0001179110-13-002447.txt : 20130212
0001179110-13-002447.hdr.sgml : 20130212
20130212133050
ACCESSION NUMBER: 0001179110-13-002447
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130208
FILED AS OF DATE: 20130212
DATE AS OF CHANGE: 20130212
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HAZEN PAUL
CENTRAL INDEX KEY: 0001192055
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33437
FILM NUMBER: 13596022
MAIL ADDRESS:
STREET 1: P O BOX 7070
CITY: CARMEL
STATE: CA
ZIP: 93921
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: KKR Financial Holdings LLC
CENTRAL INDEX KEY: 0001386926
STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199]
IRS NUMBER: 113801844
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 555 CALIFORNIA STREET, 50TH FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94104
BUSINESS PHONE: (415) 315-3620
MAIL ADDRESS:
STREET 1: 555 CALIFORNIA STREET, 50TH FLOOR
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94104
4
1
edgar.xml
FORM 4 -
X0306
4
2013-02-08
0
0001386926
KKR Financial Holdings LLC
KFN
0001192055
HAZEN PAUL
C/O KKR FINANCIAL HOLDINGS LLC
555 CALIFORNIA STREET, 50TH FLOOR
SAN FRANCISCO
CA
94104
1
0
0
0
Common Shares
2013-02-08
4
P
0
5200
11.2241
A
646189
D
Common Shares
2013-02-08
4
P
0
3500
11.2050
A
3500
I
See Footnote
Common Shares
2013-02-08
4
P
0
1750
11.2056
A
1750
I
See Footnote
Common Shares
17467
I
See Footnote
Common Shares
23000
I
See Footnote
Common Shares
15850
I
See Footnote
The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $11.215 to $11.23 per share, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 1.
Consists of 3,500 common shares acquired by the Cassandra L La Ruffa Revocable Trust (the "Cassandra Trust"), for which Cassandra Hazen is the Trustee. Mr. Hazen shares a household with Cassandra Hazen and therefore may be deemed to have beneficial ownership of such common shares. Mr. Hazen disclaims any beneficial ownership in all common shares held in the Cassandra Trust.
Consists of 1,750 common shares acquired by Cassandra Hazen. Mr. Hazen shares a household with Cassandra Hazen and therefore may be deemed to have beneficial ownership of such common shares. Mr. Hazen disclaims any beneficial ownership in such common shares.
The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $11.205 to $11.21 per share, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote 4.
Consists of 17,467 common shares acquired by the Brandt Hazen Gift Trust 2005 (the "Brandt Trust"). Mr. Hazen is an investment advisor to the Brandt Trust and therefore may be deemed to have beneficial ownership of such common shares. Mr. Hazen disclaims any beneficial ownership in all common shares held in the Brandt Trust.
Consists of 23,000 common shares acquired by the Brooke Hazen 2005 Gift Trust (the "Brooke Trust"). Mr. Hazen is an investment advisor to the Brooke Trust and therefore may be deemed to have beneficial ownership of such common shares. Mr. Hazen disclaims any beneficial ownership in all common shares held in the Brooke Trust.
Consists of 15,850 common shares acquired by the David Duron 2005 Gift Trust (the "Duron Trust"). Mr. Hazen is an investment advisor to the Duron Trust and therefore may be deemed to have beneficial ownership of such common shares. Mr. Hazen disclaims any beneficial ownership in all common shares held in the Duron Trust.
Paul M. Hazen
2013-02-12