0001140361-20-024920.txt : 20201106
0001140361-20-024920.hdr.sgml : 20201106
20201106180043
ACCESSION NUMBER: 0001140361-20-024920
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201104
FILED AS OF DATE: 20201106
DATE AS OF CHANGE: 20201106
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: NUTTALL SCOTT C
CENTRAL INDEX KEY: 0001207606
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34820
FILM NUMBER: 201295519
MAIL ADDRESS:
STREET 1: LEGG MASON, INC.
STREET 2: 100 INTERNATIONAL DRIVE
CITY: BALTIMORE
STATE: MD
ZIP: 21202
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: KKR & Co. Inc.
CENTRAL INDEX KEY: 0001404912
STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282]
IRS NUMBER: 260426107
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 9 WEST 57TH STREET
STREET 2: SUITE 4200
CITY: NEW YORK
STATE: NY
ZIP: 10019
BUSINESS PHONE: 212-750-8300
MAIL ADDRESS:
STREET 1: 9 WEST 57TH STREET
STREET 2: SUITE 4200
CITY: NEW YORK
STATE: NY
ZIP: 10019
FORMER COMPANY:
FORMER CONFORMED NAME: KKR & Co. L.P.
DATE OF NAME CHANGE: 20070627
4
1
form4.xml
FORM 4
X0306
4
2020-11-04
0001404912
KKR & Co. Inc.
KKR
0001207606
NUTTALL SCOTT C
C/O KKR & CO. INC.
9 WEST 57TH STREET, 42ND FLOOR
NEW YORK
NY
10019
true
true
Co-President & Co-COO
KKR Holdings L.P. Units
2020-11-04
5
G
0
445498
0
D
Common Stock
445498
1450000
I
See footnote
KKR Holdings L.P. Units
2020-11-04
5
G
0
445498
0
A
Common Stock
445498
1450000
I
See footnote
KKR Holdings L.P. Units
Common Stock
14762621
14762621
D
KKR Holdings L.P. Units
Common Stock
118673
118673
I
By Trust
Pursuant to an exchange agreement as disclosed in KKR & Co. Inc.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission ("SEC") on September 23, 2011, as amended by a post-effective amendment filed with the SEC on July 2, 2018, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units (which term refers to Class A partner interests in KKR Group Partnership L.P.) along with shares of Series II preferred stock of KKR & Co. Inc. on a one-for-one basis, and KKR Group Partnership Units and shares of Series II preferred stock are exchangeable for shares of common stock of KKR & Co. Inc. on a one-for-one basis.
On November 4, 2020, for estate planning purposes, the Reporting Person made a gift of certain limited partner interests in the limited partnership described in footnote 3 below (the "Partnership"), to his spouse. The number reported reflects the portion of units of KKR Holdings L.P. held by the Partnership that corresponds to the limited partner interests gifted on such date. The gift was exempt from matching pursuant to Rule 16b-5 under the Securities Exchange Act of 1934 (the "Exchange Act").
These securities are held by a limited partnership, whose general partner is a limited liability company over which the Reporting Person has investment discretion. The number reported as beneficially owned following the reported transaction reflects the aggregate number of units of KKR Holdings L.P. held by the Partnership.
Reflects a transfer of an additional 450,000 KKR Holdings L.P. units from the Reporting Person to the Partnership. This transfer, which was exempt from reporting pursuant to Rule 16a-13 under the Exchange Act, merely changed the form of the Reporting Person's pecuniary interest in such securities from direct to indirect.
Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended, the Reporting Person states that this filing shall not be an admission that the Reporting Person is the beneficial owner of any of the securities reported herein as indirectly owned, and the Reporting Person disclaims beneficial ownership of such securities except to the extent of the Reporting Person's pecuniary interest therein.
/s/ Christopher Lee, Attorney-in-fact
2020-11-06