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