Form 4 for KKR KKR & Co.
Accepted 2022-05-31 00:00:00 ET · period of report 2022-05-31 · accession 0001140361-22-021360 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2022-05-31 | 2022-05-31 | KKR | NUTTALL SCOTT C | Co-CEO, Dir | M - OptEx | — | +15.91M | 18.27M | +676% | — |
| D | 2022-05-31 | 2022-05-31 | KKR | NUTTALL SCOTT C | Co-CEO, Dir | A - Grant | — | +523.7K | 18.79M | +3% | — |
| DMI | 2022-05-31 | 2022-05-31 | KKR | NUTTALL SCOTT C | Co-CEO, Dir | M - OptEx | — | +1.57M | 125.4K | New | — |
| DMI | 2022-05-31 | 2022-05-31 | KKR | NUTTALL SCOTT C | Co-CEO, Dir | A - Grant | — | +51.6K | 129.3K | +66% | — |
| DMI | 2022-05-31 | 2022-05-31 | KKR | NUTTALL SCOTT C | Co-CEO, Dir | M - OptEx | $0.00 | -1.57M | 0 | -100% | $0 |
| D | 2022-05-31 | 2022-05-31 | KKR | NUTTALL SCOTT C | Co-CEO, Dir | M - OptEx | $0.00 | -15.91M | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2022-05-31 | M | A | 15,912,621 | — | 18,267,792 | D See footnote | — | — | (F1) In connection with certain mergers pursuant to a Reorganization Agreement, dated as of October 8, 2021 (the "Mergers"), on May 31, 2022 holders of common stock of KKR & Co. Inc. immediately prior to the Mergers ("Former KKR") and all holders of interests in KKR Holdings L.P. immediately prior to the Mergers received shares of the same common stock on a one-for-one basis in a new parent company for Former KKR's business ("New KKR"), following which, New KKR was renamed "KKR & Co. Inc." and Former KKR was renamed "KKR Group Co. Inc.", which is now a wholly-owned subsidiary of New KKR. Prior to the Mergers, units of KKR Holdings L.P. were exchangeable for KKR Group Partnership Units (which term refers to Class A partner interests in KKR Group Partnership L.P.) and with shares of Series II preferred stock of Former KKR on a one-for-one basis, which together were exchangeable for shares of common stock of Former KKR on a one-for-one basis. (F3) These securities are held by a limited partnership, whose general partner is a limited liability company over which the Reporting Person has investment discretion. |
| 2 | Common | Common Stock | 2022-05-31 | A | A | 523,727 | — | 18,791,519 | D See footnote | — | — | (F2) In connection with the Mergers and in addition to the issuance of shares of New KKR as noted above, KKR Holdings L.P. merged with a subsidiary of New KKR and limited partners of KKR Holdings L.P. were issued an aggregate of 8.5 million shares of common stock of New KKR, which shares are not transferable prior to the earlier of (i) December 31, 2026 and (ii) the six-month anniversary of the first date on which the death or permanent disability of both Mr. Henry Kravis and Mr. George Roberts has occurred (or any earlier date consented to by KKR Management LLP in its sole discretion). The number of shares reported as acquired herein represents the holder's pro rata portion of the 8.5 million shares issued to the former limited partners of KKR Holdings L.P. (F3) These securities are held by a limited partnership, whose general partner is a limited liability company over which the Reporting Person has investment discretion. |
| 3 | Common | Common Stock | 2022-05-31 | M | A | 1,450,000 | — | 1,450,000 | I By Trust | — | — | (F1) In connection with certain mergers pursuant to a Reorganization Agreement, dated as of October 8, 2021 (the "Mergers"), on May 31, 2022 holders of common stock of KKR & Co. Inc. immediately prior to the Mergers ("Former KKR") and all holders of interests in KKR Holdings L.P. immediately prior to the Mergers received shares of the same common stock on a one-for-one basis in a new parent company for Former KKR's business ("New KKR"), following which, New KKR was renamed "KKR & Co. Inc." and Former KKR was renamed "KKR Group Co. Inc.", which is now a wholly-owned subsidiary of New KKR. Prior to the Mergers, units of KKR Holdings L.P. were exchangeable for KKR Group Partnership Units (which term refers to Class A partner interests in KKR Group Partnership L.P.) and with shares of Series II preferred stock of Former KKR on a one-for-one basis, which together were exchangeable for shares of common stock of Former KKR on a one-for-one basis. |
| 4 | Common | Common Stock | 2022-05-31 | A | A | 47,723 | — | 1,497,723 | I By Trust | — | — | (F2) In connection with the Mergers and in addition to the issuance of shares of New KKR as noted above, KKR Holdings L.P. merged with a subsidiary of New KKR and limited partners of KKR Holdings L.P. were issued an aggregate of 8.5 million shares of common stock of New KKR, which shares are not transferable prior to the earlier of (i) December 31, 2026 and (ii) the six-month anniversary of the first date on which the death or permanent disability of both Mr. Henry Kravis and Mr. George Roberts has occurred (or any earlier date consented to by KKR Management LLP in its sole discretion). The number of shares reported as acquired herein represents the holder's pro rata portion of the 8.5 million shares issued to the former limited partners of KKR Holdings L.P. |
| 5 | Common | Common Stock | 2022-05-31 | A | A | 3,906 | — | 129,301 | I | — | — | (F2) In connection with the Mergers and in addition to the issuance of shares of New KKR as noted above, KKR Holdings L.P. merged with a subsidiary of New KKR and limited partners of KKR Holdings L.P. were issued an aggregate of 8.5 million shares of common stock of New KKR, which shares are not transferable prior to the earlier of (i) December 31, 2026 and (ii) the six-month anniversary of the first date on which the death or permanent disability of both Mr. Henry Kravis and Mr. George Roberts has occurred (or any earlier date consented to by KKR Management LLP in its sole discretion). The number of shares reported as acquired herein represents the holder's pro rata portion of the 8.5 million shares issued to the former limited partners of KKR Holdings L.P. |
| 6 | Common | Common Stock | 2022-05-31 | M | A | 118,673 | — | 125,395 | I | — | — | (F1) In connection with certain mergers pursuant to a Reorganization Agreement, dated as of October 8, 2021 (the "Mergers"), on May 31, 2022 holders of common stock of KKR & Co. Inc. immediately prior to the Mergers ("Former KKR") and all holders of interests in KKR Holdings L.P. immediately prior to the Mergers received shares of the same common stock on a one-for-one basis in a new parent company for Former KKR's business ("New KKR"), following which, New KKR was renamed "KKR & Co. Inc." and Former KKR was renamed "KKR Group Co. Inc.", which is now a wholly-owned subsidiary of New KKR. Prior to the Mergers, units of KKR Holdings L.P. were exchangeable for KKR Group Partnership Units (which term refers to Class A partner interests in KKR Group Partnership L.P.) and with shares of Series II preferred stock of Former KKR on a one-for-one basis, which together were exchangeable for shares of common stock of Former KKR on a one-for-one basis. |
| 7 | Derivative | KKR Holdings L.P. Units | 2022-05-31 | M | D | 1,450,000 | $0.00 | 0 | I By Trust | — · — to — | 1,450,000 Common Stock | (F1) In connection with certain mergers pursuant to a Reorganization Agreement, dated as of October 8, 2021 (the "Mergers"), on May 31, 2022 holders of common stock of KKR & Co. Inc. immediately prior to the Mergers ("Former KKR") and all holders of interests in KKR Holdings L.P. immediately prior to the Mergers received shares of the same common stock on a one-for-one basis in a new parent company for Former KKR's business ("New KKR"), following which, New KKR was renamed "KKR & Co. Inc." and Former KKR was renamed "KKR Group Co. Inc.", which is now a wholly-owned subsidiary of New KKR. Prior to the Mergers, units of KKR Holdings L.P. were exchangeable for KKR Group Partnership Units (which term refers to Class A partner interests in KKR Group Partnership L.P.) and with shares of Series II preferred stock of Former KKR on a one-for-one basis, which together were exchangeable for shares of common stock of Former KKR on a one-for-one basis. |
| 8 | Derivative | KKR Holdings L.P. Units | 2022-05-31 | M | D | 118,673 | $0.00 | 0 | I | — · — to — | 118,673 Common Stock | (F1) In connection with certain mergers pursuant to a Reorganization Agreement, dated as of October 8, 2021 (the "Mergers"), on May 31, 2022 holders of common stock of KKR & Co. Inc. immediately prior to the Mergers ("Former KKR") and all holders of interests in KKR Holdings L.P. immediately prior to the Mergers received shares of the same common stock on a one-for-one basis in a new parent company for Former KKR's business ("New KKR"), following which, New KKR was renamed "KKR & Co. Inc." and Former KKR was renamed "KKR Group Co. Inc.", which is now a wholly-owned subsidiary of New KKR. Prior to the Mergers, units of KKR Holdings L.P. were exchangeable for KKR Group Partnership Units (which term refers to Class A partner interests in KKR Group Partnership L.P.) and with shares of Series II preferred stock of Former KKR on a one-for-one basis, which together were exchangeable for shares of common stock of Former KKR on a one-for-one basis. |
| 9 | Derivative | KKR Holdings L.P. Units | 2022-05-31 | M | D | 15,912,621 | $0.00 | 0 | D See footnote | — · — to — | 15,912,621 Common Stock | (F3) These securities are held by a limited partnership, whose general partner is a limited liability company over which the Reporting Person has investment discretion. (F1) In connection with certain mergers pursuant to a Reorganization Agreement, dated as of October 8, 2021 (the "Mergers"), on May 31, 2022 holders of common stock of KKR & Co. Inc. immediately prior to the Mergers ("Former KKR") and all holders of interests in KKR Holdings L.P. immediately prior to the Mergers received shares of the same common stock on a one-for-one basis in a new parent company for Former KKR's business ("New KKR"), following which, New KKR was renamed "KKR & Co. Inc." and Former KKR was renamed "KKR Group Co. Inc.", which is now a wholly-owned subsidiary of New KKR. Prior to the Mergers, units of KKR Holdings L.P. were exchangeable for KKR Group Partnership Units (which term refers to Class A partner interests in KKR Group Partnership L.P.) and with shares of Series II preferred stock of Former KKR on a one-for-one basis, which together were exchangeable for shares of common stock of Former KKR on a one-for-one basis. |