Form 13F-HR Kohlberg Kravis Roberts For: Sep 30
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The Securities and Exchange Commission has not necessarily reviewed
the information in this filing and has not determined if it is
accurate and complete.
The reader should not assume that the information is accurate
and complete.
|
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
|
| OMB APPROVAL |
| OMB Number: |
3235-0006 |
| Expires: |
July 31, 2015 |
| Estimated average burden |
| hours per response: |
23.8 |
|
|
| Report for the Calendar Year or Quarter Ended: |
09-30-2014 |
| Check here if Amendment |
|
Amendment Number: |
|
| This Amendment (Check only one.): |
|
is a restatement. |
|
|
adds new holdings entries. |
| Institutional Investment Manager Filing
this Report: |
| Name: |
Kohlberg Kravis Roberts & Co. L.P. |
| Address: |
9 West 57th Street Suite 4200 |
|
|
|
New York
,
NY10019
|
| Form 13F File Number: |
028-12880 |
The institutional investment manager filing this report and
the person by whom it is signed hereby represent that the person
signing the report is authorized to submit it, that all information
contained herein is true, correct and complete, and that it is
understood that all required items, statements, schedules, lists, and
tables, are considered integral parts of this form.
| Person Signing this Report on Behalf of
Reporting Manager: |
| Name: |
David Sorkin |
| Title: |
General Counsel |
| Phone: |
(212) 750-8300 |
| Signature, Place, and Date of Signing: |
| /s/ David Sorkin |
New York
,
NY
|
11-14-2014 |
| [Signature] |
[City, State] |
[Date] |
|
| Report Type (Check only one.): |
| X |
13F HOLDINGS REPORT. (Check here if all holdings of
this reporting manager are reported in this report.) |
|
|
13F NOTICE. (Check here if no holdings reported are in
this report, and all holdings are reported by other reporting
manager(s).) |
|
|
13F COMBINATION REPORT. (Check here if a portion of
the holdings for this reporting manager are reported in this
report and a portion are reported by other reporting manager(s).) |
| Form 13F Summary Page |
|
Report Summary: |
|
Number of Other Included
Managers: |
2 |
|
|
|
Form 13F Information Table Entry Total: |
89 |
|
Form 13F Information Table Value Total: |
3,530,395 |
|
(thousands) |
|
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.]
|
|
|
Form 13F File Number |
Name |
|
28-13533 |
KKR Investment Management LLC |
|
28-14775 |
KKR Credit Advisors (US) LLC |
| List of Other Included
Managers: |
|
Provide a numbered list of the name(s) and Form 13F file number(s)
of all institutional investment managers with respect to which this
report is filed, other than the
manager filing this report.
|
|
[If there are no entries in this list, state “NONE” and omit the
column headings and list entries.]
|
|
No. |
Form 13F File Number |
Name |
|
1 |
28-13533 |
KKR Investment Management LLC |
|
2 |
28-14775 |
KKR Credit Advisors (US) LLC |
The Securities and Exchange Commission has not necessarily
reviewed the information in this filing and has not determined
if it is accurate and complete.
The reader should not assume that the information is
accurate and complete.
|
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F INFORMATION TABLE
|
| OMB APPROVAL |
| OMB Number: |
3235-0006 |
| Expires: |
July 31, 2015 |
| Estimated average
burden |
| hours per response:
|
23.8 |
|
|
| COLUMN 1 |
COLUMN 2 |
COLUMN 3 |
COLUMN 4 |
COLUMN 5 |
COLUMN 6 |
COLUMN 7 |
COLUMN 8 |
|
|
|
VALUE |
SHRS OR |
SH/ |
PUT/ |
INVESTMENT |
OTHER |
VOTING AUTHORITY |
| NAME OF ISSUER |
TITLE OF CLASS |
CUSIP |
(x$1000) |
PRN AMT |
PRN |
CALL |
DISCRETION |
MANAGER |
SOLE |
SHARED |
NONE |
| ACORDA THERAPEUTICS INC |
NOTE 1.750% 6/1 |
00484MAA4 |
3,126 |
3,000,000 |
PRN |
|
OTR |
1 |
0 |
3,000,000 |
0 |
| AKORN INC |
NOTE 3.500% 6/0 |
009728AB2 |
37,204 |
9,000,000 |
PRN |
|
OTR |
1 |
0 |
9,000,000 |
0 |
| ALLY FINL INC |
COM |
02005N100 |
39,641 |
1,713,091 |
SH |
|
OTR |
2 |
0 |
1,713,091 |
0 |
| AMEDISYS INC |
COM |
023436108 |
97,554 |
4,836,608 |
SH |
|
OTR |
2 |
0 |
4,836,608 |
0 |
| AMERICAN INTL GROUP INC |
COM NEW |
026874784 |
7,422 |
137,400 |
SH |
|
OTR |
1 |
0 |
137,400 |
0 |
| AMERICAN INTL GROUP INC |
COM NEW |
026874784 |
1,621 |
30,000 |
SH |
|
OTR |
2 |
0 |
30,000 |
0 |
| AMERIPRISE FINL INC |
COM |
03076C106 |
5,712 |
46,300 |
SH |
|
OTR |
1 |
0 |
46,300 |
0 |
| ANADARKO PETE CORP |
COM |
032511107 |
5,905 |
58,215 |
SH |
|
OTR |
1 |
0 |
58,215 |
0 |
| ANADARKO PETE CORP |
COM |
032511107 |
2,029 |
20,000 |
SH |
Call |
OTR |
1 |
0 |
20,000 |
0 |
| APOLLO COML REAL EST FIN INC |
NOTE 5.500% 3/1 |
03762UAA3 |
995 |
1,000,000 |
PRN |
|
OTR |
1 |
0 |
1,000,000 |
0 |
| ASSOCIATED ESTATES RLTY CORP |
COM |
045604105 |
7,615 |
434,867 |
SH |
|
OTR |
1 |
0 |
434,867 |
0 |
| AVIS BUDGET GROUP |
NOTE 3.500%10/0 |
053774AB1 |
152,936 |
38,720,000 |
PRN |
|
OTR |
1 |
0 |
38,720,000 |
0 |
| BANK AMER CORP |
COM |
060505104 |
1,279 |
75,000 |
SH |
|
OTR |
2 |
0 |
75,000 |
0 |
| BARCLAYS BANK PLC |
ADR PFD SR 5 |
06739H362 |
2,116 |
81,469 |
SH |
|
OTR |
2 |
0 |
81,469 |
0 |
| CADENCE DESIGN SYSTEM INC |
NOTE 2.625% 6/0 |
127387AJ7 |
13,725 |
6,000,000 |
PRN |
|
OTR |
1 |
0 |
6,000,000 |
0 |
| CBS CORP NEW |
CL B |
124857202 |
6,370 |
119,060 |
SH |
|
OTR |
1 |
0 |
119,060 |
0 |
| CHARTER COMMUNICATIONS INC D |
CL A NEW |
16117M305 |
2,960 |
19,553 |
SH |
|
OTR |
1 |
0 |
19,553 |
0 |
| CHENIERE ENERGY INC |
COM NEW |
16411R208 |
1,902 |
23,760 |
SH |
|
OTR |
1 |
0 |
23,760 |
0 |
| COMCAST CORP NEW |
CL A |
20030N101 |
1,245 |
23,155 |
SH |
|
OTR |
1 |
0 |
23,155 |
0 |
| CONTINENTAL AIRLS INC |
NOTE 4.500% 1/1 |
210795PU8 |
11,582 |
4,670,000 |
PRN |
|
OTR |
1 |
0 |
4,670,000 |
0 |
| CROWN CASTLE INTL CORP |
COM |
228227104 |
5,274 |
65,490 |
SH |
|
OTR |
1 |
0 |
65,490 |
0 |
| DEERE & CO |
COM |
244199105 |
459 |
5,600 |
SH |
|
OTR |
2 |
0 |
5,600 |
0 |
| DISCOVER FINL SVCS |
COM |
254709108 |
6,684 |
103,800 |
SH |
|
OTR |
1 |
0 |
103,800 |
0 |
| DISH NETWORK CORP |
CL A |
25470M109 |
2,948 |
45,650 |
SH |
|
OTR |
1 |
0 |
45,650 |
0 |
| ENDO HEALTH SOLUTIONS INC |
NOTE 1.750% 4/1 |
29264FAB2 |
9,056 |
4,000,000 |
PRN |
|
OTR |
1 |
0 |
4,000,000 |
0 |
| ENERSYS |
NOTE 3.375% 6/0 |
29275YAA0 |
19,955 |
13,000,000 |
PRN |
|
OTR |
1 |
0 |
13,000,000 |
0 |
| EOG RES INC |
COM |
26875P101 |
2,859 |
28,870 |
SH |
|
OTR |
1 |
0 |
28,870 |
0 |
| EQT CORP |
COM |
26884L109 |
3,331 |
36,390 |
SH |
|
OTR |
1 |
0 |
36,390 |
0 |
| ESSEX RENT CORP |
COM |
297187106 |
840 |
400,000 |
SH |
|
OTR |
2 |
0 |
400,000 |
0 |
| FMC TECHNOLOGIES INC |
COM |
30249U101 |
5,667 |
104,350 |
SH |
|
OTR |
1 |
0 |
104,350 |
0 |
| FRANCESCAS HLDGS CORP |
COM |
351793104 |
28,517 |
2,047,194 |
SH |
|
OTR |
1 |
0 |
2,047,194 |
0 |
| FXCM INC |
NOTE 2.250% 6/1 |
302693AB2 |
2,089 |
2,000,000 |
PRN |
|
OTR |
2 |
0 |
2,000,000 |
0 |
| FXCM INC |
COM CL A |
302693106 |
1,068 |
67,386 |
SH |
|
OTR |
2 |
0 |
67,386 |
0 |
| GILEAD SCIENCES INC |
NOTE 1.625% 5/0 |
375558AP8 |
207,393 |
44,505,000 |
PRN |
|
OTR |
1 |
0 |
44,505,000 |
0 |
| GREENBRIER COS INC |
NOTE 3.500% 4/0 |
393657AH4 |
3,084 |
1,500,000 |
PRN |
|
OTR |
1 |
0 |
1,500,000 |
0 |
| GULFPORT ENERGY CORP |
COM NEW |
402635304 |
2,847 |
53,318 |
SH |
|
OTR |
1 |
0 |
53,318 |
0 |
| GULFPORT ENERGY CORP |
COM NEW |
402635304 |
1,976 |
37,000 |
SH |
Call |
OTR |
1 |
0 |
37,000 |
0 |
| HALLIBURTON CO |
COM |
406216101 |
6,290 |
97,500 |
SH |
|
OTR |
1 |
0 |
97,500 |
0 |
| HARBINGER GROUP INC |
COM |
41146A106 |
5,422 |
413,246 |
SH |
|
OTR |
2 |
0 |
413,246 |
0 |
| HCA HOLDINGS INC |
COM |
40412C101 |
1,050,045 |
14,890,038 |
SH |
|
OTR |
|
0 |
14,890,038 |
0 |
| HEALTH CARE REIT INC |
PFD PER CON I |
42217K601 |
1,430 |
25,000 |
SH |
|
OTR |
1 |
0 |
25,000 |
0 |
| HESS CORP |
COM |
42809H107 |
4,720 |
50,040 |
SH |
|
OTR |
1 |
0 |
50,040 |
0 |
| HSN INC |
COM |
404303109 |
565 |
9,200 |
SH |
|
OTR |
1 |
0 |
9,200 |
0 |
| ICONIX BRAND GROUP INC |
NOTE 1.500% 3/1 |
451055AF4 |
12,315 |
9,500,000 |
PRN |
|
OTR |
1 |
0 |
9,500,000 |
0 |
| INTL PAPER CO |
COM |
460146103 |
293 |
6,140 |
SH |
|
OTR |
1 |
0 |
6,140 |
0 |
| JARDEN CORP |
NOTE 1.875% 9/1 |
471109AH1 |
2,740 |
2,000,000 |
PRN |
|
OTR |
1 |
0 |
2,000,000 |
0 |
| KAPSTONE PAPER & PACKAGING C |
COM |
48562P103 |
853 |
30,500 |
SH |
|
OTR |
1 |
0 |
30,500 |
0 |
| KKR & CO L P DEL |
COM UNITS |
48248M102 |
104,078 |
4,667,166 |
SH |
|
OTR |
1 |
0 |
4,667,166 |
0 |
| LIBERTY INTERACTIVE CORP |
INT COM SER A |
53071M104 |
2,739 |
113,460 |
SH |
|
OTR |
1 |
0 |
113,460 |
0 |
| LORILLARD INC |
COM |
544147101 |
300 |
5,000 |
SH |
|
OTR |
2 |
0 |
5,000 |
0 |
| MARKEL CORP |
COM |
570535104 |
954 |
1,500 |
SH |
|
OTR |
2 |
0 |
1,500 |
0 |
| MARVELL TECHNOLOGY GROUP LTD |
ORD |
G5876H105 |
89,590 |
6,646,127 |
SH |
|
OTR |
1 |
0 |
6,646,127 |
0 |
| METLIFE INC |
UNIT 99/99/9999 |
59156R116 |
42,628 |
1,405,000 |
SH |
|
OTR |
1 |
0 |
1,405,000 |
0 |
| NEWMONT MINING CORP |
COM |
651639106 |
1,037 |
45,000 |
SH |
Call |
OTR |
1 |
0 |
45,000 |
0 |
| NIELSEN N V |
COM |
N63218106 |
681,210 |
15,366,790 |
SH |
|
OTR |
|
0 |
15,366,790 |
0 |
| OCWEN FINL CORP |
COM NEW |
675746309 |
9,818 |
375,000 |
SH |
|
OTR |
2 |
0 |
375,000 |
0 |
| PENN VA CORP |
COM |
707882106 |
2,913 |
229,220 |
SH |
|
OTR |
1 |
0 |
229,220 |
0 |
| PENN VA CORP |
COM |
707882106 |
2,220 |
174,700 |
SH |
Call |
OTR |
1 |
0 |
174,700 |
0 |
| PINNACLE ENTMT INC |
COM |
723456109 |
1,631 |
65,000 |
SH |
|
OTR |
2 |
0 |
65,000 |
0 |
| POWERSHARES ETF TRUST II |
SENIOR LN PORT |
73936Q769 |
2,110 |
86,900 |
SH |
|
OTR |
1 |
0 |
86,900 |
0 |
| PRICELINE GRP INC |
DEBT 1.000% 3/1 |
741503AQ9 |
8,694 |
6,500,000 |
PRN |
|
OTR |
1 |
0 |
6,500,000 |
0 |
| PRICELINE GRP INC |
NOTE 0.350% 6/1 |
741503AS5 |
1,118 |
1,000,000 |
PRN |
|
OTR |
2 |
0 |
1,000,000 |
0 |
| PROSHARES TR |
SHRT 20+YR TRE |
74347X849 |
555 |
20,000 |
SH |
|
OTR |
1 |
0 |
20,000 |
0 |
| PROSPECT CAPITAL CORPORATION |
NOTE 5.375%10/1 |
74348TAK8 |
1,033 |
1,000,000 |
PRN |
|
OTR |
2 |
0 |
1,000,000 |
0 |
| RIGNET INC |
COM |
766582100 |
192,138 |
4,750,000 |
SH |
|
OTR |
|
0 |
4,750,000 |
0 |
| ROCK-TENN CO |
CL A |
772739207 |
285 |
6,000 |
SH |
|
OTR |
1 |
0 |
6,000 |
0 |
| SALESFORCE COM INC |
NOTE 0.250% 4/0 |
79466LAD6 |
1,120 |
1,000,000 |
PRN |
|
OTR |
2 |
0 |
1,000,000 |
0 |
| SALESFORCE COM INC |
NOTE 0.750% 1/1 |
79466LAB0 |
47,330 |
17,760,000 |
PRN |
|
OTR |
1 |
0 |
17,760,000 |
0 |
| SANDISK CORP |
NOTE 1.500% 8/1 |
80004CAD3 |
17,325 |
9,000,000 |
PRN |
|
OTR |
1 |
0 |
9,000,000 |
0 |
| SPANSION LLC |
NOTE 2.000% 9/0 |
84649PAL9 |
5,224 |
3,000,000 |
PRN |
|
OTR |
1 |
0 |
3,000,000 |
0 |
| SPDR S&P 500 ETF TR |
TR UNIT |
78462F103 |
48,270 |
245,000 |
SH |
Put |
OTR |
1 |
0 |
245,000 |
0 |
| SPDR SERIES TRUST |
BRC HGH YLD BD |
78464A417 |
10,495 |
261,200 |
SH |
|
OTR |
1 |
0 |
261,200 |
0 |
| SPDR SERIES TRUST |
S&P OILGAS EXP |
78464A730 |
4,130 |
60,000 |
SH |
Put |
OTR |
1 |
0 |
60,000 |
0 |
| STARWOOD PPTY TR INC |
NOTE 4.000% 1/1 |
85571BAB1 |
1,086 |
1,000,000 |
PRN |
|
OTR |
2 |
0 |
1,000,000 |
0 |
| TEREX CORP NEW |
NOTE 4.000% 6/0 |
880779AV5 |
15,131 |
7,515,000 |
PRN |
|
OTR |
1 |
0 |
7,515,000 |
0 |
| TIME WARNER CABLE INC |
COM |
88732J207 |
3,940 |
27,455 |
SH |
|
OTR |
1 |
0 |
27,455 |
0 |
| TOLL BROS FIN CORP |
NOTE 0.500% 9/1 |
88947EAM2 |
759 |
750,000 |
PRN |
|
OTR |
2 |
0 |
750,000 |
0 |
| TRAVELPORT WORLDWIDE LTD |
SHS |
G9019D104 |
19,087 |
1,159,622 |
SH |
|
OTR |
2 |
0 |
1,159,622 |
0 |
| TWENTY FIRST CENTY FOX INC |
CL A |
90130A101 |
5,088 |
148,378 |
SH |
|
OTR |
1 |
0 |
148,378 |
0 |
| TYSON FOODS INC |
UNIT 99/99/9999 |
902494301 |
5,036 |
100,000 |
SH |
|
OTR |
1 |
0 |
100,000 |
0 |
| UNITED THERAPEUTICS CORP DEL |
NOTE 1.000% 9/1 |
91307CAF9 |
8,242 |
3,000,000 |
PRN |
|
OTR |
1 |
0 |
3,000,000 |
0 |
| VIASYSTEMS GROUP INC |
COM PAR$.01 |
92553H803 |
155 |
9,900 |
SH |
|
OTR |
2 |
0 |
9,900 |
0 |
| WALGREEN CO |
COM |
931422109 |
380,771 |
6,424,340 |
SH |
|
OTR |
|
0 |
6,424,340 |
0 |
| WALKER & DUNLOP INC |
COM |
93148P102 |
7,192 |
541,196 |
SH |
|
OTR |
2 |
0 |
541,196 |
0 |
| WALTER INVT MGMT CORP |
COM |
93317W102 |
768 |
35,000 |
SH |
|
OTR |
2 |
0 |
35,000 |
0 |
| WISDOMTREE TR |
INDIA ERNGS FD |
97717W422 |
3,179 |
145,100 |
SH |
|
OTR |
1 |
0 |
145,100 |
0 |
| WORKDAY INC |
NOTE 1.500% 7/1 |
98138HAD3 |
2,460 |
2,000,000 |
PRN |
|
OTR |
1 |
0 |
2,000,000 |
0 |
| XILINX INC |
NOTE 2.625% 6/1 |
983919AF8 |
5,910 |
4,000,000 |
PRN |
|
OTR |
1 |
0 |
4,000,000 |
0 |
| YPF SOCIEDAD ANONIMA |
SPON ADR CL D |
984245100 |
987 |
26,685 |
SH |
|
OTR |
1 |
0 |
26,685 |
0 |
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