Amended Statement of Changes in Beneficial Ownership (4/a)
February 12 2021 - 6:49PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
BAE JOSEPH Y |
2. Issuer Name and Ticker or Trading Symbol
KKR & Co. Inc.
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KKR
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Co-President & Co-COO |
(Last)
(First)
(Middle)
C/O KKR & CO. INC., 30 HUDSON YARDS |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/21/2021 |
(Street)
NEW YORK, NY 10001
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
1/22/2021 |
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 1/21/2021 | | M | | 2500000 | A | (2) | 3300328 (1) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | This Amendment to Form 4 does not report a new transaction. This Amendment is being filed solely to correct a mathematical error in the sum reported for the Amount of Securities Beneficially Owned following the transaction previously reported in a Form 4 filed on January 22, 2021 (the "Original Form 4"). There is no other change to the Original Form 4. |
(2) | Represents the vesting of 2,500,000 restricted equity units granted on November 2, 2017, which were subject to market price-based vesting condition and vested upon the closing price of KKR common stock reaching and maintaining $40 per share for 10 consecutive trading days, which condition was met on January 21, 2021. On the date of the grant of these restricted equity units, the closing price of KKR common units was $19.90 per unit. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
BAE JOSEPH Y C/O KKR & CO. INC. 30 HUDSON YARDS NEW YORK, NY 10001 | X |
| Co-President & Co-COO |
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Signatures
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/s/ Christopher Lee, Attorney-in-fact | | 2/12/2021 |
**Signature of Reporting Person | Date |
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