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