KKR

SEC source: 0001104659-16-148682 · a4.xml · nonDerivative · entry 1

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,095

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 6,219 restricted equity units of KKR & Co. L.P. vested on October 1, 2016 and were settled for common units of KKR & Co. L.P. on a one-for-one basis.

SEC source: 0001104659-16-148680 · a4.xml · derivative · entry 2

SCULLY ROBERT W · CIK 0001352881 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Units · 6,219 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 6,219 restricted equity units of KKR & Co. L.P. vested on October 1, 2016 and were settled for common units of KKR & Co. L.P. on a one-for-one basis.

F1 · derivative.exercise_date: 6,219 restricted equity units of KKR & Co. L.P. vested on October 1, 2016 and were settled for common units of KKR & Co. L.P. on a one-for-one basis.

F1 · derivative.expiration_date: 6,219 restricted equity units of KKR & Co. L.P. vested on October 1, 2016 and were settled for common units of KKR & Co. L.P. on a one-for-one basis.

SEC source: 0001104659-16-148680 · a4.xml · nonDerivative · entry 1

SCULLY ROBERT W · CIK 0001352881 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,495

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 6,219 restricted equity units of KKR & Co. L.P. vested on October 1, 2016 and were settled for common units of KKR & Co. L.P. on a one-for-one basis.

SEC source: 0001104659-16-148676 · a4.xml · derivative · entry 2

GRUNDFEST JOSEPH · CIK 0001206103 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Units · 6,219 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 6,219 restricted equity units of KKR & Co. L.P. vested on October 1, 2016 and were settled for common units of KKR & Co. L.P. on a one-for-one basis.

F1 · derivative.exercise_date: 6,219 restricted equity units of KKR & Co. L.P. vested on October 1, 2016 and were settled for common units of KKR & Co. L.P. on a one-for-one basis.

F1 · derivative.expiration_date: 6,219 restricted equity units of KKR & Co. L.P. vested on October 1, 2016 and were settled for common units of KKR & Co. L.P. on a one-for-one basis.

F2 · ownership.nature: These securities are held by the Reporting Person's living trust.

SEC source: 0001104659-16-148676 · a4.xml · nonDerivative · entry 1

GRUNDFEST JOSEPH · CIK 0001206103 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 49,495

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 6,219 restricted equity units of KKR & Co. L.P. vested on October 1, 2016 and were settled for common units of KKR & Co. L.P. on a one-for-one basis.

F2 · ownership.nature: These securities are held by the Reporting Person's living trust.

SEC source: 0001104659-16-148675 · a4.xml · derivative · entry 2

Drummond David C · CIK 0001295030 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Units · 6,219 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: 6,219 restricted equity units of KKR & Co. L.P. vested on October 1, 2016 and were settled for common units of KKR & Co. L.P. on a one-for-one basis.

F1 · derivative.exercise_date: 6,219 restricted equity units of KKR & Co. L.P. vested on October 1, 2016 and were settled for common units of KKR & Co. L.P. on a one-for-one basis.

F1 · derivative.expiration_date: 6,219 restricted equity units of KKR & Co. L.P. vested on October 1, 2016 and were settled for common units of KKR & Co. L.P. on a one-for-one basis.

F2 · ownership.nature: These securities are held by the Reporting Person's living trust.

SEC source: 0001104659-16-148675 · a4.xml · nonDerivative · entry 1

Drummond David C · CIK 0001295030 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 14,879

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: 6,219 restricted equity units of KKR & Co. L.P. vested on October 1, 2016 and were settled for common units of KKR & Co. L.P. on a one-for-one basis.

F2 · ownership.nature: These securities are held by the Reporting Person's living trust.

SEC source: 0001140361-16-084935 · doc1.xml · derivative · entry 1

Sorkin David · CIK 0001494539 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 400,000

Underlying: Common Units · 89,100 shares

Expires not disclosed

F1 · derivative.exercise_price: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P., KKR Fund Holdings L.P. and KKR International Holdings L.P.) on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F2 · kind: On August 31, 2016, for estate planning purposes, the Reporting Person made a gift of certain limited partner interests in the limited partnership described in footnote 3 below (the "Partnership"), to a trust (the "Trust") of which the Reporting Person is not a trustee. The number reported reflects the portion of units of KKR Holdings L.P. held by the Partnership that corresponds to the limited partner interests gifted to the Trust on such date. The gift was exempt from matching pursuant to Rule 16b-5 under the Securities Exchange Act of 1934 (the "Exchange Act").

F2 · shares: On August 31, 2016, for estate planning purposes, the Reporting Person made a gift of certain limited partner interests in the limited partnership described in footnote 3 below (the "Partnership"), to a trust (the "Trust") of which the Reporting Person is not a trustee. The number reported reflects the portion of units of KKR Holdings L.P. held by the Partnership that corresponds to the limited partner interests gifted to the Trust on such date. The gift was exempt from matching pursuant to Rule 16b-5 under the Securities Exchange Act of 1934 (the "Exchange Act").

F1 · derivative.exercise_date: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P., KKR Fund Holdings L.P. and KKR International Holdings L.P.) on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F1 · derivative.expiration_date: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P., KKR Fund Holdings L.P. and KKR International Holdings L.P.) on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F2 · derivative.underlying_shares: On August 31, 2016, for estate planning purposes, the Reporting Person made a gift of certain limited partner interests in the limited partnership described in footnote 3 below (the "Partnership"), to a trust (the "Trust") of which the Reporting Person is not a trustee. The number reported reflects the portion of units of KKR Holdings L.P. held by the Partnership that corresponds to the limited partner interests gifted to the Trust on such date. The gift was exempt from matching pursuant to Rule 16b-5 under the Securities Exchange Act of 1934 (the "Exchange Act").

F3 · ownership.nature: These securities are held by the Partnership, whose general partner is a limited liability company over which the Reporting Person has investment discretion. The number reported reflects the aggregate number of units of KKR Holdings L.P. held by the Partnership.

SEC source: 0001140361-16-084931 · doc1.xml · derivative · entry 1

FISHER TODD A · CIK 0001206470 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,000,000

Underlying: Common Units · 495,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P., KKR Fund Holdings L.P. and KKR International Holdings L.P.) on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F2 · kind: On August 31, 2016, for estate planning purposes, the Reporting Person made a gift of certain limited partner interests in the limited partnership described in footnote 3 below (the "Partnership"), to the trust described in footnote 6 below (the "Trust"). The number reported reflects the portion of units of KKR Holdings L.P. held by the Partnership that corresponds to the limited partner interests gifted to the Trust on such date. The gift was exempt from matching pursuant to Rule 16b-5 under the Securities Exchange Act of 1934 (the "Exchange Act").

F2 · shares: On August 31, 2016, for estate planning purposes, the Reporting Person made a gift of certain limited partner interests in the limited partnership described in footnote 3 below (the "Partnership"), to the trust described in footnote 6 below (the "Trust"). The number reported reflects the portion of units of KKR Holdings L.P. held by the Partnership that corresponds to the limited partner interests gifted to the Trust on such date. The gift was exempt from matching pursuant to Rule 16b-5 under the Securities Exchange Act of 1934 (the "Exchange Act").

F1 · derivative.exercise_date: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P., KKR Fund Holdings L.P. and KKR International Holdings L.P.) on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F1 · derivative.expiration_date: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P., KKR Fund Holdings L.P. and KKR International Holdings L.P.) on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F2 · derivative.underlying_shares: On August 31, 2016, for estate planning purposes, the Reporting Person made a gift of certain limited partner interests in the limited partnership described in footnote 3 below (the "Partnership"), to the trust described in footnote 6 below (the "Trust"). The number reported reflects the portion of units of KKR Holdings L.P. held by the Partnership that corresponds to the limited partner interests gifted to the Trust on such date. The gift was exempt from matching pursuant to Rule 16b-5 under the Securities Exchange Act of 1934 (the "Exchange Act").

F3 · ownership.nature: These securities are held by the Partnership, whose general partner is a limited liability company over which the Reporting Person has investment discretion. The number reported reflects the aggregate number of units of KKR Holdings L.P. held by the Partnership.

SEC source: 0001104659-15-017198 · a4.xml · nonDerivative · entry 1

KRAVIS HENRY R · CIK 0001081714 · Director · Co-Chairman and Co-CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,000,000

F1 · kind: This Form 4 reports the gift of 1,000,000 common units by a limited partnership (the "Partnership"), which is an entity beneficially owned by the Reporting Person, to a charitable foundation in which the Reporting Person has no pecuniary interest. The Partnership continues to hold the remaining 1,000,000 common units.

F1 · ownership.nature: This Form 4 reports the gift of 1,000,000 common units by a limited partnership (the "Partnership"), which is an entity beneficially owned by the Reporting Person, to a charitable foundation in which the Reporting Person has no pecuniary interest. The Partnership continues to hold the remaining 1,000,000 common units.

SEC source: 0001104659-14-078519 · a4.xml · derivative · entry 9

KRAVIS HENRY R · CIK 0001081714 · Director · Co-Chairman and Co-CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Units · 1,000,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P., KKR Fund Holdings L.P. and KKR International Holdings L.P.) on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F1 · kind: This Form 4 reports the transfer of securities (as described in footnote 10) by the Reporting Person to a limited partnership (the "Partnership"), which is an entity beneficially owned by the Reporting Person, and the exchange of these securities by the Partnership (as described in footnotes 2 and 3). The Reporting Person continues to beneficially own the securities received upon exchange. (Continued in footnote 2)

F2 · kind: (Continued from footnote 1) In particular, the Partnership, of which the Reporting Person is the general partner, received KKR Group Partnership Units from KKR Holdings L.P. in exchange for units of KKR Holdings L.P. and exchanged such KKR Group Partnership Units for common units of KKR & Co. L.P., in each case as described in footnote 3 below. The common units held by the Partnership were not gifted, sold or otherwise disposed of.

F3 · kind: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P., KKR Fund Holdings L.P. and KKR International Holdings L.P.) on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F3 · derivative.exercise_date: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P., KKR Fund Holdings L.P. and KKR International Holdings L.P.) on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F3 · derivative.expiration_date: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P., KKR Fund Holdings L.P. and KKR International Holdings L.P.) on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F4 · ownership.nature: These securities are held by the Partnership.

SEC source: 0001104659-14-078519 · a4.xml · nonDerivative · entry 1

KRAVIS HENRY R · CIK 0001081714 · Director · Co-Chairman and Co-CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,000,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: This Form 4 reports the transfer of securities (as described in footnote 10) by the Reporting Person to a limited partnership (the "Partnership"), which is an entity beneficially owned by the Reporting Person, and the exchange of these securities by the Partnership (as described in footnotes 2 and 3). The Reporting Person continues to beneficially own the securities received upon exchange. (Continued in footnote 2)

F2 · kind: (Continued from footnote 1) In particular, the Partnership, of which the Reporting Person is the general partner, received KKR Group Partnership Units from KKR Holdings L.P. in exchange for units of KKR Holdings L.P. and exchanged such KKR Group Partnership Units for common units of KKR & Co. L.P., in each case as described in footnote 3 below. The common units held by the Partnership were not gifted, sold or otherwise disposed of.

F3 · kind: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P., KKR Fund Holdings L.P. and KKR International Holdings L.P.) on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F3 · price: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P., KKR Fund Holdings L.P. and KKR International Holdings L.P.) on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F4 · ownership.nature: These securities are held by the Partnership.

SEC source: 0001104659-14-078519 · a4.xml · derivative · entry 8

KRAVIS HENRY R · CIK 0001081714 · Director · Co-Chairman and Co-CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,000,000

Underlying: Common Units · 1,000,000 shares

Expires not disclosed

F3 · derivative.exercise_price: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P., KKR Fund Holdings L.P. and KKR International Holdings L.P.) on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F10 · kind: Reflects a transfer by the Reporting Person to the Partnership, which was exempt from earlier reporting pursuant to Rule 16(a)-3(f) and (g). The Reporting Person continued to beneficially own such securities following the transfer.

F3 · derivative.exercise_date: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P., KKR Fund Holdings L.P. and KKR International Holdings L.P.) on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F3 · derivative.expiration_date: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P., KKR Fund Holdings L.P. and KKR International Holdings L.P.) on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F4 · ownership.nature: These securities are held by the Partnership.

SEC source: 0001104659-14-078519 · a4.xml · derivative · entry 7

KRAVIS HENRY R · CIK 0001081714 · Director · Co-Chairman and Co-CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,814,740

Underlying: Common Units · 1,000,000 shares

Expires not disclosed

F3 · derivative.exercise_price: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P., KKR Fund Holdings L.P. and KKR International Holdings L.P.) on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F10 · kind: Reflects a transfer by the Reporting Person to the Partnership, which was exempt from earlier reporting pursuant to Rule 16(a)-3(f) and (g). The Reporting Person continued to beneficially own such securities following the transfer.

F3 · derivative.exercise_date: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P., KKR Fund Holdings L.P. and KKR International Holdings L.P.) on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F3 · derivative.expiration_date: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P., KKR Fund Holdings L.P. and KKR International Holdings L.P.) on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

SEC source: 0001104659-14-034204 · a4.xml · nonDerivative · entry 4

KRAVIS HENRY R · CIK 0001081714 · Director · Co-Chairman and Co-CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 15,227

F1 · price: Represents common units of KKR & Co. L.P. received pursuant to the Agreement and Plan of Merger, dated as of December 16, 2013, between KKR & Co. L.P., KKR Financial Holdings LLC and other parties thereto. At the effective time of the merger, each common share of KKR Financial Holdings LLC beneficially owned by the Reporting Person was cancelled and converted automatically into the right to receive 0.51 common units of KKR & Co. L.P.

F4 · ownership.nature: These common units are held by the Reporting Person's spouse.

SEC source: 0001104659-14-034204 · a4.xml · nonDerivative · entry 3

KRAVIS HENRY R · CIK 0001081714 · Director · Co-Chairman and Co-CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 43,299

F1 · price: Represents common units of KKR & Co. L.P. received pursuant to the Agreement and Plan of Merger, dated as of December 16, 2013, between KKR & Co. L.P., KKR Financial Holdings LLC and other parties thereto. At the effective time of the merger, each common share of KKR Financial Holdings LLC beneficially owned by the Reporting Person was cancelled and converted automatically into the right to receive 0.51 common units of KKR & Co. L.P.

F3 · ownership.nature: These common units are held by a trust of which the Reporting Person is a trustee.

SEC source: 0001104659-14-034204 · a4.xml · nonDerivative · entry 2

KRAVIS HENRY R · CIK 0001081714 · Director · Co-Chairman and Co-CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 130,925

F1 · price: Represents common units of KKR & Co. L.P. received pursuant to the Agreement and Plan of Merger, dated as of December 16, 2013, between KKR & Co. L.P., KKR Financial Holdings LLC and other parties thereto. At the effective time of the merger, each common share of KKR Financial Holdings LLC beneficially owned by the Reporting Person was cancelled and converted automatically into the right to receive 0.51 common units of KKR & Co. L.P.

F2 · ownership.nature: These common units are held by a limited liability company of which the Reporting Person is the managing member.

SEC source: 0001104659-14-034204 · a4.xml · nonDerivative · entry 1

KRAVIS HENRY R · CIK 0001081714 · Director · Co-Chairman and Co-CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,105,832

F1 · price: Represents common units of KKR & Co. L.P. received pursuant to the Agreement and Plan of Merger, dated as of December 16, 2013, between KKR & Co. L.P., KKR Financial Holdings LLC and other parties thereto. At the effective time of the merger, each common share of KKR Financial Holdings LLC beneficially owned by the Reporting Person was cancelled and converted automatically into the right to receive 0.51 common units of KKR & Co. L.P.

SEC source: 0001104659-14-012362 · a4.xml · derivative · entry 5

KRAVIS HENRY R · CIK 0001081714 · Director · Co-Chairman and Co-CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Units · 1,000,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F1 · kind: A limited partnership (the "Charitable Partnership") established by the Reporting Person for the purposes of making charitable donations, of which the Reporting Person is the general partner, received KKR Group Partnership Units (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P. and KKR Fund Holdings L.P.) from KKR Holdings L.P. in exchange for units of KKR Holdings L.P. and exchanged such KKR Group Partnership Units for common units of KKR & Co. L.P., in each case as described in footnote 2 below.

F2 · derivative.exercise_date: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F2 · derivative.expiration_date: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F3 · ownership.nature: These securities are held by the Charitable Partnership.

SEC source: 0001104659-14-012362 · a4.xml · nonDerivative · entry 1

KRAVIS HENRY R · CIK 0001081714 · Director · Co-Chairman and Co-CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,000,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: A limited partnership (the "Charitable Partnership") established by the Reporting Person for the purposes of making charitable donations, of which the Reporting Person is the general partner, received KKR Group Partnership Units (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P. and KKR Fund Holdings L.P.) from KKR Holdings L.P. in exchange for units of KKR Holdings L.P. and exchanged such KKR Group Partnership Units for common units of KKR & Co. L.P., in each case as described in footnote 2 below.

F2 · price: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F3 · ownership.nature: These securities are held by the Charitable Partnership.

SEC source: 0001104659-14-009218 · a4.xml · nonDerivative · entry 1

KRAVIS HENRY R · CIK 0001081714 · Director · Co-Chairman and Co-CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

F1 · kind: Represents a gift from a limited partnership (the "Charitable Partnership") established for the purposes of making charitable donations of which the Reporting Person is the general partner to a charitable foundation in which the Reporting Person has no pecuniary interest.

F2 · ownership.nature: These securities are held by the Charitable Partnership.

SEC source: 0001104659-14-009218 · a4.xml · derivative · entry 6

KRAVIS HENRY R · CIK 0001081714 · Director · Co-Chairman and Co-CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,000,000

Underlying: Common Units · 1,000,000 shares

Expires not disclosed

F7 · derivative.exercise_price: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F8 · kind: Represents a gift by the Reporting Person to the Charitable Partnership, which was exempt from earlier reporting pursuant to Rule 16a-3(f) and (g).

F7 · derivative.exercise_date: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F7 · derivative.expiration_date: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F2 · ownership.nature: These securities are held by the Charitable Partnership.

SEC source: 0001104659-14-009218 · a4.xml · derivative · entry 5

KRAVIS HENRY R · CIK 0001081714 · Director · Co-Chairman and Co-CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,814,740

Underlying: Common Units · 1,000,000 shares

Expires not disclosed

F7 · derivative.exercise_price: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F8 · kind: Represents a gift by the Reporting Person to the Charitable Partnership, which was exempt from earlier reporting pursuant to Rule 16a-3(f) and (g).

F7 · derivative.exercise_date: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F7 · derivative.expiration_date: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

SEC source: 0001104659-12-074970 · a4.xml · derivative · entry 7

KRAVIS HENRY R · CIK 0001081714 · Director · Co-Chairman and Co-CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Units · 3,000,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · security: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F7 · derivative.exercise_price: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F2 · kind: The Charitable Partnership received KKR Group Partnership Units (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P. and KKR Fund Holdings L.P.) from KKR Holdings L.P. in exchange for units of KKR Holdings L.P. and exchanged such KKR Group Partnership Units for common units of KKR & Co. L.P., in each case as described in footnote 7 below.

F7 · derivative.exercise_date: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F7 · derivative.expiration_date: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F7 · derivative.underlying: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F1 · ownership.nature: After receiving the securities as decribed in footnote 2, these 3,000,000 units were held by a limited partnership (the "Charitable Partnership") established by the Reporting Person for the purposes of making charitable donations, of which the Reporting Person is the general partner. After the gift as described in footnote 3, the Charitable Partnership continues to hold 1,500,000 units.

SEC source: 0001104659-12-074970 · a4.xml · nonDerivative · entry 2

KRAVIS HENRY R · CIK 0001081714 · Director · Co-Chairman and Co-CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 1,500,000

F3 · kind: The Charitable Partnership gifted 1,500,000 units to The Marie-Josee and Henry R. Kravis Foundation, a charitable foundation in which the Reporting Person has no pecuniary interest. The remaining 1,500,000 units will not be donated or otherwise disposed of in 2012.

F1 · ownership.nature: After receiving the securities as decribed in footnote 2, these 3,000,000 units were held by a limited partnership (the "Charitable Partnership") established by the Reporting Person for the purposes of making charitable donations, of which the Reporting Person is the general partner. After the gift as described in footnote 3, the Charitable Partnership continues to hold 1,500,000 units.

F3 · ownership.nature: The Charitable Partnership gifted 1,500,000 units to The Marie-Josee and Henry R. Kravis Foundation, a charitable foundation in which the Reporting Person has no pecuniary interest. The remaining 1,500,000 units will not be donated or otherwise disposed of in 2012.

SEC source: 0001104659-12-074970 · a4.xml · nonDerivative · entry 1

KRAVIS HENRY R · CIK 0001081714 · Director · Co-Chairman and Co-CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,000,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · kind: The Charitable Partnership received KKR Group Partnership Units (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P. and KKR Fund Holdings L.P.) from KKR Holdings L.P. in exchange for units of KKR Holdings L.P. and exchanged such KKR Group Partnership Units for common units of KKR & Co. L.P., in each case as described in footnote 7 below.

F7 · price: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F1 · ownership.nature: After receiving the securities as decribed in footnote 2, these 3,000,000 units were held by a limited partnership (the "Charitable Partnership") established by the Reporting Person for the purposes of making charitable donations, of which the Reporting Person is the general partner. After the gift as described in footnote 3, the Charitable Partnership continues to hold 1,500,000 units.

SEC source: 0001104659-12-074970 · a4.xml · derivative · entry 6

KRAVIS HENRY R · CIK 0001081714 · Director · Co-Chairman and Co-CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,000,000

Underlying: Common Units · 3,000,000 shares

Expires not disclosed

F7 · security: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F7 · derivative.exercise_price: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F8 · kind: Represents a gift by the Reporting Person to the Charitable Partnership.

F7 · derivative.exercise_date: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F7 · derivative.expiration_date: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F7 · derivative.underlying: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F1 · ownership.nature: After receiving the securities as decribed in footnote 2, these 3,000,000 units were held by a limited partnership (the "Charitable Partnership") established by the Reporting Person for the purposes of making charitable donations, of which the Reporting Person is the general partner. After the gift as described in footnote 3, the Charitable Partnership continues to hold 1,500,000 units.

SEC source: 0001104659-12-074970 · a4.xml · derivative · entry 5

KRAVIS HENRY R · CIK 0001081714 · Director · Co-Chairman and Co-CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,814,740

Underlying: Common Units · 3,000,000 shares

Expires not disclosed

F7 · security: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F7 · derivative.exercise_price: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F8 · kind: Represents a gift by the Reporting Person to the Charitable Partnership.

F7 · derivative.exercise_date: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F7 · derivative.expiration_date: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F7 · derivative.underlying: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

SEC source: 0001104659-12-058733 · a4.xml · derivative · entry 1

KRAVIS HENRY R · CIK 0001081714 · Director · Co-Chairman and Co-CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,500,000

Underlying: Common Units · 172,500 shares

Expires not disclosed

F2 · security: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P. and KKR Fund Holdings L.P.) on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F2 · derivative.exercise_price: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P. and KKR Fund Holdings L.P.) on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F1 · kind: This Form 4 reflects a gift of KKR Holdings L.P. units for estate planning purposes involving a limited partnership (the "Partnership"), whose general partner (the "General Partner") is a limited liability company of which the Reporting Person is the sole member and investment manager and whose limited partners are the Reporting Person and trusts (the "Trusts") of which the Reporting Person is not a trustee. The gift reflected in this Form 4 was exempt from reporting and matching pursuant to Rule 16b-5 under the Securities Exchange Act of 1934.

F3 · kind: On August 15, 2012, for estate planning purposes, the Reporting Person made a gift of certain limited partner interests in the Partnership, which were held as described in a previously filed Form 4, to the Trusts. The number reported reflects the portion of units of KKR Holdings L.P. held by the Partnership that corresponds to the limited partner interests gifted to the Trusts on such date.

F3 · shares: On August 15, 2012, for estate planning purposes, the Reporting Person made a gift of certain limited partner interests in the Partnership, which were held as described in a previously filed Form 4, to the Trusts. The number reported reflects the portion of units of KKR Holdings L.P. held by the Partnership that corresponds to the limited partner interests gifted to the Trusts on such date.

F2 · derivative.exercise_date: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P. and KKR Fund Holdings L.P.) on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F2 · derivative.expiration_date: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P. and KKR Fund Holdings L.P.) on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F2 · derivative.underlying: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P. and KKR Fund Holdings L.P.) on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis.

F3 · derivative.underlying_shares: On August 15, 2012, for estate planning purposes, the Reporting Person made a gift of certain limited partner interests in the Partnership, which were held as described in a previously filed Form 4, to the Trusts. The number reported reflects the portion of units of KKR Holdings L.P. held by the Partnership that corresponds to the limited partner interests gifted to the Trusts on such date.

F4 · ownership.nature: These units of KKR Holdings L.P. are held by the Partnership, and the number reported reflects the aggregate number of units of KKR Holdings L.P. held by the Partnership.

SEC source: 0001104659-11-066159 · a4.xml · derivative · entry 1

KRAVIS HENRY R · CIK 0001081714 · Director · Co-Chairman and Co-CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,500,000

Underlying: Common Units · 1,070,100 shares

Expires not disclosed

F2 · security: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P. and KKR Fund Holdings L.P.) on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis. In this Form 4 filing and in future filings, the Title of Derivative Security will be listed as "KKR Holdings L.P. Units" in replacement of "KKR Group Partnership Units."

F2 · derivative.exercise_price: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P. and KKR Fund Holdings L.P.) on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis. In this Form 4 filing and in future filings, the Title of Derivative Security will be listed as "KKR Holdings L.P. Units" in replacement of "KKR Group Partnership Units."

F1 · kind: This Form 4 reflects a gift and certain transfers of KKR Holdings L.P. units for estate planning purposes involving a limited partnership (the "Partnership"), whose general partner (the "General Partner") is a limited liability company of which the Reporting Person is the sole member and investment manager and whose limited partners are the Reporting Person and trusts (the "Trusts") of which the Reporting Person is not a trustee. The gift and transfers reflected in this Form 4 were exempt from reporting and/or matching pursuant to Rules 16a-13 and/or Rule 16b-5 under the Securities Exchange Act of 1934 (the "Exchange Act").

F3 · kind: On November 14, 2011, for estate planning purposes, the Reporting Person made a gift of certain of his limited partnership interests in the Partnership to the Trusts. Following this gift, the Trusts, in the aggregate, own a 71.34% limited partnership interest in the Partnership, and the Reporting Person owns a 27.66% limited partnership interest in the Partnership. The General Partner holds a 1% general partnership interest in the Partnership. The number reported reflects the portion of units of KKR Holdings L.P. held by the Partnership that corresponds to the limited partnership interests held by the Trusts.

F3 · shares: On November 14, 2011, for estate planning purposes, the Reporting Person made a gift of certain of his limited partnership interests in the Partnership to the Trusts. Following this gift, the Trusts, in the aggregate, own a 71.34% limited partnership interest in the Partnership, and the Reporting Person owns a 27.66% limited partnership interest in the Partnership. The General Partner holds a 1% general partnership interest in the Partnership. The number reported reflects the portion of units of KKR Holdings L.P. held by the Partnership that corresponds to the limited partnership interests held by the Trusts.

F2 · derivative.exercise_date: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P. and KKR Fund Holdings L.P.) on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis. In this Form 4 filing and in future filings, the Title of Derivative Security will be listed as "KKR Holdings L.P. Units" in replacement of "KKR Group Partnership Units."

F2 · derivative.expiration_date: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P. and KKR Fund Holdings L.P.) on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis. In this Form 4 filing and in future filings, the Title of Derivative Security will be listed as "KKR Holdings L.P. Units" in replacement of "KKR Group Partnership Units."

F2 · derivative.underlying: Pursuant to an exchange agreement as contemplated by KKR & Co. L.P.'s prospectus dated September 21, 2011, filed with the Securities and Exchange Commission on September 23, 2011, units of KKR Holdings L.P. are exchangeable for KKR Group Partnership Units (which term refers collectively to Class A partner interests in each of KKR Management Holdings L.P. and KKR Fund Holdings L.P.) on a one-for-one basis, and KKR Group Partnership Units are exchangeable for common units of KKR & Co. L.P. on a one-for-one basis. In this Form 4 filing and in future filings, the Title of Derivative Security will be listed as "KKR Holdings L.P. Units" in replacement of "KKR Group Partnership Units."

F3 · derivative.underlying_shares: On November 14, 2011, for estate planning purposes, the Reporting Person made a gift of certain of his limited partnership interests in the Partnership to the Trusts. Following this gift, the Trusts, in the aggregate, own a 71.34% limited partnership interest in the Partnership, and the Reporting Person owns a 27.66% limited partnership interest in the Partnership. The General Partner holds a 1% general partnership interest in the Partnership. The number reported reflects the portion of units of KKR Holdings L.P. held by the Partnership that corresponds to the limited partnership interests held by the Trusts.

F4 · balance_after: On October 1, 2011, (i) the Reporting Person contributed 15,000 units of KKR Holdings L.P. from the Reporting Person's direct ownership to the General Partner, (ii) the General Partner contributed such 15,000 units of KKR Holdings L.P. to the Partnership in return for which the General Partner received a 1% general partnership interest and (iii) the Reporting Person contributed 1,485,000 units of KKR Holdings L.P. from the Reporting Person's direct ownership to the Partnership in return for which he received a 99% limited partnership interest. These contributions, which were exempt from reporting pursuant to Rule 16a-13 under the Exchange Act, merely changed the form of the Reporting Person's pecuniary interest in such securities from direct to indirect and from one form of indirect to another form of indirect.

F5 · ownership.nature: These units of KKR Holdings L.P. are held by the Partnership, and the number reported reflects the aggregate number of units of KKR Holdings L.P. held by the Partnership.

SEC source: 0001104659-12-074940 · a4.xml · nonDerivative · entry 1

KRAVIS HENRY R · CIK 0001081714 · Director · Co-Chairman and Co-CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 4,667,166

F1 · kind: As a result of a reorganization of KKR MIF Fund Holdings, L.P., the Reporting Person ceased to have a reportable indirect pecuniary interest in a portion of the securities previously reported as held by KKR MIF Fund Holdings, L.P. due to the elimination of certain incentive fees. The total amount of securities shown as beneficially owned after the reported transaction is the same as the amount of securities beneficially owned prior to the reported transaction.

F2 · ownership.nature: KKR MIF Fund Holdings L.P. and KKR Reference Fund Investments L.P. hold an aggregate of 4,667,166 common units. KKR IFI GP L.P. is the general partner of KKR Reference Fund Investments L.P. and the general partner of KKR Index Fund Investments L.P., which is the sole shareholder of KKR MIF Carry Limited, which is the general partner of KKR MIF Carry Holdings L.P., which is the general partner of KKR MIF Fund Holdings L.P. The general partner of KKR IFI GP L.P. is KKR IFI Limited. The sole shareholder of KKR IFI Limited is KKR Fund Holdings L.P. [Footnote 2 continued in Footnote 3]

F3 · ownership.nature: [Continued from Footnote 2] A general partner of KKR Fund Holdings L.P. is KKR Fund Holdings GP Limited. The sole shareholder of KKR Fund Holdings GP Limited and a general partner of KKR Fund Holdings L.P. is KKR Group Holdings L.P. The sole partner of KKR Group Holdings L.P. is KKR Group Limited. The sole shareholder of KKR Group Limited is KKR & Co. L.P. The sole general partner of KKR & Co. L.P. is KKR Management LLC. In his capacity as a designated member of KKR Management LLC, the Reporting Person may be deemed to be a beneficial owner of the securities held by KKR MIF Fund Holdings, L.P. and KKR Reference Fund Investments L.P.

F5 · ownership.nature: Pursuant to Rule 16a-1(a)(4) of the Securities Exchange Act of 1934, as amended, the Reporting Person states that this filing shall not be deemed to be an admission that the Reporting Person is the beneficial owner of any of the securities reported herein, and the Reporting Person disclaims beneficial ownership of such securities except to the extent of the Reporting Person's pecuniary interest therein.