Securities Registration (section 12(b)) (8-a12b)
January 17 2013 - 4:41PM
Edgar (US Regulatory)
As filed with the Securities and Exchange Commission on January 17, 2013
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
FORM 8-A
FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES
PURSUANT TO SECTION 12(b) OR 12(g) OF THE
SECURITIES EXCHANGE ACT OF 1934
KKR Financial Holdings LLC
(Exact name of registrant as specified in its charter)
Delaware
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001-33437
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11-3801844
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(State or other jurisdiction of
incorporation)
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(Commission File Number)
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(I.R.S. Employer Identification No.)
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555 California Street, 50th Floor
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San Francisco, California
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94104
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(Address of principal executive offices)
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(Zip Code)
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Title of Each Class
to be so Registered
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Name of Each Exchange on Which
Each Class is to be Registered
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7.375% Series A LLC Preferred Shares
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New York Stock Exchange
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If this form relates to the registration of a class of securities pursuant to Section 12(b) of the Exchange Act and is effective pursuant to General Instruction A.(c), please check the following box.
x
If this form relates to the registration of a class of securities pursuant to Section 12(g) of the Exchange Act and is effective pursuant to General Instruction A.(d), please check the following box.
o
Securities Act registration statement file number to which this form relates:
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333-167479
(If applicable)
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Securities to be registered pursuant to Section 12(b) of the Act:
Securities to be registered pursuant to Section 12(g) of the Act:
None
(Title of Class)
Item 1:
Description of Registrants Securities to be Registered
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The descriptions of
the 7.375% Series A LLC Preferred Shares of KKR Financial Holdings LLC (the Company)
contained in (i) the section captioned Description of Shares in the Prospectus
dated November 7, 2011 (the Prospectus), which was filed by the Company and certain of its affiliates in an immediately effective post-effective amendment under Rule 462(e) under the Securities Act of 1933, as amended (the Securities Act), to the Companys Registration Statement on
Form S-3 (No. 333-167479) and (ii) the section captioned Description of the Series A LLC Preferred Shares in the supplement to the Prospectus filed on January 11, 2013
pursuant to Rule 424(b) under the Securities Act
, are each incorporated herein by reference.
Item 2:
Exhibits
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3.1
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Amended and Restated Operating Agreement of the Registrant, dated May 3, 2007, as amended May 7, 2009 (incorporated by reference to Exhibit 3.1 to our Quarterly Report on Form 10-Q (File No. 001-33437) filed with the SEC on August 6, 2009).
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3.2
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Amendment No. 1 to the Amended and Restated Operating Agreement of the Registrant, dated February 28, 2010 (incorporated by reference to Exhibit 3.2 to our Annual Report on Form 10-K (File No. 001-33437) filed with the SEC on March 1, 2010).
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3.3
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Amendment No. 2 to the Amended and Restated Operating Agreement of the Registrant, dated January 10, 2013 (incorporated by reference to Exhibit 3.1 to our Current Report on Form 8-K (File No. 001-33437) filed with the SEC on Janaury 11, 2013).
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3.4
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Form of certificate evidencing common shares in KKR Financial Holdings LLC (incorporated by reference to Exhibit 4.3 to our Registration Statement on Form S-3 (No. 333-167479) filed with the SEC on June 11, 2010).
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3.5
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Indenture governing the senior notes and guarantees of the senior notes by and between the Company and Wilmington Trust, National Association, as Trustee (incorporated by reference to Exhibit 4.1 to our Current Report on Form 8-K filed with the SEC on November 15, 2011).
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3.6
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First Supplemental Indenture dated as of November 15, 2011 among the Company and Wilmington Trust, National Association, as Trustee, and Citibank, N.A., as Authenticating Agent, Paying Agent and Security Registrar and (incorporated by reference to Exhibit 4.2 to our Current Report on Form 8-K filed with the SEC on November 15, 2011).
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3.7
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Form of 8.375% Senior Note due 2041 (incorporated by reference to Exhibit 4.3 to our Current Report on Form 8-K filed with the SEC on November 15, 2011).
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3.8
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Second Supplemental Indenture dated as of March 20, 2012 among the Company and Wilmington Trust, National Association, as Trustee, and Citibank, N.A., as Authenticating Agent, Paying Agent and Security Registrar (incorporated by reference to Exhibit 4.2 to our Current Report on Form 8-K filed with the SEC on March 20, 2012).
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3.9
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Form of 7.500% Senior Note due 2042 (incorporated by reference to Exhibit 4.3 to our Current Report on Form 8-K filed with the SEC on March 20, 2012).
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3.10
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Share Designation of the Registrant with respect to the 7.375% Series A LLC Preferred Shares dated January 17, 2013 (incorporated by reference to Exhibit 3.1 to our Current Report on Form 8-K filed with the SEC on January 17, 2013).
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4.1
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Form of 7.375% Series A LLC Preferred Share Global Certificate. (incorporated by reference to Exhibit 4.1 to our Current Report on Form 8-K filed with the SEC on January 17, 2013).
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2
SIGNATURE
Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized.
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KKR FINANCIAL HOLDINGS LLC
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Date: January 17, 2013
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By:
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/s/
Michael R. McFerran
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Name:
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Michael R. McFerran
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Title:
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Chief Financial Officer
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3
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