0001140361-19-021719.txt : 20191129
0001140361-19-021719.hdr.sgml : 20191129
20191129180017
ACCESSION NUMBER: 0001140361-19-021719
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20191126
FILED AS OF DATE: 20191129
DATE AS OF CHANGE: 20191129
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BAE JOSEPH Y
CENTRAL INDEX KEY: 0001208917
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34820
FILM NUMBER: 191261785
MAIL ADDRESS:
STREET 1: C/O KKR & CO. INC.
STREET 2: 9 WEST 57TH STREET, SUITE 4200
CITY: NEW YORK
STATE: NY
ZIP: 10019
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
2019-11-26
0001404912
KKR & Co. Inc.
KKR
0001208917
BAE JOSEPH Y
C/O KKR & CO. L.P.,,
9 WEST 57TH STREET, 42ND FLOOR
NEW YORK
NY
10019
true
true
Co-President & Co-COO
Class A Common Stock
2019-11-26
5
G
0
250000
0
D
750000
I
See Footnote
Class A Common Stock
609126
D
Class A Common Stock
1482
I
By Trust
Class A Common Stock
7166
I
By Limited Liability Company
KKR Holdings L.P. Units
2019-11-27
5
G
0
562320
0
A
Class A Common Stock
562320
6418000
I
See footnote
KKR Holdings L.P. Units
Class A Common Stock
6208819
6208819
D
KKR Holdings L.P. Units
Class A Common Stock
370578
370578
I
By Trust
This Form 4 reports the donation of 250,000 shares of Class A common stock of KKR & Co. Inc. by a limited partnership (the "Charitable Partnership"), which is an entity controlled by the Reporting Person, to a charitable organization. As previously reported on a Form 4 filed on May 18, 2018, 1,250,000 shares of Class A common stock were being held by the Charitable Partnership solely for purposes of charitable donations, and after the donation of 250,000 shares being reported hereby and prior donations, the Charitable Partnership continues to hold the remaining 750,000 shares of Class A common stock for future donations.
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 collectively to Class A partner interests in each of KKR Management Holdings L.P., KKR Fund Holdings L.P. and KKR International Holdings L.P.) along with corresponding shares of Class C common stock of KKR & Co. Inc. on a one-for-one basis, and KKR Group Partnership Units and corresponding shares of Class C common stock are exchangeable for shares of Class A common stock of KKR & Co. Inc. on a one-for-one basis.
On November 27, 2019, for estate planning purposes, the Reporting Person made a gift of certain limited partner interests in the limited partnership described in footnote 4 below (the "Partnership"), to a trust for the benefit of the Reporting Person's family members. 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 568,000 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
2019-11-29