0001179110-11-014248.txt : 20111014 0001179110-11-014248.hdr.sgml : 20111014 20111014185232 ACCESSION NUMBER: 0001179110-11-014248 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111014 FILED AS OF DATE: 20111014 DATE AS OF CHANGE: 20111014 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STROTHOTTE WILLY R CENTRAL INDEX KEY: 0001200084 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33437 FILM NUMBER: 111142690 MAIL ADDRESS: STREET 1: C/O CURTIS MALLET PREVOST STREET 2: 101 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10178 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 4 1 edgar.xml FORM 4 - X0304 4 2011-10-14 0 0001386926 KKR Financial Holdings LLC KFN 0001200084 STROTHOTTE WILLY R C/O KKR FINANCIAL HOLDINGS LLC 555 CALIFORNIA STREET, 50TH FLOOR SAN FRANCISCO CA 94104 1 0 0 0 Phantom Shares 2011-10-14 4 A 0 4738.71 8.59 A Common Shares 4738.71 136342.61 D Each phantom share is the economic equivalent of one common share. The phantom shares become payable, in cash or common shares, at the election of the Company, upon the earlier of (i) the first day of January following the reporting person's termination of service as a director or (ii) an election date pre-selected by the reporting person, and in any event in cash or common shares, at the election of the reporting person, upon the occurence of a change in control of the Company. Willy R. Strothotte 2011-10-14