0000898382-13-000001.txt : 20130107 0000898382-13-000001.hdr.sgml : 20130107 20130107104457 ACCESSION NUMBER: 0000898382-13-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130103 FILED AS OF DATE: 20130107 DATE AS OF CHANGE: 20130107 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: 13514094 MAIL ADDRESS: STREET 1: 2700 NORTH MILITARY TRAIL STREET 2: SUITE 230 CITY: BOCA RATON STATE: FL ZIP: 33301 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2013-01-03 1 0001386926 KKR Financial Holdings LLC kfn 0000898382 COOPERMAN LEON G 2700 NORTH MILITARY TRAIL SUITE 230 BOCA RATON FL 33301 0 0 1 0 Common Stock 2013-01-03 4 S 0 243500 10.83 D 5675869 I Managed Accounts Common Stock 2013-01-04 4 S 0 251000 10.82 D 5424869 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 $1,000,000 7.5% Convertible Note due 2017 7.05 2017-01-15 Common Stock 141826 141826 I Son $4,000,000 7.5% Convertible Note due 2017 7.05 2017-01-15 Common Stock 567302 567302 I Trust F/B/O Michael S. Cooperman $6,000,000 7.5% Convertible Note due 2017 7.05 2017-01-15 Common Stock 850924 850924 D $400,000 7.5% Convertible Note due 2017 7.05 2017-01-15 Common Stock 56730 56730 I NJ Performing Arts Foundation $600,000 7.5% Convertible Note due 2017 7.05 2017-01-15 Common Stock 85095 85095 I Omega Charitable Partnership, LP Represents weighted average purchase 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 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. 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 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 trust account for the benefit 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 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. The securities are held in the account of the Omega Charitable Partnership LP 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, POA on file 2013-01-07