Joseph Y. Bae - Oct 1, 2021 Form 4 Insider Report for KKR & Co. Inc. (KKR)

Role
Co-President & Co-COO, Director
Signature
/s/ Christopher Lee, Attorney-in-fact
Stock symbol
KKR
Transactions as of
Oct 1, 2021
Transactions value $
-$13,099,854
Form type
4
Date filed
10/4/2021, 06:01 PM
Next filing
Oct 12, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction KKR Common Stock Options Exercise +375K +11.21% 3.72M Oct 1, 2021 Direct F1
transaction KKR Common Stock Tax liability -$13.1M -215K -5.78% $60.88 3.5M Oct 1, 2021 Direct
holding KKR Common Stock 500K Oct 1, 2021 See Footnote F2
holding KKR Common Stock 1.48K Oct 1, 2021 By Trust
holding KKR Common Stock 7.17K Oct 1, 2021 By Limited Liability Company

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction KKR Restricted Stock Units Options Exercise $0 -375K -45.45% $0.00 450K Oct 1, 2021 Common Stock 375K Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 375,000 restricted stock units of KKR & Co. Inc. vested on October 1, 2021 and were settled for shares of common stock of KKR & Co. Inc. on a one-for-one basis. The remaining 450,000 restricted stock units will vest on October 1, 2022.
F2 These shares of common stock are being held by a limited partnership controlled by the Reporting Person solely for purposes of future charitable donations.

Remarks:

Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended, the Reporting Person states that this filing shall not be an admission that the Reporting Person is the beneficial owner of any of the securities reported herein as indirectly owned, and the Reporting Person disclaims beneficial ownership of such securities except to the extent of the Reporting Person's pecuniary interest therein.