Form Type: 4

SEC EDGAR Link
Accession Number:0001140361-20-012363
Date:2020-05-20
Issuer: KKR & CO. INC. (KKR)
Original Submission Date:

Reporting Person:

SORKIN DAVID
C/O KKR & CO. INC.
9 WEST 57TH STREET, 42ND FLOOR NEW YORK, NY 10019

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2020-05-20 S 26,333 d $26.56 0 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
KKR HOLDINGS L.P. UNITS 0.0 2020-05-20 deemed execution date G 337,500 (d) common stock 337,500 $0.00 1,758,333 indirect see footnote
KKR HOLDINGS L.P. UNITS 0.0 2020-05-20 deemed execution date G 112,500 (a) common stock 112,500 $0.00 1,758,333 indirect see footnote
KKR HOLDINGS L.P. UNITS 0.0 deemed execution date 0 ( ) common stock 1,665,260 $0.00 1,665,260 direct
Footnotes
IDfootnote
f1 reflects a weighted average sale price. these shares of common stock of kkr & co. inc. were sold in multiple transactions at prices ranging from $26.54 to $26.61, inclusive. the reporting person will provide, upon request by the staff of the securities and exchange commission, the issuer, or a security holder of the issuer, full information regarding the number of shares of common stock sold at each separate price.
f2 pursuant to an exchange agreement as disclosed in kkr & co. inc.'s prospectus dated september 21, 2011, filed with the securities and exchange commission ("sec") on september 23, 2011, as amended by a post-effective amendment filed with the sec on july 2, 2018, units of kkr holdings l.p. are exchangeable for class a partner interests in kkr group partnership l.p. along with corresponding shares of series ii preferred stock of kkr & co. inc. on a one-for-one basis, and kkr group partnership l.p. units and corresponding shares of series ii preferred stock are exchangeable for shares of common stock of kkr & co. inc. on a one-for-one basis.
f3 on may 20, 2020, for estate planning purposes, the reporting person's family member made a gift of certain limited partner interests in the limited partnership described in footnote 4 below (the "partnership"), gifting a portion of such interests to a trust for the benefit of the reporting person's other family members, of which the reporting person is trustee, and a portion of such interests to a separate trust for the benefit of the reporting person's family members. the number reported reflects the portion of units of kkr holdings l.p. held by the partnership that corresponds to the limited partner interests gifted on such date. the gift was exempt from matching pursuant to rule 16b-5 under the securities exchange act of 1934 (the "exchange act").
f4 these securities are held by a limited partnership, whose general partner is a limited liability company over which the reporting person has investment discretion. the number reported as beneficially owned following the reported transaction reflects the aggregate number of units of kkr holdings l.p. held by the partnership.
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