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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) | ||
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1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Restricted Holdings Units | (1) (2) | 12/29/2023 | A | 400,000 | (1)(2) | (1)(2) | Common Stock | 400,000 | $ 0 | 400,000 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| HOLMES DANE E C/O KKR & CO. INC. 30 HUDSON YARDS NEW YORK, NY 10001 |
Chief Administrative Officer | |||
| /s/ Christopher Lee, Attorney-in-fact | 01/03/2024 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| (1) | Represents 400,000 restricted holdings units granted pursuant to the Amended and Restated KKR & Co. Inc. 2019 Equity Incentive Plan, 200,000 of which will vest in six equal installments commencing on October 1, 2024 and then each May 1st from May 1, 2025 through May 1, 2029, subject to continued service through each respective vesting date, and another 200,000 of which are subject to market price and cliff service vesting conditions based on average prices of KKR & Co. Inc. common stock ranging from $95.80 to $135.80 and the Reporting Person's continued service until December 31, 2028, subject to exceptions (including continued service if the market price vesting conditions are satisfied between December 31, 2028 and December 31, 2029). |
| (2) | Upon vesting, subject to certain conditions, the Reporting Person may exchange one restricted holdings unit for one share of common stock of KKR & Co. Inc. |