0001104659-14-081036.txt : 20141114
0001104659-14-081036.hdr.sgml : 20141114
20141114172211
ACCESSION NUMBER: 0001104659-14-081036
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140930
FILED AS OF DATE: 20141114
DATE AS OF CHANGE: 20141114
EFFECTIVENESS DATE: 20141114
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: 141225578
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
09-30-2014
09-30-2014
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) Kohlberg Kravis Roberts & Co. L.P. ("KKR") may be deemed to have investment discretion over an aggregate number of 15,225,838 shares of HCA HOLDINGS INC, which consists of shares held by an investment vehicle jointly owned by affiliates of KKR and other investors; (ii) KKR may be deemed to have investment discretion over an aggregate number of 18,867,547 shares of NIELSEN N V, which consists of shares held by an investment vehicle jointly owned by affiliates of KKR and other investors; and (iii) KKR may be deemed to have investment discretion over an aggregate number of 7,112,048 shares of WALGREEN CO, which consists of shares held by an investment vehicle jointly owned by affiliates of KKR and other investors.
David Sorkin
General Counsel
(212) 750-8300
/s/ David Sorkin
New York
NY
11-14-2014
2
89
3530395
false
1
28-13533
KKR Investment Management LLC
2
28-14775
KKR Credit Advisors (US) LLC
INFORMATION TABLE
2
a14-24195_1informationtable.xml
INFORMATION TABLE
ACORDA THERAPEUTICS INC
NOTE 1.750% 6/1
00484MAA4
3126
3000000
PRN
OTR
1
0
3000000
0
AKORN INC
NOTE 3.500% 6/0
009728AB2
37204
9000000
PRN
OTR
1
0
9000000
0
ALLY FINL INC
COM
02005N100
39641
1713091
SH
OTR
2
0
1713091
0
AMEDISYS INC
COM
023436108
97554
4836608
SH
OTR
2
0
4836608
0
AMERICAN INTL GROUP INC
COM NEW
026874784
7422
137400
SH
OTR
1
0
137400
0
AMERICAN INTL GROUP INC
COM NEW
026874784
1621
30000
SH
OTR
2
0
30000
0
AMERIPRISE FINL INC
COM
03076C106
5712
46300
SH
OTR
1
0
46300
0
ANADARKO PETE CORP
COM
032511107
5905
58215
SH
OTR
1
0
58215
0
ANADARKO PETE CORP
COM
032511107
2029
20000
SH
Call
OTR
1
0
20000
0
APOLLO COML REAL EST FIN INC
NOTE 5.500% 3/1
03762UAA3
995
1000000
PRN
OTR
1
0
1000000
0
ASSOCIATED ESTATES RLTY CORP
COM
045604105
7615
434867
SH
OTR
1
0
434867
0
AVIS BUDGET GROUP
NOTE 3.500%10/0
053774AB1
152936
38720000
PRN
OTR
1
0
38720000
0
BANK AMER CORP
COM
060505104
1279
75000
SH
OTR
2
0
75000
0
BARCLAYS BANK PLC
ADR PFD SR 5
06739H362
2116
81469
SH
OTR
2
0
81469
0
CADENCE DESIGN SYSTEM INC
NOTE 2.625% 6/0
127387AJ7
13725
6000000
PRN
OTR
1
0
6000000
0
CBS CORP NEW
CL B
124857202
6370
119060
SH
OTR
1
0
119060
0
CHARTER COMMUNICATIONS INC D
CL A NEW
16117M305
2960
19553
SH
OTR
1
0
19553
0
CHENIERE ENERGY INC
COM NEW
16411R208
1902
23760
SH
OTR
1
0
23760
0
COMCAST CORP NEW
CL A
20030N101
1245
23155
SH
OTR
1
0
23155
0
CONTINENTAL AIRLS INC
NOTE 4.500% 1/1
210795PU8
11582
4670000
PRN
OTR
1
0
4670000
0
CROWN CASTLE INTL CORP
COM
228227104
5274
65490
SH
OTR
1
0
65490
0
DEERE & CO
COM
244199105
459
5600
SH
OTR
2
0
5600
0
DISCOVER FINL SVCS
COM
254709108
6684
103800
SH
OTR
1
0
103800
0
DISH NETWORK CORP
CL A
25470M109
2948
45650
SH
OTR
1
0
45650
0
ENDO HEALTH SOLUTIONS INC
NOTE 1.750% 4/1
29264FAB2
9056
4000000
PRN
OTR
1
0
4000000
0
ENERSYS
NOTE 3.375% 6/0
29275YAA0
19955
13000000
PRN
OTR
1
0
13000000
0
EOG RES INC
COM
26875P101
2859
28870
SH
OTR
1
0
28870
0
EQT CORP
COM
26884L109
3331
36390
SH
OTR
1
0
36390
0
ESSEX RENT CORP
COM
297187106
840
400000
SH
OTR
2
0
400000
0
FMC TECHNOLOGIES INC
COM
30249U101
5667
104350
SH
OTR
1
0
104350
0
FRANCESCAS HLDGS CORP
COM
351793104
28517
2047194
SH
OTR
1
0
2047194
0
FXCM INC
NOTE 2.250% 6/1
302693AB2
2089
2000000
PRN
OTR
2
0
2000000
0
FXCM INC
COM CL A
302693106
1068
67386
SH
OTR
2
0
67386
0
GILEAD SCIENCES INC
NOTE 1.625% 5/0
375558AP8
207393
44505000
PRN
OTR
1
0
44505000
0
GREENBRIER COS INC
NOTE 3.500% 4/0
393657AH4
3084
1500000
PRN
OTR
1
0
1500000
0
GULFPORT ENERGY CORP
COM NEW
402635304
2847
53318
SH
OTR
1
0
53318
0
GULFPORT ENERGY CORP
COM NEW
402635304
1976
37000
SH
Call
OTR
1
0
37000
0
HALLIBURTON CO
COM
406216101
6290
97500
SH
OTR
1
0
97500
0
HARBINGER GROUP INC
COM
41146A106
5422
413246
SH
OTR
2
0
413246
0
HCA HOLDINGS INC
COM
40412C101
1050045
14890038
SH
OTR
0
14890038
0
HEALTH CARE REIT INC
PFD PER CON I
42217K601
1430
25000
SH
OTR
1
0
25000
0
HESS CORP
COM
42809H107
4720
50040
SH
OTR
1
0
50040
0
HSN INC
COM
404303109
565
9200
SH
OTR
1
0
9200
0
ICONIX BRAND GROUP INC
NOTE 1.500% 3/1
451055AF4
12315
9500000
PRN
OTR
1
0
9500000
0
INTL PAPER CO
COM
460146103
293
6140
SH
OTR
1
0
6140
0
JARDEN CORP
NOTE 1.875% 9/1
471109AH1
2740
2000000
PRN
OTR
1
0
2000000
0
KAPSTONE PAPER & PACKAGING C
COM
48562P103
853
30500
SH
OTR
1
0
30500
0
KKR & CO L P DEL
COM UNITS
48248M102
104078
4667166
SH
OTR
1
0
4667166
0
LIBERTY INTERACTIVE CORP
INT COM SER A
53071M104
2739
113460
SH
OTR
1
0
113460
0
LORILLARD INC
COM
544147101
300
5000
SH
OTR
2
0
5000
0
MARKEL CORP
COM
570535104
954
1500
SH
OTR
2
0
1500
0
MARVELL TECHNOLOGY GROUP LTD
ORD
G5876H105
89590
6646127
SH
OTR
1
0
6646127
0
METLIFE INC
UNIT 99/99/9999
59156R116
42628
1405000
SH
OTR
1
0
1405000
0
NEWMONT MINING CORP
COM
651639106
1037
45000
SH
Call
OTR
1
0
45000
0
NIELSEN N V
COM
N63218106
681210
15366790
SH
OTR
0
15366790
0
OCWEN FINL CORP
COM NEW
675746309
9818
375000
SH
OTR
2
0
375000
0
PENN VA CORP
COM
707882106
2913
229220
SH
OTR
1
0
229220
0
PENN VA CORP
COM
707882106
2220
174700
SH
Call
OTR
1
0
174700
0
PINNACLE ENTMT INC
COM
723456109
1631
65000
SH
OTR
2
0
65000
0
POWERSHARES ETF TRUST II
SENIOR LN PORT
73936Q769
2110
86900
SH
OTR
1
0
86900
0
PRICELINE GRP INC
DEBT 1.000% 3/1
741503AQ9
8694
6500000
PRN
OTR
1
0
6500000
0
PRICELINE GRP INC
NOTE 0.350% 6/1
741503AS5
1118
1000000
PRN
OTR
2
0
1000000
0
PROSHARES TR
SHRT 20+YR TRE
74347X849
555
20000
SH
OTR
1
0
20000
0
PROSPECT CAPITAL CORPORATION
NOTE 5.375%10/1
74348TAK8
1033
1000000
PRN
OTR
2
0
1000000
0
RIGNET INC
COM
766582100
192138
4750000
SH
OTR
0
4750000
0
ROCK-TENN CO
CL A
772739207
285
6000
SH
OTR
1
0
6000
0
SALESFORCE COM INC
NOTE 0.250% 4/0
79466LAD6
1120
1000000
PRN
OTR
2
0
1000000
0
SALESFORCE COM INC
NOTE 0.750% 1/1
79466LAB0
47330
17760000
PRN
OTR
1
0
17760000
0
SANDISK CORP
NOTE 1.500% 8/1
80004CAD3
17325
9000000
PRN
OTR
1
0
9000000
0
SPANSION LLC
NOTE 2.000% 9/0
84649PAL9
5224
3000000
PRN
OTR
1
0
3000000
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
48270
245000
SH
Put
OTR
1
0
245000
0
SPDR SERIES TRUST
BRC HGH YLD BD
78464A417
10495
261200
SH
OTR
1
0
261200
0
SPDR SERIES TRUST
S&P OILGAS EXP
78464A730
4130
60000
SH
Put
OTR
1
0
60000
0
STARWOOD PPTY TR INC
NOTE 4.000% 1/1
85571BAB1
1086
1000000
PRN
OTR
2
0
1000000
0
TEREX CORP NEW
NOTE 4.000% 6/0
880779AV5
15131
7515000
PRN
OTR
1
0
7515000
0
TIME WARNER CABLE INC
COM
88732J207
3940
27455
SH
OTR
1
0
27455
0
TOLL BROS FIN CORP
NOTE 0.500% 9/1
88947EAM2
759
750000
PRN
OTR
2
0
750000
0
TRAVELPORT WORLDWIDE LTD
SHS
G9019D104
19087
1159622
SH
OTR
2
0
1159622
0
TWENTY FIRST CENTY FOX INC
CL A
90130A101
5088
148378
SH
OTR
1
0
148378
0
TYSON FOODS INC
UNIT 99/99/9999
902494301
5036
100000
SH
OTR
1
0
100000
0
UNITED THERAPEUTICS CORP DEL
NOTE 1.000% 9/1
91307CAF9
8242
3000000
PRN
OTR
1
0
3000000
0
VIASYSTEMS GROUP INC
COM PAR$.01
92553H803
155
9900
SH
OTR
2
0
9900
0
WALGREEN CO
COM
931422109
380771
6424340
SH
OTR
0
6424340
0
WALKER & DUNLOP INC
COM
93148P102
7192
541196
SH
OTR
2
0
541196
0
WALTER INVT MGMT CORP
COM
93317W102
768
35000
SH
OTR
2
0
35000
0
WISDOMTREE TR
INDIA ERNGS FD
97717W422
3179
145100
SH
OTR
1
0
145100
0
WORKDAY INC
NOTE 1.500% 7/1
98138HAD3
2460
2000000
PRN
OTR
1
0
2000000
0
XILINX INC
NOTE 2.625% 6/1
983919AF8
5910
4000000
PRN
OTR
1
0
4000000
0
YPF SOCIEDAD ANONIMA
SPON ADR CL D
984245100
987
26685
SH
OTR
1
0
26685
0