCTER & GAMBLE CO COM 742718109 6,936 100,000 SH CALL SHARED-OTHER 1 100,000
PROLOGIS NOTE 1.875%11/1 74340XAR2 15,760 15,721,000 PRN SHARED-OTHER 1 15,721,000
PROSHARES TR SHRT 20+YR TRE 74347X849 582 20,000 SH SHARED-OTHER 1 20,000
ROCKWOOD HLDGS
INC (a) COM 774415103 287,658 6,172,924 (j) SH SHARED-OTHER 6,172,924 (j)
SALESFORCE COM INC NOTE 0.750% 1/1 79466LAB0 10,261 5,500,000 PRN SHARED-OTHER 1 5,500,000
SANDISK CORP NOTE 1.000% 5/1 80004CAC5 6,939 7,000,000 PRN SHARED-OTHER 1 7,000,000
SEALY CORP (a) COM 812139301 99,767 45,764,718 (k) SH SHARED-OTHER 45,764,718 (k)
SILVER STD RES
INC (l) COM 82823L106 1,659 103,500 SH PUT SHARED-OTHER 1 103,500
SPDR S&P 500
ETF TR (m) TR UNIT 78462F103 33,113 230,000 SH CALL SHARED-OTHER 1 230,000
TRANSOCEAN INC NOTE 1.500%12/1 893830AV1 7,425 165,400 PRN PUT SHARED-OTHER 1 165,400
TRANSOCEAN INC NOTE 1.500%12/1 893830AW9 10,190 10,200,000 PRN SHARED-OTHER 1 10,200,000
4
VOTING AUTHORITY
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER --------------------------
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE
----------------------------------------------------------------------------------------------------------------------------------
VIRGIN MEDIA INC NOTE 6.500%11/1 92769LAB7 3,438 2,000,000 PRN SHARED-OTHER 1 2,000,000
WALGREEN CO (a) COM 931422109 234,103 6,424,340 (n) SH SHARED-OTHER 6,424,340 (n)
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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 112,172,940 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) Includes two series of HOME DEPOT INC call options.
(f) KKR may be deemed to have investment discretion over an aggregate number
of 6,942,946 shares.
(g) Includes two series of KELLOGG CO call options.
(h) KKR may be deemed to have investment discretion over an aggregate number
of 48,008,131 shares, which consists of shares held by an investment
vehicle jointly owned by KKR and other investors.
(i) KKR may be deemed to have investment discretion over an aggregate number
of 58,713,443 shares.
(j) KKR may be deemed to have investment discretion over an aggregate number
of 6,322,730 shares.
(k) KKR may be deemed to have investment discretion over an aggregate number
of 46,625,921 shares.
(l) Includes two series of SILVER STD RES INC call options.
(m) Includes two series of SPDR S&P 500 ETF TR put options.
5
(n) KKR may be deemed to have investment discretion over an aggregate number
of 8,508,807 shares.
6