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 ---------------------------- 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, 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. ---------------------------------- 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: William J. Janetschek ------------------------------- Title: Chief Financial Officer ------------------------------- Phone: (212) 750-8300 ------------------------------- 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 -------------------- (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 ------ ----------------- --------------------------------- List of Other Managers Reporting for this Manager: FORM 13F FILE NUMBER NAME 28-14775 KKR Asset 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 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
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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
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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)
---------- (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