0001104659-14-010629.txt : 20140214
0001104659-14-010629.hdr.sgml : 20140214
20140214162046
ACCESSION NUMBER: 0001104659-14-010629
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20131231
FILED AS OF DATE: 20140214
DATE AS OF CHANGE: 20140214
EFFECTIVENESS DATE: 20140214
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: 14616877
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
primary_doc.xml
13F-HR
LIVE
0001399770
XXXXXXXX
12-31-2013
12-31-2013
false
Kohlberg Kravis Roberts & Co. L.P.
9 West 57th Street Suite 4200
New York
NY
10019
13F HOLDINGS REPORT
028-12880
Y
The following information corresponds to the securities indicated in the attached Information Table: (i) The Information Table entry for ANADARKO PETE CORP includes two series of call options. (ii) KKR may be deemed to have investment discretion over an aggregate number of 30,003,152 shares of HCA HOLDINGS INC, which consists of shares held by an investment vehicle jointly owned by KKR and other investors; (iii) KKR may be deemed to have investment discretion over an aggregate number of 3,192,946 shares of JAZZ PHARMACEUTICALS PLC; (iv) KKR may be deemed to have investment discretion over an aggregate number of 33,641,300 shares of MARVELL TECHNOLOGY GROUP LTD; (v) KKR may be deemed to have investment discretion over an aggregate number of 25,065,842 shares of NIELSEN HOLDINGS N V, which consists of shares held by an investment vehicle jointly owned by KKR and other investors; (vi) KKR may be deemed to have investment discretion over an aggregate number of 19,349,996 shares of NXP SEMICONDUCTORS N V; (vii) KKR may be deemed to have investment discretion over an aggregate number of 4,750,000 shares of RIGNET INC; (viii) KKR may be deemed to have investment discretion over an aggregate number of 89,711 shares of ROCKWOOD HLDGS INC; and (ix) KKR may be deemed to have investment discretion over an aggregate number of 8,508,807 shares of WALGREEN CO.
David Sorkin
General Counsel
212-750-8300
/s/ David Sorkin
New York
NY
02-14-2014
1
126
5946266
false
1
28-13533
KKR Investment Management LLC
2
28-14775
KKR Asset Management LLC
INFORMATION TABLE
2
a14-5257_4informationtable.xml
INFORMATION TABLE
ADVANCE AUTO PARTS INC
COM
00751Y106
15717
142000
SH
OTR
2
0
142000
0
AGCO CORP
NOTE 1.250%12/1
001084AM4
30107
20852000
PRN
OTR
1
0
20852000
0
AKORN INC
NOTE 3.500% 6/0
009728AB2
4201
1500000
PRN
OTR
1
0
1500000
0
ALBANY MOLECULAR RESH INC
NOTE 2.250%11/1
012423AA7
946
1000000
PRN
OTR
1
0
1000000
0
ALCOA INC
NOTE 5.250% 3/1
013817AT8
16765
10069000
PRN
OTR
1
0
10069000
0
AMEDISYS INC
COM
023436108
70760
4836608
SH
OTR
2
0
4836608
0
AMERICAN EXPRESS CO
COM
025816109
5562
61300
SH
OTR
2
0
61300
0
AMERICAN INTL GROUP INC
COM NEW
026874784
3829
75000
SH
OTR
1
0
75000
0
AMERIPRISE FINL INC
COM
03076C106
2853
24800
SH
OTR
1
0
24800
0
ANADARKO PETE CORP
COM
032511107
5592
70500
SH
Call
OTR
2
0
70500
0
ARCHER DANIELS MIDLAND CO
COM
039483102
3034
69900
SH
Call
OTR
1
0
69900
0
ASSOCIATED ESTATES RLTY CORP
COM
045604105
35915
2237688
SH
OTR
1
0
2237688
0
ASSURED GUARANTY LTD
COM
G0585R106
33521
1421000
SH
OTR
2
0
1421000
0
BARCLAYS BANK PLC
ADR PFD SR 5
06739H362
2067
81469
SH
OTR
2
0
81469
0
B/E AEROSPACE INC
COM
073302101
15317
176000
SH
OTR
2
0
176000
0
CACI INTL INC
NOTE 2.125% 5/0
127190AD8
12411
9182000
PRN
OTR
1
0
9182000
0
CADENCE DESIGN SYSTEM INC
NOTE 2.625% 6/0
127387AJ7
2814
1500000
PRN
OTR
1
0
1500000
0
CAMERON INTERNATIONAL CORP
COM
13342B105
13156
221000
SH
OTR
2
0
221000
0
CANADIAN PAC RY LTD
COM
13645T100
15435
102000
SH
OTR
2
0
102000
0
CATERPILLAR INC DEL
COM
149123101
5358
59000
SH
OTR
2
0
59000
0
CHART INDS INC
NOTE 2.000% 8/0
16115QAC4
4619
3000000
PRN
OTR
1
0
3000000
0
CIMAREX ENERGY CO
COM
171798101
1364
13000
SH
OTR
2
0
13000
0
CIT GROUP INC
COM NEW
125581801
18918
362900
SH
OTR
2
0
362900
0
CLAYMORE EXCHANGE TRD FD TR
GUGG CHN SML CAP
18383Q853
1117
42000
SH
OTR
1
0
42000
0
COMCAST CORP NEW
CL A
20030N101
23691
455900
SH
OTR
2
0
455900
0
CONCHO RES INC
COM
20605P101
1296
12000
SH
OTR
2
0
12000
0
COVANTA HLDG CORP
NOTE 3.250% 6/0
22282EAC6
1169
1000000
PRN
OTR
1
0
1000000
0
DISCOVER FINL SVCS
COM
254709108
3212
57400
SH
OTR
1
0
57400
0
EBAY INC
COM
278642103
27433
500000
SH
OTR
2
0
500000
0
EBAY INC
COM
278642103
32919
600000
SH
Call
OTR
2
0
600000
0
ENDOLOGIX INC
NOTE 2.250%12/1
29266SAA4
1016
1000000
PRN
OTR
1
0
1000000
0
ENERSYS
NOTE 3.375% 6/0
29275YAA0
4095
2340000
PRN
OTR
1
0
2340000
0
EOG RES INC
COM
26875P101
17036
101500
SH
OTR
2
0
101500
0
EQT CORP
COM
26884L109
10558
117600
SH
OTR
2
0
117600
0
ESSEX RENT CORP
COM
297187106
1308
400000
SH
OTR
2
0
400000
0
EXPRESS INC
COM
30219E103
1979
106000
SH
OTR
2
0
106000
0
EXTERRAN HLDGS INC
NOTE 4.250% 6/1
30225XAA1
8822
6000000
PRN
OTR
1
0
6000000
0
FEDEX CORP
COM
31428X106
16102
112000
SH
OTR
2
0
112000
0
GAP INC DEL
COM
364760108
1954
50000
SH
OTR
2
0
50000
0
GENERAL MTRS CO
COM
37045V100
19177
469224
SH
OTR
2
0
469224
0
GENERAL MTRS CO
*W EXP 07/10/201
37045V118
8036
257901
SH
OTR
2
0
257901
0
GENERAL MTRS CO
*W EXP 07/10/201
37045V126
5965
257901
SH
OTR
2
0
257901
0
GENTIVA HEALTH SERVICES INC
COM
37247A102
1080
87010
SH
OTR
2
0
87010
0
GILEAD SCIENCES INC
NOTE 1.000% 5/0
375558AN3
4105
1240000
PRN
OTR
1
0
1240000
0
GILEAD SCIENCES INC
NOTE 1.625% 5/0
375558AP8
176273
53497000
PRN
OTR
1
0
53497000
0
GOLDCORP INC NEW
NOTE 2.000% 8/0
380956AB8
19598
19500000
PRN
OTR
1
0
19500000
0
GOOGLE INC
CL A
38259P508
13561
12100
SH
OTR
2
0
12100
0
GT ADVANCED TECHNOLOGIES INC
NOTE 3.000%12/1
36191UAB2
944
930000
PRN
OTR
1
0
930000
0
GULFPORT ENERGY CORP
COM NEW
402635304
13257
210000
SH
OTR
2
0
210000
0
HALLIBURTON CO
COM
406216101
23325
459600
SH
OTR
2
0
459600
0
HCA HOLDINGS INC
COM
40412C101
1399880
29341445
SH
OTR
0
29341445
0
HELMERICH & PAYNE INC
COM
423452101
1598
19000
SH
OTR
2
0
19000
0
HESS CORP
COM
42809H107
5229
63000
SH
OTR
2
0
63000
0
HOLLYFRONTIER CORP
COM
436106108
2067
41600
SH
OTR
2
0
41600
0
HOME DEPOT INC
COM
437076102
5764
70000
SH
OTR
2
0
70000
0
HOME DEPOT INC
COM
437076102
16468
200000
SH
Call
OTR
2
0
200000
0
ISHARES
CHINA LG-CAP ETF
464287184
622
16200
SH
OTR
1
0
16200
0
ISHARES
CHINA LG-CAP ETF
464287184
3453
90000
SH
Call
OTR
1
0
90000
0
ISHARES
MSCI BRZ CAP ETF
464286400
1233
27600
SH
OTR
2
0
27600
0
ISHARES
MSCI MEX CAP ETF
464286822
1244
18300
SH
OTR
2
0
18300
0
ISHARES
MSCI STH KOR ETF
464286772
420
6500
SH
OTR
1
0
6500
0
ISHARES
RUSSELL 2000 ETF
464287655
11536
100000
SH
Put
OTR
2
0
100000
0
ITT CORP NEW
COM NEW
450911201
16109
371000
SH
OTR
2
0
371000
0
JARDEN CORP
NOTE 1.875% 9/1
471109AH1
2961
2074000
PRN
OTR
1
0
2074000
0
JAZZ PHARMACEUTICALS PLC
SHS USD
G50871105
403101
3185058
SH
OTR
0
3185058
0
JOHNSON CTLS INC
COM
478366107
15800
308000
SH
OTR
2
0
308000
0
JOS A BANK CLOTHIERS INC
COM
480838101
6644
121300
SH
OTR
2
0
121300
0
JOS A BANK CLOTHIERS INC
COM
480838101
13693
250000
SH
Call
OTR
2
0
250000
0
KKR & CO L P DEL
COM UNITS
48248M102
113599
4667166
SH
OTR
1
0
4667166
0
LAMAR ADVERTISING CO
CL A
512815101
21600
413400
SH
OTR
2
0
413400
0
LAREDO PETE HLDGS INC
COM
516806106
1329
48000
SH
OTR
2
0
48000
0
LOWES COS INC
COM
548661107
13096
264300
SH
OTR
2
0
264300
0
MACYS INC
COM
55616P104
12335
231000
SH
OTR
2
0
231000
0
MACYS INC
COM
55616P104
10680
200000
SH
Call
OTR
2
0
200000
0
MARATHON PETE CORP
COM
56585A102
2101
22900
SH
OTR
2
0
22900
0
MARSH & MCLENNAN COS INC
COM
571748102
21235
439100
SH
OTR
2
0
439100
0
MARVELL TECHNOLOGY GROUP LTD
ORD
G5876H105
467718
32525596
SH
OTR
0
32525596
0
MASTEC INC
NOTE 4.000% 6/1
576323AL3
4208
2100000
PRN
OTR
1
0
2100000
0
MASTERCARD INC
CL A
57636Q104
5598
6700
SH
OTR
2
0
6700
0
MENTOR GRAPHICS CORP
COM
587200106
794
33000
SH
OTR
1
0
33000
0
METLIFE INC
COM
59156R108
17465
323900
SH
OTR
2
0
323900
0
MOHAWK INDS INC
COM
608190104
8041
54000
SH
OTR
2
0
54000
0
MONDELEZ INTL INC
CL A
609207105
10519
298000
SH
OTR
2
0
298000
0
MORGAN STANLEY
COM NEW
617446448
20597
656800
SH
OTR
2
0
656800
0
NEWMONT MINING CORP
NOTE 1.250% 7/1
651639AH9
2973
3000000
PRN
OTR
1
0
3000000
0
NEWS CORP NEW
CL A
65249B109
27210
1510000
SH
OTR
2
0
1510000
0
NIELSEN HOLDINGS N V
COM
N63218106
936845
20415017
SH
OTR
0
20415017
0
NXP SEMICONDUCTORS N V
COM
N6596X109
637775
13885809
SH
OTR
0
13885809
0
PATTERSON UTI ENERGY INC
COM
703481101
1545
61000
SH
OTR
2
0
61000
0
PENTAIR LTD
SHS
H6169Q108
17010
219000
SH
OTR
2
0
219000
0
PHILIP MORRIS INTL INC
COM
718172109
17426
200000
SH
Call
OTR
2
0
200000
0
PHILLIPS 66
COM
718546104
2121
27500
SH
OTR
2
0
27500
0
PIONEER NAT RES CO
COM
723787107
1288
7000
SH
OTR
2
0
7000
0
POWERSHARES ETF TRUST II
SENIOR LN PORT
73936Q769
3943
158500
SH
OTR
1
0
158500
0
PPG INDS INC
COM
693506107
15931
84000
SH
OTR
2
0
84000
0
PRECISION CASTPARTS CORP
COM
740189105
16427
61000
SH
OTR
2
0
61000
0
PROSHARES TR
SHRT 20+YR TRE
74347X849
658
20000
SH
OTR
1
0
20000
0
PRUDENTIAL FINL INC
COM
744320102
13224
143400
SH
OTR
2
0
143400
0
RANGE RES CORP
COM
75281A109
5345
63400
SH
OTR
2
0
63400
0
REALOGY HLDGS CORP
COM
75605Y106
11663
235750
SH
OTR
2
0
235750
0
RIGNET INC
COM
766582100
213977
4464370
SH
OTR
0
4464370
0
ROCKWOOD HLDGS INC
COM
774415103
6452
89711
SH
OTR
0
89711
0
SALESFORCE COM INC
NOTE 0.750% 1/1
79466LAB0
29268
11494000
PRN
OTR
1
0
11494000
0
SALIX PHARMACEUTICALS INC
NOTE 1.500% 3/1
795435AE6
11880
8000000
PRN
OTR
1
0
8000000
0
SANDISK CORP
NOTE 1.500% 8/1
80004CAD3
14788
10000000
PRN
OTR
1
0
10000000
0
SELECT SECTOR SPDR TR
SBI HEALTHCARE
81369Y209
18035
325300
SH
OTR
2
0
325300
0
SPDR INDEX SHS FDS
S&P CHINA ETF
78463X400
935
12000
SH
OTR
1
0
12000
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
4617
25000
SH
Put
OTR
1
0
25000
0
SPDR SERIES TRUST
BRC HGH YLD BD
78464A417
6855
169000
SH
OTR
1
0
169000
0
STANLEY BLACK & DECKER INC
COM
854502101
5164
64000
SH
OTR
2
0
64000
0
STARWOOD PPTY TR INC
NOTE 4.550% 3/0
85571BAA3
4360
4000000
PRN
OTR
1
0
4000000
0
STILLWATER MNG CO
COM
86074Q102
51800
4197720
SH
OTR
2
0
4197720
0
SUNTRUST BKS INC
COM
867914103
10822
294000
SH
OTR
2
0
294000
0
SUPERIOR ENERGY SVCS INC
COM
868157108
1597
60000
SH
OTR
2
0
60000
0
TIME WARNER CABLE INC
COM
88732J207
13144
97000
SH
OTR
2
0
97000
0
TRULIA INC
COM
897888103
3315
94000
SH
OTR
2
0
94000
0
TWENTY FIRST CENTY FOX INC
CL B
90130A200
16003
462500
SH
OTR
2
0
462500
0
UNISYS CORP
COM NEW
909214306
873
26000
SH
Call
OTR
1
0
26000
0
UNISYS CORP
PFD SER A 6.25%
909214405
893
10000
SH
OTR
1
0
10000
0
URBAN OUTFITTERS INC
COM
917047102
3970
107000
SH
OTR
2
0
107000
0
VALERO ENERGY CORP NEW
COM
91913Y100
2152
42700
SH
OTR
2
0
42700
0
VIASYSTEMS GROUP INC
COM PAR$.01
92553H803
137
10000
SH
OTR
2
0
10000
0
VISA INC
COM CL A
92826C839
11423
51300
SH
OTR
2
0
51300
0
WALGREEN CO
COM
931422109
369014
6424340
SH
OTR
0
6424340
0
WILLIAMS SONOMA INC
COM
969904101
13113
225000
SH
OTR
2
0
225000
0
WYNDHAM WORLDWIDE CORP
COM
98310W108
22269
302200
SH
OTR
2
0
302200
0