-----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, M8yzphOPRVD6THfcD1cJI7fwmY/hElXyc7aZsBk7b0Pq5olH3MDjC6lD/zV0GtML KUi33sy94zcbZTy05vZiUg== 0000898382-11-000004.txt : 20110203 0000898382-11-000004.hdr.sgml : 20110203 20110203155727 ACCESSION NUMBER: 0000898382-11-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110118 FILED AS OF DATE: 20110203 DATE AS OF CHANGE: 20110203 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: 11570369 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 2011-01-18 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 7466913 I Managed Accounts Common Stock 7963954 I Investment Entities Common Stock 2500000 D Common Stock 200000 I Cooperman Foundation Common Stock 10360 I JCF Metrowest Foundation $10,000,000 7.5% Convertible Senior Notes due 2017 7.96 2011-01-18 4 J 0 10000000 10000000 D 2017-01-15 Common Stock 1256281 0 I Watchung Road Associates $1,000,000 7.5% Convertible Senior Notes due 2017 7.96 2011-01-18 4 J 0 1000000 1000000 A 2017-01-15 Common Stock 125628 1000000 I Son $4,000,000 7.5% Convertible Senior Notes due 2017 7.96 2011-01-18 4 J 0 4000000 4000000 A 2017-01-15 Common Stock 502512 4000000 I Trust F/B/O Michael S. Cooperman $5,000,000 7% Convertible Senior Notes due 2012 31 2012-07-15 Common Stock 161291 5000000 D $6,000,000 7.5% Convertible Senior Notes due 2017 7.96 2017-01-15 Common Stock 753769 6000000 D $600,000 7.5% Convertible Senior Notes due 2017 7.96 2017-01-15 Common Stock 75377 600000 I Cooperman Foundation $400,000 7.5% Convertible Senior Notes due 2017 7.96 2017-01-15 Common Stock 50251 400000 I NJ Performing Arts Foundation 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 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 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. 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. Watchung Road Associates, a family limited partnership, was dissolved and its assets distributed. Michael S. Cooperman received $1,000,000 of the 7.5% Convertible Senior Notes due 2017. Michael S. Cooperman WRA Trust dated 11/29/10 received $4,000,000 of the 7.5% Convertible Senior Notes due 2017. The securities are held in the account of Michael S. Cooperman 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 Michael S. Cooperman WRA Trust dated 11/29/10 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. 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 2011-02-03 -----END PRIVACY-ENHANCED MESSAGE-----