-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, FX2ZNSwkFybTtlORbK/slIkrw6ya+3iyDqtuR7OXZTUa9bZRkhAhj1RuNfPf1TD/ yvpUHMymU1kIlyBGBMl3dw== 0000898382-10-000028.txt : 20101210 0000898382-10-000028.hdr.sgml : 20101210 20101210144455 ACCESSION NUMBER: 0000898382-10-000028 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101208 FILED AS OF DATE: 20101210 DATE AS OF CHANGE: 20101210 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: COOPERMAN LEON G CENTRAL INDEX KEY: 0000898382 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33437 FILM NUMBER: 101244662 MAIL ADDRESS: STREET 1: 88 PINE STREET STREET 2: WALL ST PLAZA 31ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10005 4 1 primary_doc.xml PRIMARY DOCUMENT X0303 4 2010-12-08 0 0001386926 KKR Financial Holdings LLC KFN 0000898382 COOPERMAN LEON G 88 PINE STREET WALL ST PLAZA 31ST FLOOR NEW YORK NY 10005 0 0 1 0 Common Stock 2010-12-08 4 P 0 935400 9.0865 A 7963954 I Investment Entities Common Stock 2010-12-08 4 P 0 164600 9.0865 A 7462913 I Managed Accounts Common Stock 2500000 D Common Stock 200000 I Cooperman Foundation Common Stock 10360 I JCF Metrowest Foundation 7% Convertible Senior Notes due 2012 31 2012-07-15 Common Stock 161291 161291 D 7.5 % Convertible Senior Notes due 2017 8.04 2017-01-15 Common Stock 746269 746269 D 7.5 % Convertible Senior Notes due 2017 8.04 2017-01-15 Common Stock 1243781 1243781 I Watchung Road Associates 7.5 % Convertible Senior Notes due 2017 8.04 2017-01-15 Common Stock 74627 74627 I Cooperman Foundation 7.5 % Convertible Senior Notes due 2017 8.04 2017-01-15 Common Stock 49751 49751 I NJ Performing Arts Foundation Represents weighted average price. Full information regarding the number of shares purchased at each separate price will be provided by the reporting person upon request to the staff of the SEC, the Issuer, or a security holder of the Issuer. The securities are held in the accounts of private investment entities over which the reporting person has investment discretion. The reporting person disclaims beneficial ownership except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose. The securities are held in managed accounts over which the reporting person has investment discretion. The reporting person disclaims beneficial ownership except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose. The securities are held in the account of the Leon & Toby Cooperman Foundation over which the reporting person has investment discretion. The reporting person disclaims beneficial ownership of these securities, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose. The securities are held in the account of the JCF Metrowest Foundation over which the reporting person has investment discretion. The reporting person disclaims beneficial ownership of these securities, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose. The Notes are convertible (i) at any time prior to the close of business on the business day preceding any redemption of the notes, to the extent such notes are called for redemption, (ii) upon the satisfaction of certain market price or trading price conditions or the occurrence of certain specified transactions or (iii) at any time between June 15, 2012 and the close of business on the business day preceding the stated maturity date, July 15, 2012. The Notes are convertible at the Company's option either for the number of shares of common stock listed in Table II, for cash or for a combination thereof. Subject to adjustment. The Notes are convertible at any time prior to the close of business on the business day preceding (i) any redemption of the notes; to the extent such notes are called for redemption, (ii) any termination of conversion rights or (iii) the stated maturity date, January 15, 2017. The securities are held in the account of a family limited partnership over which the reporting person has investment discretion. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose. The securities are held in the account of the NJ Performing Arts Foundation over which the reporting person has investment discretion. The reporting person disclaims beneficial ownership of these securities, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose. Alan M. Stark, attorney in fact for Leon G. Cooperman 2010-12-10 -----END PRIVACY-ENHANCED MESSAGE-----