person · Reporting owner

RAETHER PAUL E

Disclosed activity across 15 companies

Tapewire entity: 16713
SEC CIK: 0001192062

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
BrightView Holdings, Inc.BV · Entity 4938	Director	June 28, 2018	June 28, 2018
DZS INC.ZHNE · Entity 17724	See footnote (1) below.	November 13, 2003	November 24, 2003
HCA Healthcare, Inc.HCA INC. · Entity 2929	10% owner	March 13, 2009	June 05, 2009
KINDERCARE LEARNING CENTERS INC /DEKDCR · Entity 17579	10% owner	January 07, 2005	January 11, 2005
KKR Acquisition Holdings I Corp.KAHC · Entity 131075	Director	March 16, 2021	March 16, 2021
Rockwood Holdings, Inc.ROC · Entity 16727	10% owner	August 12, 2005	August 13, 2005
SEALY CORPZZ · Entity 16658	10% owner	July 10, 2009	July 16, 2009

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

BrightView Holdings, Inc.

Report date June 28, 2018 · Filed June 28, 2018

This filing explicitly reported no securities owned.

DZS INC.

Report date November 13, 2003 · Filed November 24, 2003

Jointly reported with KKR 1996 GP LLC, RICHARRDSON NEIL A, STUART SCOTT M, KRAVIS HENRY R, KKR ZT LLC, KKR ASSOCIATES 1996 L P, KKR 1996 FUND L P, NAVAB ALEXANDER

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee below.	8,959,375	Reported balance Holding disclosure · report date 2003-11-13 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 8,959,375 F1: See the attached Joint Filer information.

Filing footnotes · ownership attribution and instrument terms

F1: See the attached Joint Filer information.

HCA Healthcare, Inc.

Report date March 13, 2009 · Filed June 05, 2009 · Amendment

Jointly reported with KKR & Co. LLC, KRAVIS HENRY R, ROBERTS GEORGE R, HUTH JOHANNES P, FISHER TODD A, NAVAB ALEXANDER

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectHeld through Hercules Holding II, LLC by KKR PEI Investments, L.P.	3,949,873.017	Reported balance After 2009-03-13 transaction · row 1 Amendment: may correct only part of an earlier disclosure. 1 source row Row 1 · 2009-03-13 · Other · Disposed 952,087.983 · Balance 3,949,873.017 F2: On March 13, 2009, KKR PEI Investments, L.P. ("PEI Investments") agreed to transfer a portion of its co-investments in five portfolio companies, including a portion of its units of Hercules Holding II, LLC, to 8 North America Investor L.P. (the "Buyer"), a KKR-sponsored co-investment fund, for an aggregate purchase price of $200,399,888 (pro rated equally among the five co-investments). PEI Investments agreed to transfer a number of its co-investment interests in these five companies with an aggregate fair value of $211,000,000 (pro rated equally among the five co-investments). (continued in footnote (3)) F3: PEI Investments agreed to transfer initially a number of its co-investment interests in these five portfolio companies (pro rated equally among the five co-investments) with an aggregate fair value of $211,000,000 based on their fair values as of December 31, 2008, which at the time of the initial transfer was the nearest date in respect of which such fair values had been determined. By agreement of the parties, this initial transfer was subject to a post-closing adjustment in the manner described below. This amendment to Form 4 is being filed to report the number of units of Hercules Holding II, LLC effectively transferred to the Buyer after giving effect to the post-closing adjustment. (continued in footnote (4)) F4: Under the agreement, after the determination of the aggregate fair value as of March 31, 2009 (which was the next date in respect of which such fair values were determined) of the five co-investment interests initially transferred to the Buyer, then (i) if such aggregate fair value as of March 31, 2009 were less than $211,000,000, PEI Investments would be required to transfer to the Buyer additional co-investment interests in the five companies (pro rated equally among the five co-investments) or (ii) if such aggregate fair value as of March 31, 2009 were greater than $211,000,000, the Buyer would be required to transfer back to PEI Investments a portion of the co-investment interests in the five companies initially transferred to the Buyer (pro rated equally among the five co-investments), in each case, (continued in footnote (5)) F5: such that the Buyer would then hold co-investment interests with an aggregate fair value equal to $211,000,000 (based on their fair values as of March 31, 2009), provided that the number of additional interests transferred to the Buyer or the number of interests transferred back to PEI Investments would not exceed $50,100,000 in the aggregate based on the fair value of these interests as of March 31, 2009. The number of units of Hercules Holding II, LLC which were transferred initially to the Buyer was 1,034,313.771. (continued in footnote (6)) F6: Pursuant to the post-closing adjustment described above, however, the Buyer was required to transfer back to PEI Investments 82,225.788 of the units of Hercules Holding II, LLC initially transferred to the Buyer, which post-closing adjustment transfer occurred on June 4, 2009. After giving effect to the post-closing adjustment, the number of units of Hercules Holding II, LLC effectively transferred to the Buyer was 952,087.983. The effective price of those units was $42.10 per unit, which was calculated solely for purposes of this filing by dividing the pro rated portion of the aggregate purchase price allocable to the co-investment interest in Hercules Holding II, LLC by the total number of units of Hercules Holding II, LLC effectively transferred. F1: Hercules Holding II, LLC holds 91,845,692 shares, or 97.3%, of the common stock, par value $0.01 per share (the "Shares"), of HCA Inc. (the "Issuer"). Hercules Holding II, LLC is held by a private investor group, including affiliates of each of Bain Capital Investors, LLC, Kohlberg Kravis Roberts & Co. L.P. and Bank of America Corporation and by affiliates of Dr. Thomas F. Frist, Jr., the founder of the Issuer. Each such person may be deemed to be a member of a group exercising voting and investment control over the Shares held by Hercules Holding II, LLC. However, each such person disclaims membership in any such group and disclaims beneficial ownership of such Shares, except to the extent of his or its pecuniary interest therein. Certain affiliates of Kohlberg Kravis Roberts & Co. L.P. collectively have the right under Hercules Holding II, LLC's limited liability company agreement to nominate up to three directors of the Issuer. F7: PEI Investments directly owns 3,949,873.017 units of Hercules Holding II, LLC (after giving effect to both the initial transfer and the post-closing adjustment) and therefore may be deemed to own indirectly the same number of Shares of the Issuer by virtue of its membership in Hercules Holding II, LLC. As the sole general partner of PEI Investments, KKR PEI Associates, L.P. may be deemed to share voting and dispositive power with respect to any Shares beneficially owned by PEI Investments. (continued in footnote (8)) F8: As the sole general partner of KKR PEI Associates, L.P., KKR PEI GP Limited may also be deemed to share voting and dispositive power with respect to any Shares beneficially owned by PEI Investments. PEI Investments, KKR PEI Associates, L.P. and KKR PEI GP Limited disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Kohlberg Kravis Roberts & Co. L.P., pursuant to a services agreement with KKR PEI GP Limited, may be deemed to share voting and dispositive power with respect to any Shares beneficially owned by PEI Investments. (continued in footnote (9)) F9: KKR & Co. L.L.C. is the general partner of Kohlberg Kravis Roberts & Co. L.P. Kohlberg Kravis Roberts & Co. L.P. and KKR & Co. L.L.C. disclaim beneficial ownership of such Shares. The managing members of KKR & Co. L.L.C. are Henry R. Kravis and George R. Roberts. The other members of KKR & Co. L.L.C. include Paul E. Raether, Michael W. Michelson, Johannes P. Huth, Todd A. Fisher, Alexander Navab and other executives of Kohlberg Kravis Roberts & Co. L.P. Messrs. Kravis and Roberts, as managing members of KKR & Co. L.L.C., may be deemed to share beneficial ownership of any Shares beneficially owned by KKR & Co. L.L.C. but disclaim beneficial ownership of such Shares. The other members of KKR & Co. L.L.C. also disclaim beneficial ownership of any Shares beneficially owned by KKR & Co. L.L.C. F14: The filing of this statement shall not be deemed an admission that, for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the Reporting Persons are the beneficial owners of any equity securities covered by this statement. F15: Because no more than 10 reporting persons can file any one Form 4 through the SEC's Edgar system, affiliates of Kohlberg Kravis Roberts & Co. L.P. have filed two Form 4s with respect to HCA Inc. on the date hereof, all of which, taken together, constitute one Form 4. The reporting persons named in Box 1 of these two Form 4s are KKR PEI Investments, L.P. and KKR & Co. L.L.C., and other reporting persons are listed elsewhere in these forms.
Common StockSEC Table I · non-derivative	IndirectHeld through Hercules Holding II, LLC by 8 North America Investor L.P.	952,087.983	Reported balance After 2009-03-13 transaction · row 2 Amendment: may correct only part of an earlier disclosure. 1 source row Row 2 · 2009-03-13 · Other · Acquired 952,087.983 · Balance 952,087.983 F2: On March 13, 2009, KKR PEI Investments, L.P. ("PEI Investments") agreed to transfer a portion of its co-investments in five portfolio companies, including a portion of its units of Hercules Holding II, LLC, to 8 North America Investor L.P. (the "Buyer"), a KKR-sponsored co-investment fund, for an aggregate purchase price of $200,399,888 (pro rated equally among the five co-investments). PEI Investments agreed to transfer a number of its co-investment interests in these five companies with an aggregate fair value of $211,000,000 (pro rated equally among the five co-investments). (continued in footnote (3)) F3: PEI Investments agreed to transfer initially a number of its co-investment interests in these five portfolio companies (pro rated equally among the five co-investments) with an aggregate fair value of $211,000,000 based on their fair values as of December 31, 2008, which at the time of the initial transfer was the nearest date in respect of which such fair values had been determined. By agreement of the parties, this initial transfer was subject to a post-closing adjustment in the manner described below. This amendment to Form 4 is being filed to report the number of units of Hercules Holding II, LLC effectively transferred to the Buyer after giving effect to the post-closing adjustment. (continued in footnote (4)) F4: Under the agreement, after the determination of the aggregate fair value as of March 31, 2009 (which was the next date in respect of which such fair values were determined) of the five co-investment interests initially transferred to the Buyer, then (i) if such aggregate fair value as of March 31, 2009 were less than $211,000,000, PEI Investments would be required to transfer to the Buyer additional co-investment interests in the five companies (pro rated equally among the five co-investments) or (ii) if such aggregate fair value as of March 31, 2009 were greater than $211,000,000, the Buyer would be required to transfer back to PEI Investments a portion of the co-investment interests in the five companies initially transferred to the Buyer (pro rated equally among the five co-investments), in each case, (continued in footnote (5)) F5: such that the Buyer would then hold co-investment interests with an aggregate fair value equal to $211,000,000 (based on their fair values as of March 31, 2009), provided that the number of additional interests transferred to the Buyer or the number of interests transferred back to PEI Investments would not exceed $50,100,000 in the aggregate based on the fair value of these interests as of March 31, 2009. The number of units of Hercules Holding II, LLC which were transferred initially to the Buyer was 1,034,313.771. (continued in footnote (6)) F6: Pursuant to the post-closing adjustment described above, however, the Buyer was required to transfer back to PEI Investments 82,225.788 of the units of Hercules Holding II, LLC initially transferred to the Buyer, which post-closing adjustment transfer occurred on June 4, 2009. After giving effect to the post-closing adjustment, the number of units of Hercules Holding II, LLC effectively transferred to the Buyer was 952,087.983. The effective price of those units was $42.10 per unit, which was calculated solely for purposes of this filing by dividing the pro rated portion of the aggregate purchase price allocable to the co-investment interest in Hercules Holding II, LLC by the total number of units of Hercules Holding II, LLC effectively transferred. F1: Hercules Holding II, LLC holds 91,845,692 shares, or 97.3%, of the common stock, par value $0.01 per share (the "Shares"), of HCA Inc. (the "Issuer"). Hercules Holding II, LLC is held by a private investor group, including affiliates of each of Bain Capital Investors, LLC, Kohlberg Kravis Roberts & Co. L.P. and Bank of America Corporation and by affiliates of Dr. Thomas F. Frist, Jr., the founder of the Issuer. Each such person may be deemed to be a member of a group exercising voting and investment control over the Shares held by Hercules Holding II, LLC. However, each such person disclaims membership in any such group and disclaims beneficial ownership of such Shares, except to the extent of his or its pecuniary interest therein. Certain affiliates of Kohlberg Kravis Roberts & Co. L.P. collectively have the right under Hercules Holding II, LLC's limited liability company agreement to nominate up to three directors of the Issuer. F14: The filing of this statement shall not be deemed an admission that, for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the Reporting Persons are the beneficial owners of any equity securities covered by this statement. F15: Because no more than 10 reporting persons can file any one Form 4 through the SEC's Edgar system, affiliates of Kohlberg Kravis Roberts & Co. L.P. have filed two Form 4s with respect to HCA Inc. on the date hereof, all of which, taken together, constitute one Form 4. The reporting persons named in Box 1 of these two Form 4s are KKR PEI Investments, L.P. and KKR & Co. L.L.C., and other reporting persons are listed elsewhere in these forms.
Common StockSEC Table I · non-derivative	IndirectHeld through Hercules Holding II, LLC by KKR Partners III, L.P.	319,411	Reported balance Holding disclosure · report date 2009-03-13 · row 3 Amendment: may correct only part of an earlier disclosure. 1 source row Row 3 · Balance 319,411 F1: Hercules Holding II, LLC holds 91,845,692 shares, or 97.3%, of the common stock, par value $0.01 per share (the "Shares"), of HCA Inc. (the "Issuer"). Hercules Holding II, LLC is held by a private investor group, including affiliates of each of Bain Capital Investors, LLC, Kohlberg Kravis Roberts & Co. L.P. and Bank of America Corporation and by affiliates of Dr. Thomas F. Frist, Jr., the founder of the Issuer. Each such person may be deemed to be a member of a group exercising voting and investment control over the Shares held by Hercules Holding II, LLC. However, each such person disclaims membership in any such group and disclaims beneficial ownership of such Shares, except to the extent of his or its pecuniary interest therein. Certain affiliates of Kohlberg Kravis Roberts & Co. L.P. collectively have the right under Hercules Holding II, LLC's limited liability company agreement to nominate up to three directors of the Issuer. F10: KKR Partners III directly owns 319,411 units of Hercules Holding II, LLC and therefore may be deemed to own indirectly the same number of Shares of the Issuer by virtue of its membership in Hercules Holding II, LLC. See the Form 3 filed by this fund on April 29, 2008 for more information on its ownership structure. F14: The filing of this statement shall not be deemed an admission that, for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the Reporting Persons are the beneficial owners of any equity securities covered by this statement. F15: Because no more than 10 reporting persons can file any one Form 4 through the SEC's Edgar system, affiliates of Kohlberg Kravis Roberts & Co. L.P. have filed two Form 4s with respect to HCA Inc. on the date hereof, all of which, taken together, constitute one Form 4. The reporting persons named in Box 1 of these two Form 4s are KKR PEI Investments, L.P. and KKR & Co. L.L.C., and other reporting persons are listed elsewhere in these forms.
Common StockSEC Table I · non-derivative	IndirectHeld through Hercules Holding II, LLC by OPERF Co-Investment L.L.C.	196,078	Reported balance Holding disclosure · report date 2009-03-13 · row 4 Amendment: may correct only part of an earlier disclosure. 1 source row Row 4 · Balance 196,078 F1: Hercules Holding II, LLC holds 91,845,692 shares, or 97.3%, of the common stock, par value $0.01 per share (the "Shares"), of HCA Inc. (the "Issuer"). Hercules Holding II, LLC is held by a private investor group, including affiliates of each of Bain Capital Investors, LLC, Kohlberg Kravis Roberts & Co. L.P. and Bank of America Corporation and by affiliates of Dr. Thomas F. Frist, Jr., the founder of the Issuer. Each such person may be deemed to be a member of a group exercising voting and investment control over the Shares held by Hercules Holding II, LLC. However, each such person disclaims membership in any such group and disclaims beneficial ownership of such Shares, except to the extent of his or its pecuniary interest therein. Certain affiliates of Kohlberg Kravis Roberts & Co. L.P. collectively have the right under Hercules Holding II, LLC's limited liability company agreement to nominate up to three directors of the Issuer. F11: OPERF Co-Investment, L.L.C. directly owns 196,078 units of Hercules Holding II, LLC and therefore may be deemed to own indirectly the same number of Shares of the Issuer by virtue of its membership in Hercules Holding II, LLC. See the Form 3 filed by this fund on April 29, 2008 for more information on its ownership structure. F14: The filing of this statement shall not be deemed an admission that, for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the Reporting Persons are the beneficial owners of any equity securities covered by this statement. F15: Because no more than 10 reporting persons can file any one Form 4 through the SEC's Edgar system, affiliates of Kohlberg Kravis Roberts & Co. L.P. have filed two Form 4s with respect to HCA Inc. on the date hereof, all of which, taken together, constitute one Form 4. The reporting persons named in Box 1 of these two Form 4s are KKR PEI Investments, L.P. and KKR & Co. L.L.C., and other reporting persons are listed elsewhere in these forms.
Common StockSEC Table I · non-derivative	IndirectHeld through Hercules Holding II, LLC by KKR Millennium Fund L.P.	9,313,725	Reported balance Holding disclosure · report date 2009-03-13 · row 5 Amendment: may correct only part of an earlier disclosure. 1 source row Row 5 · Balance 9,313,725 F1: Hercules Holding II, LLC holds 91,845,692 shares, or 97.3%, of the common stock, par value $0.01 per share (the "Shares"), of HCA Inc. (the "Issuer"). Hercules Holding II, LLC is held by a private investor group, including affiliates of each of Bain Capital Investors, LLC, Kohlberg Kravis Roberts & Co. L.P. and Bank of America Corporation and by affiliates of Dr. Thomas F. Frist, Jr., the founder of the Issuer. Each such person may be deemed to be a member of a group exercising voting and investment control over the Shares held by Hercules Holding II, LLC. However, each such person disclaims membership in any such group and disclaims beneficial ownership of such Shares, except to the extent of his or its pecuniary interest therein. Certain affiliates of Kohlberg Kravis Roberts & Co. L.P. collectively have the right under Hercules Holding II, LLC's limited liability company agreement to nominate up to three directors of the Issuer. F12: KKR Millennium Fund L.P. directly owns 9,313,725 units of Hercules Holding II, LLC and therefore may be deemed to own indirectly the same number of Shares of the Issuer by virtue of its membership in Hercules Holding II, LLC. See the Form 3 filed by this fund on April 29, 2008 for more information on its ownership structure. F14: The filing of this statement shall not be deemed an admission that, for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the Reporting Persons are the beneficial owners of any equity securities covered by this statement. F15: Because no more than 10 reporting persons can file any one Form 4 through the SEC's Edgar system, affiliates of Kohlberg Kravis Roberts & Co. L.P. have filed two Form 4s with respect to HCA Inc. on the date hereof, all of which, taken together, constitute one Form 4. The reporting persons named in Box 1 of these two Form 4s are KKR PEI Investments, L.P. and KKR & Co. L.L.C., and other reporting persons are listed elsewhere in these forms.
Common StockSEC Table I · non-derivative	IndirectHeld through Hercules Holding II, LLC by KKR 2006 Fund L.P.	8,642,157	Reported balance Holding disclosure · report date 2009-03-13 · row 6 Amendment: may correct only part of an earlier disclosure. 1 source row Row 6 · Balance 8,642,157 F1: Hercules Holding II, LLC holds 91,845,692 shares, or 97.3%, of the common stock, par value $0.01 per share (the "Shares"), of HCA Inc. (the "Issuer"). Hercules Holding II, LLC is held by a private investor group, including affiliates of each of Bain Capital Investors, LLC, Kohlberg Kravis Roberts & Co. L.P. and Bank of America Corporation and by affiliates of Dr. Thomas F. Frist, Jr., the founder of the Issuer. Each such person may be deemed to be a member of a group exercising voting and investment control over the Shares held by Hercules Holding II, LLC. However, each such person disclaims membership in any such group and disclaims beneficial ownership of such Shares, except to the extent of his or its pecuniary interest therein. Certain affiliates of Kohlberg Kravis Roberts & Co. L.P. collectively have the right under Hercules Holding II, LLC's limited liability company agreement to nominate up to three directors of the Issuer. F13: KKR 2006 Fund L.P. directly owns 8,642,157 units of Hercules Holding II, LLC and therefore may be deemed to own indirectly the same number of Shares of the Issuer by virtue of its membership in Hercules Holding II, LLC. See the Form 3 filed by this fund on April 29, 2008 for more information on its ownership structure. F14: The filing of this statement shall not be deemed an admission that, for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the Reporting Persons are the beneficial owners of any equity securities covered by this statement. F15: Because no more than 10 reporting persons can file any one Form 4 through the SEC's Edgar system, affiliates of Kohlberg Kravis Roberts & Co. L.P. have filed two Form 4s with respect to HCA Inc. on the date hereof, all of which, taken together, constitute one Form 4. The reporting persons named in Box 1 of these two Form 4s are KKR PEI Investments, L.P. and KKR & Co. L.L.C., and other reporting persons are listed elsewhere in these forms.

Filing footnotes · ownership attribution and instrument terms

F1: Hercules Holding II, LLC holds 91,845,692 shares, or 97.3%, of the common stock, par value $0.01 per share (the "Shares"), of HCA Inc. (the "Issuer"). Hercules Holding II, LLC is held by a private investor group, including affiliates of each of Bain Capital Investors, LLC, Kohlberg Kravis Roberts & Co. L.P. and Bank of America Corporation and by affiliates of Dr. Thomas F. Frist, Jr., the founder of the Issuer. Each such person may be deemed to be a member of a group exercising voting and investment control over the Shares held by Hercules Holding II, LLC. However, each such person disclaims membership in any such group and disclaims beneficial ownership of such Shares, except to the extent of his or its pecuniary interest therein. Certain affiliates of Kohlberg Kravis Roberts & Co. L.P. collectively have the right under Hercules Holding II, LLC's limited liability company agreement to nominate up to three directors of the Issuer.

F2: On March 13, 2009, KKR PEI Investments, L.P. ("PEI Investments") agreed to transfer a portion of its co-investments in five portfolio companies, including a portion of its units of Hercules Holding II, LLC, to 8 North America Investor L.P. (the "Buyer"), a KKR-sponsored co-investment fund, for an aggregate purchase price of $200,399,888 (pro rated equally among the five co-investments). PEI Investments agreed to transfer a number of its co-investment interests in these five companies with an aggregate fair value of $211,000,000 (pro rated equally among the five co-investments). (continued in footnote (3))

F3: PEI Investments agreed to transfer initially a number of its co-investment interests in these five portfolio companies (pro rated equally among the five co-investments) with an aggregate fair value of $211,000,000 based on their fair values as of December 31, 2008, which at the time of the initial transfer was the nearest date in respect of which such fair values had been determined. By agreement of the parties, this initial transfer was subject to a post-closing adjustment in the manner described below. This amendment to Form 4 is being filed to report the number of units of Hercules Holding II, LLC effectively transferred to the Buyer after giving effect to the post-closing adjustment. (continued in footnote (4))

F4: Under the agreement, after the determination of the aggregate fair value as of March 31, 2009 (which was the next date in respect of which such fair values were determined) of the five co-investment interests initially transferred to the Buyer, then (i) if such aggregate fair value as of March 31, 2009 were less than $211,000,000, PEI Investments would be required to transfer to the Buyer additional co-investment interests in the five companies (pro rated equally among the five co-investments) or (ii) if such aggregate fair value as of March 31, 2009 were greater than $211,000,000, the Buyer would be required to transfer back to PEI Investments a portion of the co-investment interests in the five companies initially transferred to the Buyer (pro rated equally among the five co-investments), in each case, (continued in footnote (5))

F5: such that the Buyer would then hold co-investment interests with an aggregate fair value equal to $211,000,000 (based on their fair values as of March 31, 2009), provided that the number of additional interests transferred to the Buyer or the number of interests transferred back to PEI Investments would not exceed $50,100,000 in the aggregate based on the fair value of these interests as of March 31, 2009. The number of units of Hercules Holding II, LLC which were transferred initially to the Buyer was 1,034,313.771. (continued in footnote (6))

F6: Pursuant to the post-closing adjustment described above, however, the Buyer was required to transfer back to PEI Investments 82,225.788 of the units of Hercules Holding II, LLC initially transferred to the Buyer, which post-closing adjustment transfer occurred on June 4, 2009. After giving effect to the post-closing adjustment, the number of units of Hercules Holding II, LLC effectively transferred to the Buyer was 952,087.983. The effective price of those units was $42.10 per unit, which was calculated solely for purposes of this filing by dividing the pro rated portion of the aggregate purchase price allocable to the co-investment interest in Hercules Holding II, LLC by the total number of units of Hercules Holding II, LLC effectively transferred.

F7: PEI Investments directly owns 3,949,873.017 units of Hercules Holding II, LLC (after giving effect to both the initial transfer and the post-closing adjustment) and therefore may be deemed to own indirectly the same number of Shares of the Issuer by virtue of its membership in Hercules Holding II, LLC. As the sole general partner of PEI Investments, KKR PEI Associates, L.P. may be deemed to share voting and dispositive power with respect to any Shares beneficially owned by PEI Investments. (continued in footnote (8))

F8: As the sole general partner of KKR PEI Associates, L.P., KKR PEI GP Limited may also be deemed to share voting and dispositive power with respect to any Shares beneficially owned by PEI Investments. PEI Investments, KKR PEI Associates, L.P. and KKR PEI GP Limited disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Kohlberg Kravis Roberts & Co. L.P., pursuant to a services agreement with KKR PEI GP Limited, may be deemed to share voting and dispositive power with respect to any Shares beneficially owned by PEI Investments. (continued in footnote (9))

F9: KKR & Co. L.L.C. is the general partner of Kohlberg Kravis Roberts & Co. L.P. Kohlberg Kravis Roberts & Co. L.P. and KKR & Co. L.L.C. disclaim beneficial ownership of such Shares. The managing members of KKR & Co. L.L.C. are Henry R. Kravis and George R. Roberts. The other members of KKR & Co. L.L.C. include Paul E. Raether, Michael W. Michelson, Johannes P. Huth, Todd A. Fisher, Alexander Navab and other executives of Kohlberg Kravis Roberts & Co. L.P. Messrs. Kravis and Roberts, as managing members of KKR & Co. L.L.C., may be deemed to share beneficial ownership of any Shares beneficially owned by KKR & Co. L.L.C. but disclaim beneficial ownership of such Shares. The other members of KKR & Co. L.L.C. also disclaim beneficial ownership of any Shares beneficially owned by KKR & Co. L.L.C.

F10: KKR Partners III directly owns 319,411 units of Hercules Holding II, LLC and therefore may be deemed to own indirectly the same number of Shares of the Issuer by virtue of its membership in Hercules Holding II, LLC. See the Form 3 filed by this fund on April 29, 2008 for more information on its ownership structure.

F11: OPERF Co-Investment, L.L.C. directly owns 196,078 units of Hercules Holding II, LLC and therefore may be deemed to own indirectly the same number of Shares of the Issuer by virtue of its membership in Hercules Holding II, LLC. See the Form 3 filed by this fund on April 29, 2008 for more information on its ownership structure.

F12: KKR Millennium Fund L.P. directly owns 9,313,725 units of Hercules Holding II, LLC and therefore may be deemed to own indirectly the same number of Shares of the Issuer by virtue of its membership in Hercules Holding II, LLC. See the Form 3 filed by this fund on April 29, 2008 for more information on its ownership structure.

F13: KKR 2006 Fund L.P. directly owns 8,642,157 units of Hercules Holding II, LLC and therefore may be deemed to own indirectly the same number of Shares of the Issuer by virtue of its membership in Hercules Holding II, LLC. See the Form 3 filed by this fund on April 29, 2008 for more information on its ownership structure.

F14: The filing of this statement shall not be deemed an admission that, for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the Reporting Persons are the beneficial owners of any equity securities covered by this statement.

F15: Because no more than 10 reporting persons can file any one Form 4 through the SEC's Edgar system, affiliates of Kohlberg Kravis Roberts & Co. L.P. have filed two Form 4s with respect to HCA Inc. on the date hereof, all of which, taken together, constitute one Form 4. The reporting persons named in Box 1 of these two Form 4s are KKR PEI Investments, L.P. and KKR & Co. L.L.C., and other reporting persons are listed elsewhere in these forms.

KINDERCARE LEARNING CENTERS INC /DE

Report date January 07, 2005 · Filed January 11, 2005

Jointly reported with KKR KLC L L C, KRAVIS HENRY R, ROBERTS GEORGE R, MICHELSON MICHAEL W, GREENE JAMES H JR, GOLKIN PERRY, GILHULY EDWARD A, STUART SCOTT M

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.01 per shareSEC Table I · non-derivative	IndirectSee	0	Reported balance After 2005-01-07 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2005-01-07 · Sale · Disposed 15,454,210 · Balance 0 F1: $1.18 of the per share purchase price has been deposited into escrow to secure indemnity and expense obligations of stockholders in accordance with the terms of the agreements relating to the transaction. F2: 15,454,210 shares of common stock shown as having been formerly beneficially owned by KKR-KLC L.L.C. were directly held by KLC Associates, L.P. KKR-KLC L.L.C. is the sole general partner of KKR Associates (KLC) L.P., which is the sole general partner of KLC Associates, L.P., and possesses sole voting and investment power with respect to such shares. KKR-KLC L.L.C. is a limited liability company, the members of which are Messrs. Henry R. Kravis; George R. Roberts; Paul E. Raether; Michael W. Michelson; James H. Greene, Jr.; Perry Golkin; Scott M. Stuart; and Edward A. Gilhuly. Each of the members of KKR-KLC L.L.C. may be deemed to share beneficial ownership of the shares shown as beneficially owned by KKR-KLC L.L.C. Each member disclaims beneficial ownership of these shares. In addition, 203,684 shares of common stock were formerly directly held by KKR Partners II, L.P., an affiliate of KKR-KLC L.L.C.

Filing footnotes · ownership attribution and instrument terms

F1: $1.18 of the per share purchase price has been deposited into escrow to secure indemnity and expense obligations of stockholders in accordance with the terms of the agreements relating to the transaction.

F2: 15,454,210 shares of common stock shown as having been formerly beneficially owned by KKR-KLC L.L.C. were directly held by KLC Associates, L.P. KKR-KLC L.L.C. is the sole general partner of KKR Associates (KLC) L.P., which is the sole general partner of KLC Associates, L.P., and possesses sole voting and investment power with respect to such shares. KKR-KLC L.L.C. is a limited liability company, the members of which are Messrs. Henry R. Kravis; George R. Roberts; Paul E. Raether; Michael W. Michelson; James H. Greene, Jr.; Perry Golkin; Scott M. Stuart; and Edward A. Gilhuly. Each of the members of KKR-KLC L.L.C. may be deemed to share beneficial ownership of the shares shown as beneficially owned by KKR-KLC L.L.C. Each member disclaims beneficial ownership of these shares. In addition, 203,684 shares of common stock were formerly directly held by KKR Partners II, L.P., an affiliate of KKR-KLC L.L.C.

KKR Acquisition Holdings I Corp.

Report date March 16, 2021 · Filed March 16, 2021

This filing explicitly reported no securities owned.

Rockwood Holdings, Inc.

Report date August 12, 2005 · Filed August 13, 2005 · Amendment

Jointly reported with KKR Millennium GP LLC, KKR Millennium Fund L.P., KKR 1996 GP LLC, KKR ASSOCIATES 1996 L P, KKR 1996 FUND L P, KRAVIS HENRY R, ROBERTS GEORGE R, MICHELSON MICHAEL W, KKR Associates Millennium L.P.

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.01 per shareSEC Table I · non-derivative	IndirectSee Notes	4,445,896	Reported balance Holding disclosure · report date 2005-08-12 · row 1 Amendment: may correct only part of an earlier disclosure. 1 source row Row 1 · Balance 4,445,896 F1: These securities are held of record by KKR Millennium Fund L.P. As the sole general partner of KKR Millennium Fund L.P., KKR Associates Millennium L.P., may be deemed to be the beneficial owner of such securities held by KKR Millennium Fund L.P. As the sole general partner of KKR Associates Millennium L.P., KKR Millennium GP LLC also may be deemed to be the beneficial owner of such securities held by KKR Millennium Fund L.P. F6: As members of KKR Millennium GP LLC, KKR 1996 GP LLC and KKR III GP LLC, Messrs. Henry R. Kravis, George R. Roberts, Paul E. Raether, Michael W. Michelson, James H. Greene, Edward A. Gilhuly, Perry Golkin, Scott M. Stuart, Johannes Huth, Alexander Navab and Todd A. Fisher may also be deemed to be beneficial owners of the securities held by KKR Millennium Fund L.P., KKR 1996 Fund L.P. and KKR Partners III, L.P. (Series F), respectively; as members of Strata. L.L.C. and general partners of KKR Associates, L.P., Messrs. Kravis, Roberts, Raether, Michelson, Greene, Gilhuly, Golkin and Stuart also may be deemed to be beneficial owners of the securities held by KKR Partners II, L.P.; (continued in footnote 7) F7: (continued from footnote 6); as members of KKR Millennium GP LLC and KKR III GP LLC, Messrs. Marc S. Lipschultz, Jacques Garaialde, Reinhard Gorenflos, Scott C. Nuttall and Michael M. Calbert may also be deemed to be beneficial owners of the securities held by KKR Millennium Fund L.P. and KKR Partners III, L.P., respectively; and as directors of KKR Europe Limited, Messrs. Kravis, Roberts, Raether, Michelson, Greene, Gilhuly, Golkin, Stuart, Huth, Navab, Fisher, Lipschultz and Garaialde also may be deemed to be beneficial owners of the securities held by KKR European Fund, Limited Partnership. Each Reporting Person other than the record holders disclaims beneficial ownership of the securities that may be deemed to be beneficially owned by such Reporting Person, except to the extent of such Reporting Person's own pecuniary interest therein. F8: Due to the limitations of Form 3, certain of the persons described as beneficial owners or deemed beneficial owners of the securities reported on this Form 3 are filing as reporting persons on separate Forms 3. F9: The filing of this statement shall not be deemed an admission that, for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the Reporting Person is the beneficial owner of any equity securities covered by this statement.
Common Stock, par value $0.01 per shareSEC Table I · non-derivative	IndirectSee Notes	19,138,916	Reported balance Holding disclosure · report date 2005-08-12 · row 2 Amendment: may correct only part of an earlier disclosure. 1 source row Row 2 · Balance 19,138,916 F2: These securities are held of record by KKR 1996 Fund L.P. As the sole general partner of KKR 1996 Fund L.P., KKR Associates 1996 L.P., may be deemed to be the beneficial owner of such securities held by KKR 1996 Fund L.P. As the sole general partner of KKR Associates 1996 L.P., KKR 1996 GP LLC also may be deemed to be the beneficial owner of such securities held by KKR 1996 Fund L.P. F6: As members of KKR Millennium GP LLC, KKR 1996 GP LLC and KKR III GP LLC, Messrs. Henry R. Kravis, George R. Roberts, Paul E. Raether, Michael W. Michelson, James H. Greene, Edward A. Gilhuly, Perry Golkin, Scott M. Stuart, Johannes Huth, Alexander Navab and Todd A. Fisher may also be deemed to be beneficial owners of the securities held by KKR Millennium Fund L.P., KKR 1996 Fund L.P. and KKR Partners III, L.P. (Series F), respectively; as members of Strata. L.L.C. and general partners of KKR Associates, L.P., Messrs. Kravis, Roberts, Raether, Michelson, Greene, Gilhuly, Golkin and Stuart also may be deemed to be beneficial owners of the securities held by KKR Partners II, L.P.; (continued in footnote 7) F7: (continued from footnote 6); as members of KKR Millennium GP LLC and KKR III GP LLC, Messrs. Marc S. Lipschultz, Jacques Garaialde, Reinhard Gorenflos, Scott C. Nuttall and Michael M. Calbert may also be deemed to be beneficial owners of the securities held by KKR Millennium Fund L.P. and KKR Partners III, L.P., respectively; and as directors of KKR Europe Limited, Messrs. Kravis, Roberts, Raether, Michelson, Greene, Gilhuly, Golkin, Stuart, Huth, Navab, Fisher, Lipschultz and Garaialde also may be deemed to be beneficial owners of the securities held by KKR European Fund, Limited Partnership. Each Reporting Person other than the record holders disclaims beneficial ownership of the securities that may be deemed to be beneficially owned by such Reporting Person, except to the extent of such Reporting Person's own pecuniary interest therein. F8: Due to the limitations of Form 3, certain of the persons described as beneficial owners or deemed beneficial owners of the securities reported on this Form 3 are filing as reporting persons on separate Forms 3. F9: The filing of this statement shall not be deemed an admission that, for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the Reporting Person is the beneficial owner of any equity securities covered by this statement.
Common Stock, par value $0.01 per shareSEC Table I · non-derivative	IndirectSee Notes	164,282	Reported balance Holding disclosure · report date 2005-08-12 · row 3 Amendment: may correct only part of an earlier disclosure. 1 source row Row 3 · Balance 164,282 F3: These securities are held of record by KKR Partners II, L.P. As the general partners of KKR Partners II, L.P., KKR Associates (Strata) L.P. and KKR Associates, L.P., may be deemed to be the beneficial owners of such securities held by KKR Partners II, L.P. As the sole general partner of KKR Associates (Strata) L.P., Strata L.L.C. also may be deemed to be the beneficial owner of such securities held by KKR Partners II, L.P. F6: As members of KKR Millennium GP LLC, KKR 1996 GP LLC and KKR III GP LLC, Messrs. Henry R. Kravis, George R. Roberts, Paul E. Raether, Michael W. Michelson, James H. Greene, Edward A. Gilhuly, Perry Golkin, Scott M. Stuart, Johannes Huth, Alexander Navab and Todd A. Fisher may also be deemed to be beneficial owners of the securities held by KKR Millennium Fund L.P., KKR 1996 Fund L.P. and KKR Partners III, L.P. (Series F), respectively; as members of Strata. L.L.C. and general partners of KKR Associates, L.P., Messrs. Kravis, Roberts, Raether, Michelson, Greene, Gilhuly, Golkin and Stuart also may be deemed to be beneficial owners of the securities held by KKR Partners II, L.P.; (continued in footnote 7) F7: (continued from footnote 6); as members of KKR Millennium GP LLC and KKR III GP LLC, Messrs. Marc S. Lipschultz, Jacques Garaialde, Reinhard Gorenflos, Scott C. Nuttall and Michael M. Calbert may also be deemed to be beneficial owners of the securities held by KKR Millennium Fund L.P. and KKR Partners III, L.P., respectively; and as directors of KKR Europe Limited, Messrs. Kravis, Roberts, Raether, Michelson, Greene, Gilhuly, Golkin, Stuart, Huth, Navab, Fisher, Lipschultz and Garaialde also may be deemed to be beneficial owners of the securities held by KKR European Fund, Limited Partnership. Each Reporting Person other than the record holders disclaims beneficial ownership of the securities that may be deemed to be beneficially owned by such Reporting Person, except to the extent of such Reporting Person's own pecuniary interest therein. F8: Due to the limitations of Form 3, certain of the persons described as beneficial owners or deemed beneficial owners of the securities reported on this Form 3 are filing as reporting persons on separate Forms 3. F9: The filing of this statement shall not be deemed an admission that, for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the Reporting Person is the beneficial owner of any equity securities covered by this statement.
Common Stock, par value $0.01 per shareSEC Table I · non-derivative	IndirectSee Notes	398,727	Reported balance Holding disclosure · report date 2005-08-12 · row 4 Amendment: may correct only part of an earlier disclosure. 1 source row Row 4 · Balance 398,727 F4: These securities are held of record by KKR Partners III, L.P. (Series F). As the sole general partner of KKR Partners III, L.P., KKR III GP LLC may be deemed to be the beneficial owner of such securities held by KKR Partners III, L.P. (Series F). F6: As members of KKR Millennium GP LLC, KKR 1996 GP LLC and KKR III GP LLC, Messrs. Henry R. Kravis, George R. Roberts, Paul E. Raether, Michael W. Michelson, James H. Greene, Edward A. Gilhuly, Perry Golkin, Scott M. Stuart, Johannes Huth, Alexander Navab and Todd A. Fisher may also be deemed to be beneficial owners of the securities held by KKR Millennium Fund L.P., KKR 1996 Fund L.P. and KKR Partners III, L.P. (Series F), respectively; as members of Strata. L.L.C. and general partners of KKR Associates, L.P., Messrs. Kravis, Roberts, Raether, Michelson, Greene, Gilhuly, Golkin and Stuart also may be deemed to be beneficial owners of the securities held by KKR Partners II, L.P.; (continued in footnote 7) F7: (continued from footnote 6); as members of KKR Millennium GP LLC and KKR III GP LLC, Messrs. Marc S. Lipschultz, Jacques Garaialde, Reinhard Gorenflos, Scott C. Nuttall and Michael M. Calbert may also be deemed to be beneficial owners of the securities held by KKR Millennium Fund L.P. and KKR Partners III, L.P., respectively; and as directors of KKR Europe Limited, Messrs. Kravis, Roberts, Raether, Michelson, Greene, Gilhuly, Golkin, Stuart, Huth, Navab, Fisher, Lipschultz and Garaialde also may be deemed to be beneficial owners of the securities held by KKR European Fund, Limited Partnership. Each Reporting Person other than the record holders disclaims beneficial ownership of the securities that may be deemed to be beneficially owned by such Reporting Person, except to the extent of such Reporting Person's own pecuniary interest therein. F8: Due to the limitations of Form 3, certain of the persons described as beneficial owners or deemed beneficial owners of the securities reported on this Form 3 are filing as reporting persons on separate Forms 3. F9: The filing of this statement shall not be deemed an admission that, for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the Reporting Person is the beneficial owner of any equity securities covered by this statement.
Common Stock, par value $0.01 per shareSEC Table I · non-derivative	IndirectSee Notes	13,337,689	Reported balance Holding disclosure · report date 2005-08-12 · row 5 Amendment: may correct only part of an earlier disclosure. 1 source row Row 5 · Balance 13,337,689 F5: The securities are held of record by KKR European Fund, Limited Partnership. As the sole general partner of KKR European Fund, Limited Partnership, KKR Associates Europe, Limited Partnership may be deemed to be the beneficial owner of such securities held by KKR European Fund, Limited Partnership. As the sole general partner of KKR Associates Europe, Limited Partnership, KKR Europe Limited also may be deemed to be the beneficial owner of such securities held by KKR European Fund, Limited Partnership. F6: As members of KKR Millennium GP LLC, KKR 1996 GP LLC and KKR III GP LLC, Messrs. Henry R. Kravis, George R. Roberts, Paul E. Raether, Michael W. Michelson, James H. Greene, Edward A. Gilhuly, Perry Golkin, Scott M. Stuart, Johannes Huth, Alexander Navab and Todd A. Fisher may also be deemed to be beneficial owners of the securities held by KKR Millennium Fund L.P., KKR 1996 Fund L.P. and KKR Partners III, L.P. (Series F), respectively; as members of Strata. L.L.C. and general partners of KKR Associates, L.P., Messrs. Kravis, Roberts, Raether, Michelson, Greene, Gilhuly, Golkin and Stuart also may be deemed to be beneficial owners of the securities held by KKR Partners II, L.P.; (continued in footnote 7) F7: (continued from footnote 6); as members of KKR Millennium GP LLC and KKR III GP LLC, Messrs. Marc S. Lipschultz, Jacques Garaialde, Reinhard Gorenflos, Scott C. Nuttall and Michael M. Calbert may also be deemed to be beneficial owners of the securities held by KKR Millennium Fund L.P. and KKR Partners III, L.P., respectively; and as directors of KKR Europe Limited, Messrs. Kravis, Roberts, Raether, Michelson, Greene, Gilhuly, Golkin, Stuart, Huth, Navab, Fisher, Lipschultz and Garaialde also may be deemed to be beneficial owners of the securities held by KKR European Fund, Limited Partnership. Each Reporting Person other than the record holders disclaims beneficial ownership of the securities that may be deemed to be beneficially owned by such Reporting Person, except to the extent of such Reporting Person's own pecuniary interest therein. F8: Due to the limitations of Form 3, certain of the persons described as beneficial owners or deemed beneficial owners of the securities reported on this Form 3 are filing as reporting persons on separate Forms 3. F9: The filing of this statement shall not be deemed an admission that, for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the Reporting Person is the beneficial owner of any equity securities covered by this statement.
Series A Participating Preferred Stock, par value $0.01 p/shSEC Table I · non-derivative	IndirectSee Notes	25,000	Reported balance Holding disclosure · report date 2005-08-12 · row 6 Amendment: may correct only part of an earlier disclosure. 1 source row Row 6 · Balance 25,000 F1: These securities are held of record by KKR Millennium Fund L.P. As the sole general partner of KKR Millennium Fund L.P., KKR Associates Millennium L.P., may be deemed to be the beneficial owner of such securities held by KKR Millennium Fund L.P. As the sole general partner of KKR Associates Millennium L.P., KKR Millennium GP LLC also may be deemed to be the beneficial owner of such securities held by KKR Millennium Fund L.P. F6: As members of KKR Millennium GP LLC, KKR 1996 GP LLC and KKR III GP LLC, Messrs. Henry R. Kravis, George R. Roberts, Paul E. Raether, Michael W. Michelson, James H. Greene, Edward A. Gilhuly, Perry Golkin, Scott M. Stuart, Johannes Huth, Alexander Navab and Todd A. Fisher may also be deemed to be beneficial owners of the securities held by KKR Millennium Fund L.P., KKR 1996 Fund L.P. and KKR Partners III, L.P. (Series F), respectively; as members of Strata. L.L.C. and general partners of KKR Associates, L.P., Messrs. Kravis, Roberts, Raether, Michelson, Greene, Gilhuly, Golkin and Stuart also may be deemed to be beneficial owners of the securities held by KKR Partners II, L.P.; (continued in footnote 7) F7: (continued from footnote 6); as members of KKR Millennium GP LLC and KKR III GP LLC, Messrs. Marc S. Lipschultz, Jacques Garaialde, Reinhard Gorenflos, Scott C. Nuttall and Michael M. Calbert may also be deemed to be beneficial owners of the securities held by KKR Millennium Fund L.P. and KKR Partners III, L.P., respectively; and as directors of KKR Europe Limited, Messrs. Kravis, Roberts, Raether, Michelson, Greene, Gilhuly, Golkin, Stuart, Huth, Navab, Fisher, Lipschultz and Garaialde also may be deemed to be beneficial owners of the securities held by KKR European Fund, Limited Partnership. Each Reporting Person other than the record holders disclaims beneficial ownership of the securities that may be deemed to be beneficially owned by such Reporting Person, except to the extent of such Reporting Person's own pecuniary interest therein. F8: Due to the limitations of Form 3, certain of the persons described as beneficial owners or deemed beneficial owners of the securities reported on this Form 3 are filing as reporting persons on separate Forms 3. F9: The filing of this statement shall not be deemed an admission that, for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the Reporting Person is the beneficial owner of any equity securities covered by this statement. F10: The Issuer intends to redeem all of the outstanding Series A Participating Preferred Stock with a portion of the net proceeds from its initial public offering.
Warrants to purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $14.61 · Expires 2013-07-23	IndirectSee Notes	Not disclosed	Reported balance Holding disclosure · report date 2005-08-12 · row 7 Amendment: may correct only part of an earlier disclosure. 1 source row Row 7 · Balance Not disclosed F11: The Warrants to purchase Common Stock are exercisable at any time and expire on July 23, 2013. F1: These securities are held of record by KKR Millennium Fund L.P. As the sole general partner of KKR Millennium Fund L.P., KKR Associates Millennium L.P., may be deemed to be the beneficial owner of such securities held by KKR Millennium Fund L.P. As the sole general partner of KKR Associates Millennium L.P., KKR Millennium GP LLC also may be deemed to be the beneficial owner of such securities held by KKR Millennium Fund L.P. F6: As members of KKR Millennium GP LLC, KKR 1996 GP LLC and KKR III GP LLC, Messrs. Henry R. Kravis, George R. Roberts, Paul E. Raether, Michael W. Michelson, James H. Greene, Edward A. Gilhuly, Perry Golkin, Scott M. Stuart, Johannes Huth, Alexander Navab and Todd A. Fisher may also be deemed to be beneficial owners of the securities held by KKR Millennium Fund L.P., KKR 1996 Fund L.P. and KKR Partners III, L.P. (Series F), respectively; as members of Strata. L.L.C. and general partners of KKR Associates, L.P., Messrs. Kravis, Roberts, Raether, Michelson, Greene, Gilhuly, Golkin and Stuart also may be deemed to be beneficial owners of the securities held by KKR Partners II, L.P.; (continued in footnote 7) F7: (continued from footnote 6); as members of KKR Millennium GP LLC and KKR III GP LLC, Messrs. Marc S. Lipschultz, Jacques Garaialde, Reinhard Gorenflos, Scott C. Nuttall and Michael M. Calbert may also be deemed to be beneficial owners of the securities held by KKR Millennium Fund L.P. and KKR Partners III, L.P., respectively; and as directors of KKR Europe Limited, Messrs. Kravis, Roberts, Raether, Michelson, Greene, Gilhuly, Golkin, Stuart, Huth, Navab, Fisher, Lipschultz and Garaialde also may be deemed to be beneficial owners of the securities held by KKR European Fund, Limited Partnership. Each Reporting Person other than the record holders disclaims beneficial ownership of the securities that may be deemed to be beneficially owned by such Reporting Person, except to the extent of such Reporting Person's own pecuniary interest therein. F8: Due to the limitations of Form 3, certain of the persons described as beneficial owners or deemed beneficial owners of the securities reported on this Form 3 are filing as reporting persons on separate Forms 3. F9: The filing of this statement shall not be deemed an admission that, for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the Reporting Person is the beneficial owner of any equity securities covered by this statement.

Filing footnotes · ownership attribution and instrument terms

F1: These securities are held of record by KKR Millennium Fund L.P. As the sole general partner of KKR Millennium Fund L.P., KKR Associates Millennium L.P., may be deemed to be the beneficial owner of such securities held by KKR Millennium Fund L.P. As the sole general partner of KKR Associates Millennium L.P., KKR Millennium GP LLC also may be deemed to be the beneficial owner of such securities held by KKR Millennium Fund L.P.

F2: These securities are held of record by KKR 1996 Fund L.P. As the sole general partner of KKR 1996 Fund L.P., KKR Associates 1996 L.P., may be deemed to be the beneficial owner of such securities held by KKR 1996 Fund L.P. As the sole general partner of KKR Associates 1996 L.P., KKR 1996 GP LLC also may be deemed to be the beneficial owner of such securities held by KKR 1996 Fund L.P.

F3: These securities are held of record by KKR Partners II, L.P. As the general partners of KKR Partners II, L.P., KKR Associates (Strata) L.P. and KKR Associates, L.P., may be deemed to be the beneficial owners of such securities held by KKR Partners II, L.P. As the sole general partner of KKR Associates (Strata) L.P., Strata L.L.C. also may be deemed to be the beneficial owner of such securities held by KKR Partners II, L.P.

F4: These securities are held of record by KKR Partners III, L.P. (Series F). As the sole general partner of KKR Partners III, L.P., KKR III GP LLC may be deemed to be the beneficial owner of such securities held by KKR Partners III, L.P. (Series F).

F5: The securities are held of record by KKR European Fund, Limited Partnership. As the sole general partner of KKR European Fund, Limited Partnership, KKR Associates Europe, Limited Partnership may be deemed to be the beneficial owner of such securities held by KKR European Fund, Limited Partnership. As the sole general partner of KKR Associates Europe, Limited Partnership, KKR Europe Limited also may be deemed to be the beneficial owner of such securities held by KKR European Fund, Limited Partnership.

F6: As members of KKR Millennium GP LLC, KKR 1996 GP LLC and KKR III GP LLC, Messrs. Henry R. Kravis, George R. Roberts, Paul E. Raether, Michael W. Michelson, James H. Greene, Edward A. Gilhuly, Perry Golkin, Scott M. Stuart, Johannes Huth, Alexander Navab and Todd A. Fisher may also be deemed to be beneficial owners of the securities held by KKR Millennium Fund L.P., KKR 1996 Fund L.P. and KKR Partners III, L.P. (Series F), respectively; as members of Strata. L.L.C. and general partners of KKR Associates, L.P., Messrs. Kravis, Roberts, Raether, Michelson, Greene, Gilhuly, Golkin and Stuart also may be deemed to be beneficial owners of the securities held by KKR Partners II, L.P.; (continued in footnote 7)

F7: (continued from footnote 6); as members of KKR Millennium GP LLC and KKR III GP LLC, Messrs. Marc S. Lipschultz, Jacques Garaialde, Reinhard Gorenflos, Scott C. Nuttall and Michael M. Calbert may also be deemed to be beneficial owners of the securities held by KKR Millennium Fund L.P. and KKR Partners III, L.P., respectively; and as directors of KKR Europe Limited, Messrs. Kravis, Roberts, Raether, Michelson, Greene, Gilhuly, Golkin, Stuart, Huth, Navab, Fisher, Lipschultz and Garaialde also may be deemed to be beneficial owners of the securities held by KKR European Fund, Limited Partnership. Each Reporting Person other than the record holders disclaims beneficial ownership of the securities that may be deemed to be beneficially owned by such Reporting Person, except to the extent of such Reporting Person's own pecuniary interest therein.

F8: Due to the limitations of Form 3, certain of the persons described as beneficial owners or deemed beneficial owners of the securities reported on this Form 3 are filing as reporting persons on separate Forms 3.

F9: The filing of this statement shall not be deemed an admission that, for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the Reporting Person is the beneficial owner of any equity securities covered by this statement.

F10: The Issuer intends to redeem all of the outstanding Series A Participating Preferred Stock with a portion of the net proceeds from its initial public offering.

F11: The Warrants to purchase Common Stock are exercisable at any time and expire on July 23, 2013.

SEALY CORP

Report date July 10, 2009 · Filed July 16, 2009

Jointly reported with KKR Millennium GP LLC, Sealy Holding LLC, KKR Millennium Fund L.P., KKR Associates Millennium L.P., KRAVIS HENRY R, ROBERTS GEORGE R, GREENE JAMES H JR, MICHELSON MICHAEL W, GOLKIN PERRY

Security / award	Ownership account	Disclosed shares / units	Disclosure context
8% Senior Secured Third Lien Convertible Notes due 2016SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2016-07-15	IndirectSee	3,753,910	Reported balance After 2009-07-10 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2009-07-10 · Purchase · Acquired 3,753,910 · Balance 3,753,910 F1: 8% Senior Secured Third Lien Convertible Notes due 2016 co-issued by Sealy Corporation and Sealy Mattress Company F2: Immediately exercisable F3: The convertible notes of the Issuer reported on this Form 4 are held of record by Sealy Holding LLC. As senior member of Sealy Holding LLC, KKR Millennium Fund L.P. may be deemed a beneficial owner of such convertible notes of the Issuer held by Sealy Holding LLC. As the sole general partner of KKR Millennium Fund L.P., KKR Associates Millennium L.P. may be deemed to be the beneficial owner of such convertible notes of the Issuer held by Sealy Holding LLC. As the sole general partner of KKR Associates Millennium L.P., KKR Millennium GP LLC also may be deemed to be the beneficial owner of such convertible notes of the Issuer held by Sealy Holding LLC. F4: The members of KKR Millennium GP LLC are Henry R. Kravis, George R. Roberts, James H. Greene, Jr., Paul E. Raether, Michael W. Michelson, Perry Golkin, Johannes P. Huth, Todd A. Fisher, Alexander Navab, Marc S. Lipschultz, Reinhard Gorenflos, Jacques Garaialde, Michael M. Calbert and Scott C. Nuttall, and as such, may be deemed to share beneficial ownership of any convertible notes of the Issuer that KKR Millennium GP LLC may be deemed to beneficially own. Each Reporting Person, other than Sealy Holding LLC, disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein. F5: The filing of this statement shall not be deemed and admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Person is the beneficial owners of all such equity securities covered by this statement. F6: Due to limitations on Form 4, certain of the persons described as beneficial owners or deemed beneficial owners of the securities reported on this Form 4 are filing as reporting persons on separate Forms 4.

Filing footnotes · ownership attribution and instrument terms

F1: 8% Senior Secured Third Lien Convertible Notes due 2016 co-issued by Sealy Corporation and Sealy Mattress Company

F2: Immediately exercisable

F3: The convertible notes of the Issuer reported on this Form 4 are held of record by Sealy Holding LLC. As senior member of Sealy Holding LLC, KKR Millennium Fund L.P. may be deemed a beneficial owner of such convertible notes of the Issuer held by Sealy Holding LLC. As the sole general partner of KKR Millennium Fund L.P., KKR Associates Millennium L.P. may be deemed to be the beneficial owner of such convertible notes of the Issuer held by Sealy Holding LLC. As the sole general partner of KKR Associates Millennium L.P., KKR Millennium GP LLC also may be deemed to be the beneficial owner of such convertible notes of the Issuer held by Sealy Holding LLC.

F4: The members of KKR Millennium GP LLC are Henry R. Kravis, George R. Roberts, James H. Greene, Jr., Paul E. Raether, Michael W. Michelson, Perry Golkin, Johannes P. Huth, Todd A. Fisher, Alexander Navab, Marc S. Lipschultz, Reinhard Gorenflos, Jacques Garaialde, Michael M. Calbert and Scott C. Nuttall, and as such, may be deemed to share beneficial ownership of any convertible notes of the Issuer that KKR Millennium GP LLC may be deemed to beneficially own. Each Reporting Person, other than Sealy Holding LLC, disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein.

F5: The filing of this statement shall not be deemed and admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Person is the beneficial owners of all such equity securities covered by this statement.

F6: Due to limitations on Form 4, certain of the persons described as beneficial owners or deemed beneficial owners of the securities reported on this Form 4 are filing as reporting persons on separate Forms 4.

Past disclosures · reporting ended (8)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

ACCURIDE CORP

Report date May 25, 2007 · Filed May 30, 2007

Jointly reported with KKR 1996 GP LLC, KKR ASSOCIATES 1996 L P, KKR 1996 FUND L P, Hubcap Acquisition LLC, KRAVIS HENRY R, ROBERTS GEORGE R, MICHELSON MICHAEL W, GOLKIN PERRY, HUTH JOHANNES P

Section 16 reporting ended · disclosed 2007-05-30. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Hubcap Acquisition LLC	3,094,556	Reported balance After 2007-05-25 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2007-05-25 · Sale · Disposed 4,755,657 · Balance 3,094,556 F1: The shares of common stock of Issuer reported on this Form 4 are held of record by Hubcap Acquisition L.L.C. As the managing member of Hubcap Acquisition L.L.C., KKR 1996 Fund L.P. may be deemed to be the beneficial owner of such shares of common stock of the Issuer held by Hubcap Acquisition L.L.C. As the sole general partner of KKR 1996 Fund L.P., KKR Associates 1996, L.P. may be deemed to be the beneficial owner of such shares of the Issuer held by Hubcap Acquision L.L.C. As the sole general partner of KKR Associates 1996, L.P., KKR 1996 GP, L.L.C. also may deemed to be the beneficial owner of such shares of common stock of the Issuer held by Hubcap Acqusition L.L.C. F2: KKR 1996 GP, L.L.C. is a Delaware limited liability company, the managing members of which are Messrs. Henry R. Kravis and George R. Roberts, and the other members are Messrs. Paul E. Raether, Michael W. Michaelson, James H. Greene, Jr., Perry Golkin, Johannes P. Huth, Todd A. Fisher and Alexander Navab, Jr. Mr. Greene is a director of the Issuer and may be deemed to share beneficial ownership of any shares beneficially owned by KKR 1996 GP, L.L.C. Each such Reporting Person, other than Hubcap Acqusition L.L.C., disclaims beneficial ownership of these securities, except to the extent of his or its pecuniary interest therein. The filing of this statement shall not be deemed an admission that, for the purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons, other than Hubcap Acqusition L.L.C, are the beneficial owners of all such equity securities covered by this statement. F3: Mr. Fredrick M. Goltz, a member of KKR & Co. L.L.C., the general partner Kohlberg Kravis Roberts & Co. L.P., is also a member of the Issuer's board of directors. Mr. Goltz disclaims that he is the owner (beneficial or otherwise) of any shares beneficially owned by KKR Associates 1996 L.P.

Filing footnotes · ownership attribution and instrument terms

F1: The shares of common stock of Issuer reported on this Form 4 are held of record by Hubcap Acquisition L.L.C. As the managing member of Hubcap Acquisition L.L.C., KKR 1996 Fund L.P. may be deemed to be the beneficial owner of such shares of common stock of the Issuer held by Hubcap Acquisition L.L.C. As the sole general partner of KKR 1996 Fund L.P., KKR Associates 1996, L.P. may be deemed to be the beneficial owner of such shares of the Issuer held by Hubcap Acquision L.L.C. As the sole general partner of KKR Associates 1996, L.P., KKR 1996 GP, L.L.C. also may deemed to be the beneficial owner of such shares of common stock of the Issuer held by Hubcap Acqusition L.L.C.

F2: KKR 1996 GP, L.L.C. is a Delaware limited liability company, the managing members of which are Messrs. Henry R. Kravis and George R. Roberts, and the other members are Messrs. Paul E. Raether, Michael W. Michaelson, James H. Greene, Jr., Perry Golkin, Johannes P. Huth, Todd A. Fisher and Alexander Navab, Jr. Mr. Greene is a director of the Issuer and may be deemed to share beneficial ownership of any shares beneficially owned by KKR 1996 GP, L.L.C. Each such Reporting Person, other than Hubcap Acqusition L.L.C., disclaims beneficial ownership of these securities, except to the extent of his or its pecuniary interest therein. The filing of this statement shall not be deemed an admission that, for the purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons, other than Hubcap Acqusition L.L.C, are the beneficial owners of all such equity securities covered by this statement.

F3: Mr. Fredrick M. Goltz, a member of KKR & Co. L.L.C., the general partner Kohlberg Kravis Roberts & Co. L.P., is also a member of the Issuer's board of directors. Mr. Goltz disclaims that he is the owner (beneficial or otherwise) of any shares beneficially owned by KKR Associates 1996 L.P.

AMPHENOL CORP /DE/

Report date February 23, 2004 · Filed February 26, 2004

Section 16 reporting ended · disclosed 2004-02-26. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class A Common StockSEC Table I · non-derivative	IndirectSee Footnote	4,350,628	Reported balance After 2004-02-23 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2004-02-23 · Other · Disposed 7,560,000 · Balance 4,350,628 F1: Sale of shares in a registered underwritten secondary offering. The underwriting agreement was entered into on February 23, 2004; the sale is expected to be consummated on February 27, 2004. The reported price of $60.00 per share does not reflect an underwriting discount of $2.10 per share. The Reporting Person received $57.90 per share. F2: As a member of KKR 1996 GP L.L.C., which is the sole general partner of KKR Associates 1996 L.P., which is the sole general partner of KKR 1996 Fund L.P.; as a member of Strata L.L.C., which is the sole general partner of KKR Associates (Strata) L.P., which is a general partner of KKR Partners II L.P.; and as a member of KKR-NXS L.L.C., which is the sole general partner of KKR Associates (NXS) L.P., which is the sole general partner of NXS Associates L.P., the Reporting Person may be deemed, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), to be a "ten percent beneficial owner" of shares of Class A Common Stock directly held by KKR 1996 Fund L.P., NXS Associates L.P. and KKR Partners II, L.P. However, pursuant to Rule 16a-1(a)(2) promulgated under the Act, the Reporting Person disclaims that it is the beneficial owner of such Class A Common Stock.

Filing footnotes · ownership attribution and instrument terms

F1: Sale of shares in a registered underwritten secondary offering. The underwriting agreement was entered into on February 23, 2004; the sale is expected to be consummated on February 27, 2004. The reported price of $60.00 per share does not reflect an underwriting discount of $2.10 per share. The Reporting Person received $57.90 per share.

F2: As a member of KKR 1996 GP L.L.C., which is the sole general partner of KKR Associates 1996 L.P., which is the sole general partner of KKR 1996 Fund L.P.; as a member of Strata L.L.C., which is the sole general partner of KKR Associates (Strata) L.P., which is a general partner of KKR Partners II L.P.; and as a member of KKR-NXS L.L.C., which is the sole general partner of KKR Associates (NXS) L.P., which is the sole general partner of NXS Associates L.P., the Reporting Person may be deemed, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), to be a "ten percent beneficial owner" of shares of Class A Common Stock directly held by KKR 1996 Fund L.P., NXS Associates L.P. and KKR Partners II, L.P. However, pursuant to Rule 16a-1(a)(2) promulgated under the Act, the Reporting Person disclaims that it is the beneficial owner of such Class A Common Stock.

Avago Technologies LTD

Report date December 12, 2012 · Filed December 14, 2012

Jointly reported with KKR Millennium LTD, KRAVIS HENRY R, ROBERTS GEORGE R, GREENE JAMES H JR, KKR Associates Europe, Limited Partnership, KKR Europe LTD, KKR European Fund, Limited Partnership, KKR Millennium Fund (Overseas), Limited Partnership, KKR Associates Millennium (Overseas) Limited Partnership

Section 16 reporting ended · disclosed 2012-12-14. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Ordinary Shares, no par valueSEC Table I · non-derivative	IndirectHeld through KKR Millennium Fund (Overseas), Limited Partnership	Reported balance After 2012-12-12 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2012-12-12 · Sale · Disposed 2,209,597 · Balance 0 F1: Certain funds affiliated with Kohlberg Kravis Roberts & Co. L.P. ("KKR") and certain funds affiliated with Silver Lake Partners ("Silver Lake") are parties to a shareholders agreement with respect to the ordinary shares of Avago, and solely as a result of which each such person is a member of a group with respect to the ordinary shares of Avago directly or indirectly owned by such persons. Each such person disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F2: As the sole general partner of KKR Millennium Fund (Overseas), Limited Partnership ("Millennium Fund"), KKR Associates Millennium (Overseas), Limited Partnership may be deemed to share voting and dispositive power with respect to the ordinary shares of Avago indirectly owned by Millennium Fund. As the sole general partner of KKR Associates Millennium (Overseas), Limited Partnership, KKR Millennium Limited may be deemed to share voting and dispositive power with respect to the ordinary shares of Avago indirectly owned by Millennium Fund. KKR Associates Millennium (Overseas), Limited Partnership and KKR Millennium Limited disclaim beneficial ownership of such securities, except to the extent of their pecuniary interest. F6: Each of KKR SP Limited ("KKR SP") (as a voting partner to each of KKR Associates Millennium (Overseas), Limited Partnership and KKR Associates Europe, Limited Partnership); KKR Fund Holdings L.P. ("KKR Fund Holdings") (as the sole shareholder of KKR Millennium Limited, KKR Europe Limited and KKR Europe II Limited and the designated member of KKR Millennium GP LLC); KKR Fund Holdings GP Limited ("KKR Fund Holdings GP") (as a general partner of KKR Fund Holdings); (continued to footnote 7) F7: KKR Group Holdings L.P. ("KKR Group Holdings") (as the sole shareholder of KKR Fund Holdings GP and a general partner of KKR Fund Holdings); KKR Group Limited ("KKR Group") (as the general partner of KKR Group Holdings); KKR & Co. L.P. ("KKR & Co.") (as the sole shareholder of KKR Group); and KKR Management LLC ("KKR Management") (as the general partner of KKR & Co.) may also be deemed to be the beneficial owner of the securities held by Millennium Fund, European Fund and European Fund II. F9: As the designated members of KKR Management LLC, Messrs. Henry R. Kravis and George R. Roberts each may be deemed to be the beneficial owner of the securities held by Millennium Fund, European Fund and European Fund II but disclaim beneficial ownership of such securities, except to the extent of their pecuniary interest. As directors of KKR 1996 Overseas, Limited, Messrs. Kravis, Roberts, James H. Greene, Jr., Paul E. Raether, Michael W. Michelson, Johannes P. Huth, Todd A. Fisher, Alexander Navab, Marc S. Lipschultz, Reinhard Gorenflos, Joseph Y. Bae, Brian F. Carroll, Scott C. Nuttall and William J. Janetschek may be deemed to be the beneficial owner of the securities held by Partners International but disclaim beneficial ownership of such securities, except to the extent of their pecuniary interest. Messrs. Kravis and Roberts have also been designated as managers of KKR Millennium GP by KKR Fund Holdings. F10: Each Reporting Person and each other person named in notes (2) through (9) above disclaims beneficial ownership of any securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, any of the Reporting Persons is the beneficial owner of all such equity securities covered by this statement.
Ordinary Shares, no par valueSEC Table I · non-derivative	IndirectHeld through KKR European Fund, Limited Partnership	Reported balance After 2012-12-12 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2012-12-12 · Sale · Disposed 4,339,604 · Balance 0 F1: Certain funds affiliated with Kohlberg Kravis Roberts & Co. L.P. ("KKR") and certain funds affiliated with Silver Lake Partners ("Silver Lake") are parties to a shareholders agreement with respect to the ordinary shares of Avago, and solely as a result of which each such person is a member of a group with respect to the ordinary shares of Avago directly or indirectly owned by such persons. Each such person disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F3: As the sole general partner of KKR European Fund, Limited Partnership ("European Fund"), KKR Associates Europe, Limited Partnership may be deemed to share voting and dispositive power with respect to the ordinary shares of Avago indirectly owned by European Fund. As the sole general partner of KKR Associates Europe, Limited Partnership, KKR Europe Limited may be deemed to share voting and dispositive power with respect to the ordinary shares of Avago indirectly owned by European Fund. KKR Associates Europe, Limited Partnership and KKR Europe Limited disclaim beneficial ownership of such securities, except to the extent of their pecuniary interest. F6: Each of KKR SP Limited ("KKR SP") (as a voting partner to each of KKR Associates Millennium (Overseas), Limited Partnership and KKR Associates Europe, Limited Partnership); KKR Fund Holdings L.P. ("KKR Fund Holdings") (as the sole shareholder of KKR Millennium Limited, KKR Europe Limited and KKR Europe II Limited and the designated member of KKR Millennium GP LLC); KKR Fund Holdings GP Limited ("KKR Fund Holdings GP") (as a general partner of KKR Fund Holdings); (continued to footnote 7) F7: KKR Group Holdings L.P. ("KKR Group Holdings") (as the sole shareholder of KKR Fund Holdings GP and a general partner of KKR Fund Holdings); KKR Group Limited ("KKR Group") (as the general partner of KKR Group Holdings); KKR & Co. L.P. ("KKR & Co.") (as the sole shareholder of KKR Group); and KKR Management LLC ("KKR Management") (as the general partner of KKR & Co.) may also be deemed to be the beneficial owner of the securities held by Millennium Fund, European Fund and European Fund II. F9: As the designated members of KKR Management LLC, Messrs. Henry R. Kravis and George R. Roberts each may be deemed to be the beneficial owner of the securities held by Millennium Fund, European Fund and European Fund II but disclaim beneficial ownership of such securities, except to the extent of their pecuniary interest. As directors of KKR 1996 Overseas, Limited, Messrs. Kravis, Roberts, James H. Greene, Jr., Paul E. Raether, Michael W. Michelson, Johannes P. Huth, Todd A. Fisher, Alexander Navab, Marc S. Lipschultz, Reinhard Gorenflos, Joseph Y. Bae, Brian F. Carroll, Scott C. Nuttall and William J. Janetschek may be deemed to be the beneficial owner of the securities held by Partners International but disclaim beneficial ownership of such securities, except to the extent of their pecuniary interest. Messrs. Kravis and Roberts have also been designated as managers of KKR Millennium GP by KKR Fund Holdings. F10: Each Reporting Person and each other person named in notes (2) through (9) above disclaims beneficial ownership of any securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, any of the Reporting Persons is the beneficial owner of all such equity securities covered by this statement.
Ordinary Shares, no par valueSEC Table I · non-derivative	IndirectHeld through KKR European Fund II, Limited Partnership	Reported balance After 2012-12-12 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2012-12-12 · Sale · Disposed 2,950,886 · Balance 0 F1: Certain funds affiliated with Kohlberg Kravis Roberts & Co. L.P. ("KKR") and certain funds affiliated with Silver Lake Partners ("Silver Lake") are parties to a shareholders agreement with respect to the ordinary shares of Avago, and solely as a result of which each such person is a member of a group with respect to the ordinary shares of Avago directly or indirectly owned by such persons. Each such person disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F4: As the sole general partner of KKR European Fund II, Limited Partnership ("European Fund II"), KKR Associates Europe II, Limited Partnership may be deemed to share voting and dispositive power with respect to the ordinary shares of Avago indirectly owned by European Fund II. As the sole general partner of KKR Associates Europe II, Limited Partnership, KKR Europe II Limited may be deemed to share voting and dispositive power with respect to the ordinary shares of Avago indirectly owned by European Fund II. KKR Associates Europe II, Limited Partnership and KKR Europe II Limited disclaim beneficial ownership of such securities, except to the extent of their pecuniary interest. F6: Each of KKR SP Limited ("KKR SP") (as a voting partner to each of KKR Associates Millennium (Overseas), Limited Partnership and KKR Associates Europe, Limited Partnership); KKR Fund Holdings L.P. ("KKR Fund Holdings") (as the sole shareholder of KKR Millennium Limited, KKR Europe Limited and KKR Europe II Limited and the designated member of KKR Millennium GP LLC); KKR Fund Holdings GP Limited ("KKR Fund Holdings GP") (as a general partner of KKR Fund Holdings); (continued to footnote 7) F7: KKR Group Holdings L.P. ("KKR Group Holdings") (as the sole shareholder of KKR Fund Holdings GP and a general partner of KKR Fund Holdings); KKR Group Limited ("KKR Group") (as the general partner of KKR Group Holdings); KKR & Co. L.P. ("KKR & Co.") (as the sole shareholder of KKR Group); and KKR Management LLC ("KKR Management") (as the general partner of KKR & Co.) may also be deemed to be the beneficial owner of the securities held by Millennium Fund, European Fund and European Fund II. F9: As the designated members of KKR Management LLC, Messrs. Henry R. Kravis and George R. Roberts each may be deemed to be the beneficial owner of the securities held by Millennium Fund, European Fund and European Fund II but disclaim beneficial ownership of such securities, except to the extent of their pecuniary interest. As directors of KKR 1996 Overseas, Limited, Messrs. Kravis, Roberts, James H. Greene, Jr., Paul E. Raether, Michael W. Michelson, Johannes P. Huth, Todd A. Fisher, Alexander Navab, Marc S. Lipschultz, Reinhard Gorenflos, Joseph Y. Bae, Brian F. Carroll, Scott C. Nuttall and William J. Janetschek may be deemed to be the beneficial owner of the securities held by Partners International but disclaim beneficial ownership of such securities, except to the extent of their pecuniary interest. Messrs. Kravis and Roberts have also been designated as managers of KKR Millennium GP by KKR Fund Holdings. F10: Each Reporting Person and each other person named in notes (2) through (9) above disclaims beneficial ownership of any securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, any of the Reporting Persons is the beneficial owner of all such equity securities covered by this statement.
Ordinary Shares, no par valueSEC Table I · non-derivative	IndirectHeld through Avago Investment Partners, Limited Partnership	Reported balance After 2012-12-12 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 4 · 2012-12-12 · Sale · Disposed 1,506,428 · Balance 0 F1: Certain funds affiliated with Kohlberg Kravis Roberts & Co. L.P. ("KKR") and certain funds affiliated with Silver Lake Partners ("Silver Lake") are parties to a shareholders agreement with respect to the ordinary shares of Avago, and solely as a result of which each such person is a member of a group with respect to the ordinary shares of Avago directly or indirectly owned by such persons. Each such person disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F5: As the sole general partner of Avago Investment Partners, Limited Partnership ("AIP") , Avago Investment G.P., Limited may be deemed to share voting and dispositive power with respect to the ordinary shares of Avago indirectly owned by AIP. As a member of Avago Investment G.P., Limited, KKR Millennium GP LLC may be deemed to share voting and dispositive power with respect to the ordinary shares of Avago indirectly owned by AIP. Avago Investment G.P., Limited and KKR Millennium GP LLC disclaim beneficial ownership of such securities, except to the extent of their pecuniary interest. F6: Each of KKR SP Limited ("KKR SP") (as a voting partner to each of KKR Associates Millennium (Overseas), Limited Partnership and KKR Associates Europe, Limited Partnership); KKR Fund Holdings L.P. ("KKR Fund Holdings") (as the sole shareholder of KKR Millennium Limited, KKR Europe Limited and KKR Europe II Limited and the designated member of KKR Millennium GP LLC); KKR Fund Holdings GP Limited ("KKR Fund Holdings GP") (as a general partner of KKR Fund Holdings); (continued to footnote 7) F7: KKR Group Holdings L.P. ("KKR Group Holdings") (as the sole shareholder of KKR Fund Holdings GP and a general partner of KKR Fund Holdings); KKR Group Limited ("KKR Group") (as the general partner of KKR Group Holdings); KKR & Co. L.P. ("KKR & Co.") (as the sole shareholder of KKR Group); and KKR Management LLC ("KKR Management") (as the general partner of KKR & Co.) may also be deemed to be the beneficial owner of the securities held by Millennium Fund, European Fund and European Fund II. F9: As the designated members of KKR Management LLC, Messrs. Henry R. Kravis and George R. Roberts each may be deemed to be the beneficial owner of the securities held by Millennium Fund, European Fund and European Fund II but disclaim beneficial ownership of such securities, except to the extent of their pecuniary interest. As directors of KKR 1996 Overseas, Limited, Messrs. Kravis, Roberts, James H. Greene, Jr., Paul E. Raether, Michael W. Michelson, Johannes P. Huth, Todd A. Fisher, Alexander Navab, Marc S. Lipschultz, Reinhard Gorenflos, Joseph Y. Bae, Brian F. Carroll, Scott C. Nuttall and William J. Janetschek may be deemed to be the beneficial owner of the securities held by Partners International but disclaim beneficial ownership of such securities, except to the extent of their pecuniary interest. Messrs. Kravis and Roberts have also been designated as managers of KKR Millennium GP by KKR Fund Holdings. F10: Each Reporting Person and each other person named in notes (2) through (9) above disclaims beneficial ownership of any securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, any of the Reporting Persons is the beneficial owner of all such equity securities covered by this statement.
Ordinary Shares, no par valueSEC Table I · non-derivative	IndirectHeld through KKR Partners (International), Limited Partnership	Reported balance After 2012-12-12 transaction · row 5 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 5 · 2012-12-12 · Sale · Disposed 390,665 · Balance 0 F1: Certain funds affiliated with Kohlberg Kravis Roberts & Co. L.P. ("KKR") and certain funds affiliated with Silver Lake Partners ("Silver Lake") are parties to a shareholders agreement with respect to the ordinary shares of Avago, and solely as a result of which each such person is a member of a group with respect to the ordinary shares of Avago directly or indirectly owned by such persons. Each such person disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F8: As the sole general partner of KKR Partners (International), Limited Partnership ("Partners International"), KKR 1996 Overseas, Limited may be deemed to share voting and dispositive power with respect to the ordinary shares of Avago indirectly owned by Partners International. KKR 1996 Overseas, Limited disclaims beneficial ownership of such securities, except to the extent of its pecuniary interest. F9: As the designated members of KKR Management LLC, Messrs. Henry R. Kravis and George R. Roberts each may be deemed to be the beneficial owner of the securities held by Millennium Fund, European Fund and European Fund II but disclaim beneficial ownership of such securities, except to the extent of their pecuniary interest. As directors of KKR 1996 Overseas, Limited, Messrs. Kravis, Roberts, James H. Greene, Jr., Paul E. Raether, Michael W. Michelson, Johannes P. Huth, Todd A. Fisher, Alexander Navab, Marc S. Lipschultz, Reinhard Gorenflos, Joseph Y. Bae, Brian F. Carroll, Scott C. Nuttall and William J. Janetschek may be deemed to be the beneficial owner of the securities held by Partners International but disclaim beneficial ownership of such securities, except to the extent of their pecuniary interest. Messrs. Kravis and Roberts have also been designated as managers of KKR Millennium GP by KKR Fund Holdings. F10: Each Reporting Person and each other person named in notes (2) through (9) above disclaims beneficial ownership of any securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, any of the Reporting Persons is the beneficial owner of all such equity securities covered by this statement.

Filing footnotes · ownership attribution and instrument terms

F1: Certain funds affiliated with Kohlberg Kravis Roberts & Co. L.P. ("KKR") and certain funds affiliated with Silver Lake Partners ("Silver Lake") are parties to a shareholders agreement with respect to the ordinary shares of Avago, and solely as a result of which each such person is a member of a group with respect to the ordinary shares of Avago directly or indirectly owned by such persons. Each such person disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein.

F2: As the sole general partner of KKR Millennium Fund (Overseas), Limited Partnership ("Millennium Fund"), KKR Associates Millennium (Overseas), Limited Partnership may be deemed to share voting and dispositive power with respect to the ordinary shares of Avago indirectly owned by Millennium Fund. As the sole general partner of KKR Associates Millennium (Overseas), Limited Partnership, KKR Millennium Limited may be deemed to share voting and dispositive power with respect to the ordinary shares of Avago indirectly owned by Millennium Fund. KKR Associates Millennium (Overseas), Limited Partnership and KKR Millennium Limited disclaim beneficial ownership of such securities, except to the extent of their pecuniary interest.

F3: As the sole general partner of KKR European Fund, Limited Partnership ("European Fund"), KKR Associates Europe, Limited Partnership may be deemed to share voting and dispositive power with respect to the ordinary shares of Avago indirectly owned by European Fund. As the sole general partner of KKR Associates Europe, Limited Partnership, KKR Europe Limited may be deemed to share voting and dispositive power with respect to the ordinary shares of Avago indirectly owned by European Fund. KKR Associates Europe, Limited Partnership and KKR Europe Limited disclaim beneficial ownership of such securities, except to the extent of their pecuniary interest.

F4: As the sole general partner of KKR European Fund II, Limited Partnership ("European Fund II"), KKR Associates Europe II, Limited Partnership may be deemed to share voting and dispositive power with respect to the ordinary shares of Avago indirectly owned by European Fund II. As the sole general partner of KKR Associates Europe II, Limited Partnership, KKR Europe II Limited may be deemed to share voting and dispositive power with respect to the ordinary shares of Avago indirectly owned by European Fund II. KKR Associates Europe II, Limited Partnership and KKR Europe II Limited disclaim beneficial ownership of such securities, except to the extent of their pecuniary interest.

F5: As the sole general partner of Avago Investment Partners, Limited Partnership ("AIP") , Avago Investment G.P., Limited may be deemed to share voting and dispositive power with respect to the ordinary shares of Avago indirectly owned by AIP. As a member of Avago Investment G.P., Limited, KKR Millennium GP LLC may be deemed to share voting and dispositive power with respect to the ordinary shares of Avago indirectly owned by AIP. Avago Investment G.P., Limited and KKR Millennium GP LLC disclaim beneficial ownership of such securities, except to the extent of their pecuniary interest.

F6: Each of KKR SP Limited ("KKR SP") (as a voting partner to each of KKR Associates Millennium (Overseas), Limited Partnership and KKR Associates Europe, Limited Partnership); KKR Fund Holdings L.P. ("KKR Fund Holdings") (as the sole shareholder of KKR Millennium Limited, KKR Europe Limited and KKR Europe II Limited and the designated member of KKR Millennium GP LLC); KKR Fund Holdings GP Limited ("KKR Fund Holdings GP") (as a general partner of KKR Fund Holdings); (continued to footnote 7)

F7: KKR Group Holdings L.P. ("KKR Group Holdings") (as the sole shareholder of KKR Fund Holdings GP and a general partner of KKR Fund Holdings); KKR Group Limited ("KKR Group") (as the general partner of KKR Group Holdings); KKR & Co. L.P. ("KKR & Co.") (as the sole shareholder of KKR Group); and KKR Management LLC ("KKR Management") (as the general partner of KKR & Co.) may also be deemed to be the beneficial owner of the securities held by Millennium Fund, European Fund and European Fund II.

F8: As the sole general partner of KKR Partners (International), Limited Partnership ("Partners International"), KKR 1996 Overseas, Limited may be deemed to share voting and dispositive power with respect to the ordinary shares of Avago indirectly owned by Partners International. KKR 1996 Overseas, Limited disclaims beneficial ownership of such securities, except to the extent of its pecuniary interest.

F9: As the designated members of KKR Management LLC, Messrs. Henry R. Kravis and George R. Roberts each may be deemed to be the beneficial owner of the securities held by Millennium Fund, European Fund and European Fund II but disclaim beneficial ownership of such securities, except to the extent of their pecuniary interest. As directors of KKR 1996 Overseas, Limited, Messrs. Kravis, Roberts, James H. Greene, Jr., Paul E. Raether, Michael W. Michelson, Johannes P. Huth, Todd A. Fisher, Alexander Navab, Marc S. Lipschultz, Reinhard Gorenflos, Joseph Y. Bae, Brian F. Carroll, Scott C. Nuttall and William J. Janetschek may be deemed to be the beneficial owner of the securities held by Partners International but disclaim beneficial ownership of such securities, except to the extent of their pecuniary interest. Messrs. Kravis and Roberts have also been designated as managers of KKR Millennium GP by KKR Fund Holdings.

F10: Each Reporting Person and each other person named in notes (2) through (9) above disclaims beneficial ownership of any securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, any of the Reporting Persons is the beneficial owner of all such equity securities covered by this statement.

BRISTOL WEST HOLDINGS INC

Report date July 03, 2007 · Filed July 06, 2007

Jointly reported with KKR 1996 GP LLC, KKR ASSOCIATES 1996 L P, KKR 1996 FUND L P, BRISTOL WEST ASSOCIATES LLC, KRAVIS HENRY R, ROBERTS GEORGE R, GREENE JAMES H JR, GILHULY EDWARD A, STUART SCOTT M

Section 16 reporting ended · disclosed 2007-07-06. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnote	0	Reported balance After 2007-07-03 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2007-07-03 · Other · Disposed 12,257,368 · Balance 0 F1: Disposed of pursuant to merger agreement between issuer, Farmers Group Inc. and BWH Acquisition Company in exchange for cash. F2: See attached joint filer information. Information with respect to Messrs. Golkin, Huth, Navab, Fisher and Michelson may be found on a corresponding Form 4 filed on the date hereof.

Filing footnotes · ownership attribution and instrument terms

F1: Disposed of pursuant to merger agreement between issuer, Farmers Group Inc. and BWH Acquisition Company in exchange for cash.

F2: See attached joint filer information. Information with respect to Messrs. Golkin, Huth, Navab, Fisher and Michelson may be found on a corresponding Form 4 filed on the date hereof.

O-I Glass, Inc. /DE/

Report date December 02, 2004 · Filed December 06, 2004

Jointly reported with KKR ASSOCIATES, GILHULY EDWARD A, ROBERTS GEORGE R, GOLKIN PERRY, KRAVIS HENRY R, STUART SCOTT M, KKR PARTNERS II LP, OII Associates, L.P., OII Associates II, L.P.

Section 16 reporting ended · disclosed 2004-12-06. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnotes	4,365,000	Reported balance After 2004-12-02 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2004-12-02 · Sale · Disposed 30,555,000 · Balance 4,365,000 F1: Shares sold pursuant to a registered offering. F2: These shares are directly owned by OII Associates, L.P. ("OII"). KKR Associates, L.P. ("KKR Associates") is the general partner of OII and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by OII, but disclaims such beneficial ownership except to the extent of its economic interest. F3: Messrs. Henry R. Kravis, George R. Roberts, Paul E. Raether, Edward A. Gilhuly, Perry Golkin and Scott M. Stuart are general partners of KKR Associates, and in such capacity may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his econimic interest.
Common StockSEC Table I · non-derivative	IndirectSee Footnotes	106,075	Reported balance After 2004-12-02 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2004-12-02 · Sale · Disposed 742,525 · Balance 106,075 F1: Shares sold pursuant to a registered offering. F3: Messrs. Henry R. Kravis, George R. Roberts, Paul E. Raether, Edward A. Gilhuly, Perry Golkin and Scott M. Stuart are general partners of KKR Associates, and in such capacity may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his econimic interest. F4: These shares are directly owned by KKR Partners II, L.P. ("KKR Partners"). KKR Associates is a general partner of KKR Partners and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by KKR Partners, but disclaims such beneficial ownership except to the extent of its economic interest. F5: Each of KKR Partners and OII II is filing this Form 4 because, pursuant to the rules promulgated under the Securities Exchange Act of 1934, as amended (the "Act"), it may be deemed a "ten percent beneficial owner" for purposes of Section 16 of the Act were it held to be a member of a "group," as defined in Section 13(d) of the Act. KKR Partners and OII II do not affirm the existence of a group.
Common StockSEC Table I · non-derivative	IndirectSee Footnotes	28,925	Reported balance After 2004-12-02 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2004-12-02 · Sale · Disposed 202,475 · Balance 28,925 F1: Shares sold pursuant to a registered offering. F3: Messrs. Henry R. Kravis, George R. Roberts, Paul E. Raether, Edward A. Gilhuly, Perry Golkin and Scott M. Stuart are general partners of KKR Associates, and in such capacity may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his econimic interest. F5: Each of KKR Partners and OII II is filing this Form 4 because, pursuant to the rules promulgated under the Securities Exchange Act of 1934, as amended (the "Act"), it may be deemed a "ten percent beneficial owner" for purposes of Section 16 of the Act were it held to be a member of a "group," as defined in Section 13(d) of the Act. KKR Partners and OII II do not affirm the existence of a group. F6: These shares are directly owned by OII Associates II, L.P. ("OII II"). KKR Associates is a general partner of OII II and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by OII II, but disclaims such beneficial ownership except to the extent of its economic interest.
Common StockSEC Table I · non-derivative	Direct	10,000	Reported balance Holding disclosure · report date 2004-12-02 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 10,000 F7: These securities are owned solely by Edward A. Gilhuly.

Filing footnotes · ownership attribution and instrument terms

F1: Shares sold pursuant to a registered offering.

F2: These shares are directly owned by OII Associates, L.P. ("OII"). KKR Associates, L.P. ("KKR Associates") is the general partner of OII and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by OII, but disclaims such beneficial ownership except to the extent of its economic interest.

F3: Messrs. Henry R. Kravis, George R. Roberts, Paul E. Raether, Edward A. Gilhuly, Perry Golkin and Scott M. Stuart are general partners of KKR Associates, and in such capacity may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his econimic interest.

F4: These shares are directly owned by KKR Partners II, L.P. ("KKR Partners"). KKR Associates is a general partner of KKR Partners and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by KKR Partners, but disclaims such beneficial ownership except to the extent of its economic interest.

F5: Each of KKR Partners and OII II is filing this Form 4 because, pursuant to the rules promulgated under the Securities Exchange Act of 1934, as amended (the "Act"), it may be deemed a "ten percent beneficial owner" for purposes of Section 16 of the Act were it held to be a member of a "group," as defined in Section 13(d) of the Act. KKR Partners and OII II do not affirm the existence of a group.

F6: These shares are directly owned by OII Associates II, L.P. ("OII II"). KKR Associates is a general partner of OII II and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by OII II, but disclaims such beneficial ownership except to the extent of its economic interest.

F7: These securities are owned solely by Edward A. Gilhuly.

PanAmSat Holding CORP

Report date July 03, 2006 · Filed July 05, 2006

Jointly reported with KKR Millennium GP LLC, Constellation, LLC, KKR Millennium Fund L.P., KKR Associates Millennium L.P., KKR Partners III, L.P., KKR III GP LLC, KRAVIS HENRY R, ROBERTS GEORGE R, GREENE JAMES H JR

Section 16 reporting ended · disclosed 2006-07-05. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee note	0	Reported balance After 2006-07-03 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2006-07-03 · Other · Disposed 31,932,251 · Balance 0 F1: Pursuant to the merger (the "Merger") of a wholly-owned subsidiary of Intelsat (Bermuda), Ltd. ("Intelsat") with and into PanAmSat Holding Corporation ("PanAmSat"), each outstanding share of common stock of PanAmSat (the "Common Stock") was converted into the right to receive $25.00, plus approximately $0.00927 as the pro rata quarterly dividend, per share in cash without interest. As a result of the Merger, PanAmSat became a wholly-owned subsidiary of Intelsat, and the Common Stock was delisted from the New York Stock Exchange. F2: The shares of Common Stock reported on this statement were held of record by Constellation, LLC, one of the Reporting Persons. Information about this holding and the Reporting Persons are set forth in the joint filer information attached as Exhibit 99.1.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the merger (the "Merger") of a wholly-owned subsidiary of Intelsat (Bermuda), Ltd. ("Intelsat") with and into PanAmSat Holding Corporation ("PanAmSat"), each outstanding share of common stock of PanAmSat (the "Common Stock") was converted into the right to receive $25.00, plus approximately $0.00927 as the pro rata quarterly dividend, per share in cash without interest. As a result of the Merger, PanAmSat became a wholly-owned subsidiary of Intelsat, and the Common Stock was delisted from the New York Stock Exchange.

F2: The shares of Common Stock reported on this statement were held of record by Constellation, LLC, one of the Reporting Persons. Information about this holding and the Reporting Persons are set forth in the joint filer information attached as Exhibit 99.1.

WALTER INDUSTRIES INC /NEW/

Report date October 28, 2004 · Filed November 01, 2004

Jointly reported with KKR ASSOCIATES, GREENE JAMES H JR, KRAVIS HENRY R, ROBERTS GEORGE R, GOLKIN PERRY, STUART SCOTT M, GILHULY EDWARD A, MICHELSON MICHAEL W

Section 16 reporting ended · disclosed 2004-11-01. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Notes	1,092,488	Reported balance After 2004-10-28 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2004-10-28 · Sale · Disposed 4,374,755 · Balance 1,092,488 F1: Shares sold pursuant to a registered offering. F2: These shares are directly owned by JWC Associates, L.P. ("JWC"). KKR Associates, L.P. ("KKR Associates") is the general partner of JWC and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by JWC, but disclaims such beneficial ownership, except to the extent of its economic interest. F3: Messrs. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stuart and Edward A. Gilhuly are the general partners of KKR Associates, and in such capacity, may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his economic interest.
Common StockSEC Table I · non-derivative	IndirectSee Notes	0	Reported balance After 2004-10-28 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2004-10-28 · Other · Disposed 1,092,488 · Balance 0 F4: Shares sold to the Issuer pursuant to a Stock Repurchase Agreement dated October 28, 2004. F2: These shares are directly owned by JWC Associates, L.P. ("JWC"). KKR Associates, L.P. ("KKR Associates") is the general partner of JWC and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by JWC, but disclaims such beneficial ownership, except to the extent of its economic interest. F3: Messrs. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stuart and Edward A. Gilhuly are the general partners of KKR Associates, and in such capacity, may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his economic interest.
Common StockSEC Table I · non-derivative	IndirectSee Notes	7,239	Reported balance After 2004-10-28 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2004-10-28 · Sale · Disposed 28,988 · Balance 7,239 F1: Shares sold pursuant to a registered offering. F3: Messrs. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stuart and Edward A. Gilhuly are the general partners of KKR Associates, and in such capacity, may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his economic interest. F5: These shares are directly owned by JWC Associates II, L.P. ("JWC II"). KKR Associates is the general partner of JWC II and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by JWC II, but disclaims such beneficial ownership, except to the extent of its economic interest.
Common StockSEC Table I · non-derivative	IndirectSee Notes	0	Reported balance After 2004-10-28 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 4 · 2004-10-28 · Other · Disposed 7,239 · Balance 0 F4: Shares sold to the Issuer pursuant to a Stock Repurchase Agreement dated October 28, 2004. F3: Messrs. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stuart and Edward A. Gilhuly are the general partners of KKR Associates, and in such capacity, may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his economic interest. F5: These shares are directly owned by JWC Associates II, L.P. ("JWC II"). KKR Associates is the general partner of JWC II and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by JWC II, but disclaims such beneficial ownership, except to the extent of its economic interest.
Common StockSEC Table I · non-derivative	IndirectSee Notes	26,484	Reported balance After 2004-10-28 transaction · row 5 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 5 · 2004-10-28 · Sale · Disposed 106,051 · Balance 26,484 F1: Shares sold pursuant to a registered offering. F3: Messrs. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stuart and Edward A. Gilhuly are the general partners of KKR Associates, and in such capacity, may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his economic interest. F6: These shares are directly owned by KKR Partners II, L.P. ("KKR Partners"). KKR Associates is the general partner of KKR Partners and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by KKR Partners, but disclaims such beneficial ownership, except to the extent of its economic interest.
Common StockSEC Table I · non-derivative	IndirectSee Notes	0	Reported balance After 2004-10-28 transaction · row 6 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 6 · 2004-10-28 · Other · Disposed 26,484 · Balance 0 F4: Shares sold to the Issuer pursuant to a Stock Repurchase Agreement dated October 28, 2004. F3: Messrs. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stuart and Edward A. Gilhuly are the general partners of KKR Associates, and in such capacity, may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his economic interest. F6: These shares are directly owned by KKR Partners II, L.P. ("KKR Partners"). KKR Associates is the general partner of KKR Partners and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by KKR Partners, but disclaims such beneficial ownership, except to the extent of its economic interest.
Common StockSEC Table I · non-derivative	IndirectSee Notes	871,594	Reported balance After 2004-10-28 transaction · row 7 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 7 · 2004-10-28 · Sale · Disposed 3,490,206 · Balance 871,594 F1: Shares sold pursuant to a registered offering. F3: Messrs. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stuart and Edward A. Gilhuly are the general partners of KKR Associates, and in such capacity, may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his economic interest. F7: These shares are directly owned by Channel One Associates, L.P. ("Channel One"). KKR Associates is the general partner of Channel One and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by Channel One, but disclaims such beneficial ownership, except to the extent of its economic interest.
Common StockSEC Table I · non-derivative	IndirectSee Notes	0	Reported balance After 2004-10-28 transaction · row 8 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 8 · 2004-10-28 · Other · Disposed 871,594 · Balance 0 F4: Shares sold to the Issuer pursuant to a Stock Repurchase Agreement dated October 28, 2004. F3: Messrs. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stuart and Edward A. Gilhuly are the general partners of KKR Associates, and in such capacity, may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his economic interest. F7: These shares are directly owned by Channel One Associates, L.P. ("Channel One"). KKR Associates is the general partner of Channel One and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by Channel One, but disclaims such beneficial ownership, except to the extent of its economic interest.

Filing footnotes · ownership attribution and instrument terms

F1: Shares sold pursuant to a registered offering.

F2: These shares are directly owned by JWC Associates, L.P. ("JWC"). KKR Associates, L.P. ("KKR Associates") is the general partner of JWC and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by JWC, but disclaims such beneficial ownership, except to the extent of its economic interest.

F3: Messrs. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stuart and Edward A. Gilhuly are the general partners of KKR Associates, and in such capacity, may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his economic interest.

F4: Shares sold to the Issuer pursuant to a Stock Repurchase Agreement dated October 28, 2004.

F5: These shares are directly owned by JWC Associates II, L.P. ("JWC II"). KKR Associates is the general partner of JWC II and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by JWC II, but disclaims such beneficial ownership, except to the extent of its economic interest.

F6: These shares are directly owned by KKR Partners II, L.P. ("KKR Partners"). KKR Associates is the general partner of KKR Partners and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by KKR Partners, but disclaims such beneficial ownership, except to the extent of its economic interest.

F7: These shares are directly owned by Channel One Associates, L.P. ("Channel One"). KKR Associates is the general partner of Channel One and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by Channel One, but disclaims such beneficial ownership, except to the extent of its economic interest.

ZTI MERGER SUBSIDIARY III INC

Report date November 13, 2003 · Filed November 17, 2003

Jointly reported with KKR 1996 GP LLC, KKR ASSOCIATES 1996 L P, KKR 1996 FUND L P, KKR ZT LLC, NAVAB ALEXANDER, RICHARRDSON NEIL A, STUART SCOTT M, KRAVIS HENRY R

Section 16 reporting ended · disclosed 2003-11-17. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee below.	0	Last balance in matching sequence After 2003-11-13 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 1 · 2003-11-13 · Conversion · Acquired 19,062,500 · Balance 19,062,500 F1: See the attached Joint Filer information. Row 2 · 2003-11-13 · Other · Disposed 19,062,500 · Balance 0 F1: See the attached Joint Filer information.
Series AA Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $4.00	IndirectSee below.	0	Reported balance After 2003-11-13 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2003-11-13 · Conversion · Disposed 19,062,500 · Balance 0 F1: See the attached Joint Filer information. F2: Not applicable.

Filing footnotes · ownership attribution and instrument terms

F1: See the attached Joint Filer information.

F2: Not applicable.

Transaction history

JSON API

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
August 11, 2009 Filed Aug 13, 2009 23:56 UTC	Avago Technologies LTD AVGO · Entity 16711	SaleOrdinary Shares, no par value	1,210,081	$15.00	$18,151,215.00	Disclosure SEC source: 0001181431-09-039542 · rrd250627.xml · nonDerivative · entry 5 KKR Millennium LTD · CIK 0001336829 · 10% owner KKR Associates Millennium (Overseas) Limited Partnership · CIK 0001336828 · 10% owner KKR Millennium Fund (Overseas), Limited Partnership · CIK 0001336827 · 10% owner KKR Europe LTD · CIK 0001335017 · 10% owner KKR Associates Europe, Limited Partnership · CIK 0001335016 · 10% owner KKR European Fund, Limited Partnership · CIK 0001335034 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner GREENE JAMES H JR · CIK 0001205970 · Director · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through Bali Investments S.a r.l. and Avago Investment Partners, Limited Partnership Disclosed balance after: 10,913,556 F1 · ownership.nature: Bali Investments S.a r.l. ("Bali") holds 155,441,278 of the ordinary shares of Avago Technologies Limited ("Avago"). The shareholders of Bali include overseas investment funds affiliated with Kohlberg Kravis Roberts & Co. L.P. ("KKR") and funds affiliated with Silver Lake Partners ("Silver Lake"). Each such person may be deemed to be a member of a group with respect to the ordinary shares of Avago held by Bali. However, each such person disclaims membership in any such group and disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F2 · ownership.nature: Bali, certain affiliates of KKR, certain affiliates of Silver Lake, Seletar Investments Pte Ltd and Geyser Investment Pte Ltd are parties to a shareholders agreement with respect to the ordinary shares of Avago, and solely as a result of which each such person may be deemed to be a member of a group with respect to the ordinary shares of Avago directly or indirectly owned by such persons. However, each such person disclaims membership in any such group and disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. Certain affiliates of KKR collectively have the right under the shareholders agreement to nominate up to three directors of Avago. F11 · ownership.nature: Avago Investment Partners, Limited Partnership ("AIP"), as a shareholder of Bali, may be deemed to indirectly own 10,913,556 ordinary shares of Avago. As the sole general partner of AIP, Avago Investment G.P., Limited may be deemed to share voting and dispositive power with respect to the ordinary shares of Avago indirectly owned by AIP. As a member of Avago Investment G.P., Limited, KKR Millennium GP LLC may be deemed to share voting and dispositive power with respect to the ordinary shares of Avago indirectly owned by AIP. Avago Investment G.P., Limited and KKR Millennium GP LLC disclaim beneficial ownership of such securities, except to the extent of their pecuniary interest. F12 · ownership.nature: KKR Millennium GP LLC is a limited liability company, the managing members of which are Messrs. Henry R. Kravis and George R. Roberts, and the other members of which are the other individuals named in footnote (4), other than Messrs. Bae, Carroll and Saer. Each of such individuals may be deemed to share voting and dispositive power with respect to any shares beneficially owned by KKR Millennium GP LLC but disclaim beneficial ownership of such shares, except to the extent of his pecuniary interest therein. F13 · ownership.nature: The filing of this statement shall not be deemed an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, any of the Reporting Persons is the beneficial owner of all such equity securities covered by this statement. Read SEC document
August 11, 2009 Filed Aug 13, 2009 23:56 UTC	Avago Technologies LTD AVGO · Entity 16711	SaleOrdinary Shares, no par value	313,813	$15.00	$4,707,195.00	Disclosure SEC source: 0001181431-09-039542 · rrd250627.xml · nonDerivative · entry 4 KKR Millennium LTD · CIK 0001336829 · 10% owner KKR Associates Millennium (Overseas) Limited Partnership · CIK 0001336828 · 10% owner KKR Millennium Fund (Overseas), Limited Partnership · CIK 0001336827 · 10% owner KKR Europe LTD · CIK 0001335017 · 10% owner KKR Associates Europe, Limited Partnership · CIK 0001335016 · 10% owner KKR European Fund, Limited Partnership · CIK 0001335034 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner GREENE JAMES H JR · CIK 0001205970 · Director · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through Bali Investments S.a r.l. and KKR Partners (International), Limited Partnership Disclosed balance after: 2,830,236 F1 · ownership.nature: Bali Investments S.a r.l. ("Bali") holds 155,441,278 of the ordinary shares of Avago Technologies Limited ("Avago"). The shareholders of Bali include overseas investment funds affiliated with Kohlberg Kravis Roberts & Co. L.P. ("KKR") and funds affiliated with Silver Lake Partners ("Silver Lake"). Each such person may be deemed to be a member of a group with respect to the ordinary shares of Avago held by Bali. However, each such person disclaims membership in any such group and disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F2 · ownership.nature: Bali, certain affiliates of KKR, certain affiliates of Silver Lake, Seletar Investments Pte Ltd and Geyser Investment Pte Ltd are parties to a shareholders agreement with respect to the ordinary shares of Avago, and solely as a result of which each such person may be deemed to be a member of a group with respect to the ordinary shares of Avago directly or indirectly owned by such persons. However, each such person disclaims membership in any such group and disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. Certain affiliates of KKR collectively have the right under the shareholders agreement to nominate up to three directors of Avago. F9 · ownership.nature: KKR Partners (International), Limited Partnership ("Partners International"), as a shareholder of Bali, may be deemed to indirectly own 2,830,236 ordinary shares of Avago. As the sole general partner of Partners International, KKR 1996 Overseas, Limited may be deemed to share voting and dispositive power with respect to the ordinary shares of Avago indirectly owned by Partners International. KKR 1996 Overseas, Limited disclaims beneficial ownership of such securities, except to the extent of its pecuniary interest. F10 · ownership.nature: The directors of KKR 1996 Overseas, Limited are the individuals named in footnote (4), other than Messrs. Garaialde and Calbert. Each of such individuals may be deemed to share voting and dispositive power with respect to any shares beneficially owned by KKR 1996 Overseas, Limited but disclaim beneficial ownership of such shares, except to the extent of his pecuniary interest therein. F13 · ownership.nature: The filing of this statement shall not be deemed an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, any of the Reporting Persons is the beneficial owner of all such equity securities covered by this statement. Read SEC document
August 11, 2009 Filed Aug 13, 2009 23:56 UTC	Avago Technologies LTD AVGO · Entity 16711	SaleOrdinary Shares, no par value	2,370,383	$15.00	$35,555,745.00	Disclosure SEC source: 0001181431-09-039542 · rrd250627.xml · nonDerivative · entry 3 KKR Millennium LTD · CIK 0001336829 · 10% owner KKR Associates Millennium (Overseas) Limited Partnership · CIK 0001336828 · 10% owner KKR Millennium Fund (Overseas), Limited Partnership · CIK 0001336827 · 10% owner KKR Europe LTD · CIK 0001335017 · 10% owner KKR Associates Europe, Limited Partnership · CIK 0001335016 · 10% owner KKR European Fund, Limited Partnership · CIK 0001335034 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner GREENE JAMES H JR · CIK 0001205970 · Director · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through Bali Investments S.a r.l. and KKR European Fund II, Limited Partnership Disclosed balance after: 21,378,162 F1 · ownership.nature: Bali Investments S.a r.l. ("Bali") holds 155,441,278 of the ordinary shares of Avago Technologies Limited ("Avago"). The shareholders of Bali include overseas investment funds affiliated with Kohlberg Kravis Roberts & Co. L.P. ("KKR") and funds affiliated with Silver Lake Partners ("Silver Lake"). Each such person may be deemed to be a member of a group with respect to the ordinary shares of Avago held by Bali. However, each such person disclaims membership in any such group and disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F2 · ownership.nature: Bali, certain affiliates of KKR, certain affiliates of Silver Lake, Seletar Investments Pte Ltd and Geyser Investment Pte Ltd are parties to a shareholders agreement with respect to the ordinary shares of Avago, and solely as a result of which each such person may be deemed to be a member of a group with respect to the ordinary shares of Avago directly or indirectly owned by such persons. However, each such person disclaims membership in any such group and disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. Certain affiliates of KKR collectively have the right under the shareholders agreement to nominate up to three directors of Avago. F7 · ownership.nature: KKR European Fund II, Limited Partnership ("European Fund II"), as a shareholder of Bali, may be deemed to indirectly own 21,378,162 ordinary shares of Avago. As the sole general partner of European Fund II, KKR Associates Europe II, Limited Partnership may be deemed to share voting and dispositive power with respect to the ordinary shares of Avago indirectly owned by European Fund II. As the sole general partner of KKR Associates Europe II, Limited Partnership, KKR Europe II Limited may be deemed to share voting and dispositive power with respect to the ordinary shares of Avago indirectly owned by European Fund II. KKR Associates Europe II, Limited Partnership and KKR Europe II Limited disclaim beneficial ownership of such securities, except to the extent of their pecuniary interest. F8 · ownership.nature: The directors of KKR Europe Limited II are the individuals named in footnote (4). Each of such individuals may be deemed to share voting and dispositive power with respect to any shares beneficially owned by KKR Europe Limited II but disclaim beneficial ownership of such shares, except to the extent of his pecuniary interest therein. F13 · ownership.nature: The filing of this statement shall not be deemed an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, any of the Reporting Persons is the beneficial owner of all such equity securities covered by this statement. Read SEC document
August 11, 2009 Filed Aug 13, 2009 23:56 UTC	Avago Technologies LTD AVGO · Entity 16711	SaleOrdinary Shares, no par value	3,534,106	$15.00	$53,011,590.00	Disclosure SEC source: 0001181431-09-039542 · rrd250627.xml · nonDerivative · entry 2 KKR Millennium LTD · CIK 0001336829 · 10% owner KKR Associates Millennium (Overseas) Limited Partnership · CIK 0001336828 · 10% owner KKR Millennium Fund (Overseas), Limited Partnership · CIK 0001336827 · 10% owner KKR Europe LTD · CIK 0001335017 · 10% owner KKR Associates Europe, Limited Partnership · CIK 0001335016 · 10% owner KKR European Fund, Limited Partnership · CIK 0001335034 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner GREENE JAMES H JR · CIK 0001205970 · Director · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through Bali Investments S.a r.l. and KKR European Fund, Limited Partnership Disclosed balance after: 31,873,634 F1 · ownership.nature: Bali Investments S.a r.l. ("Bali") holds 155,441,278 of the ordinary shares of Avago Technologies Limited ("Avago"). The shareholders of Bali include overseas investment funds affiliated with Kohlberg Kravis Roberts & Co. L.P. ("KKR") and funds affiliated with Silver Lake Partners ("Silver Lake"). Each such person may be deemed to be a member of a group with respect to the ordinary shares of Avago held by Bali. However, each such person disclaims membership in any such group and disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F2 · ownership.nature: Bali, certain affiliates of KKR, certain affiliates of Silver Lake, Seletar Investments Pte Ltd and Geyser Investment Pte Ltd are parties to a shareholders agreement with respect to the ordinary shares of Avago, and solely as a result of which each such person may be deemed to be a member of a group with respect to the ordinary shares of Avago directly or indirectly owned by such persons. However, each such person disclaims membership in any such group and disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. Certain affiliates of KKR collectively have the right under the shareholders agreement to nominate up to three directors of Avago. F5 · ownership.nature: KKR European Fund, Limited Partnership ("European Fund"), as a shareholder of Bali, may be deemed to indirectly own 31,873,634 ordinary shares of Avago. As the sole general partner of European Fund, KKR Associates Europe, Limited Partnership may be deemed to share voting and dispositive power with respect to the ordinary shares of Avago indirectly owned by European Fund. As the sole general partner of KKR Associates Europe, Limited Partnership, KKR Europe Limited may be deemed to share voting and dispositive power with respect to the ordinary shares of Avago indirectly owned by European Fund. KKR Associates Europe, Limited Partnership and KKR Europe Limited disclaim beneficial ownership of such securities, except to the extent of their pecuniary interest. F6 · ownership.nature: The directors of KKR Europe Limited are the individuals named in footnote (4), other than Mr. Calbert. Each of such individuals may be deemed to share voting and dispositive power with respect to any shares beneficially owned by KKR Europe Limited but disclaim beneficial ownership of such shares, except to the extent of his pecuniary interest therein. F13 · ownership.nature: The filing of this statement shall not be deemed an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, any of the Reporting Persons is the beneficial owner of all such equity securities covered by this statement. Read SEC document
August 11, 2009 Filed Aug 13, 2009 23:56 UTC	Avago Technologies LTD AVGO · Entity 16711	SaleOrdinary Shares, no par value	1,774,922	$15.00	$26,623,830.00	Disclosure SEC source: 0001181431-09-039542 · rrd250627.xml · nonDerivative · entry 1 KKR Millennium LTD · CIK 0001336829 · 10% owner KKR Associates Millennium (Overseas) Limited Partnership · CIK 0001336828 · 10% owner KKR Millennium Fund (Overseas), Limited Partnership · CIK 0001336827 · 10% owner KKR Europe LTD · CIK 0001335017 · 10% owner KKR Associates Europe, Limited Partnership · CIK 0001335016 · 10% owner KKR European Fund, Limited Partnership · CIK 0001335034 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner GREENE JAMES H JR · CIK 0001205970 · Director · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through Bali Investments S.a r.l. and KKR Millennium Fund (Overseas), Limited Partnership Disclosed balance after: 16,007,779 F1 · ownership.nature: Bali Investments S.a r.l. ("Bali") holds 155,441,278 of the ordinary shares of Avago Technologies Limited ("Avago"). The shareholders of Bali include overseas investment funds affiliated with Kohlberg Kravis Roberts & Co. L.P. ("KKR") and funds affiliated with Silver Lake Partners ("Silver Lake"). Each such person may be deemed to be a member of a group with respect to the ordinary shares of Avago held by Bali. However, each such person disclaims membership in any such group and disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. F2 · ownership.nature: Bali, certain affiliates of KKR, certain affiliates of Silver Lake, Seletar Investments Pte Ltd and Geyser Investment Pte Ltd are parties to a shareholders agreement with respect to the ordinary shares of Avago, and solely as a result of which each such person may be deemed to be a member of a group with respect to the ordinary shares of Avago directly or indirectly owned by such persons. However, each such person disclaims membership in any such group and disclaims beneficial ownership of these securities, except to the extent of its pecuniary interest therein. Certain affiliates of KKR collectively have the right under the shareholders agreement to nominate up to three directors of Avago. F3 · ownership.nature: KKR Millennium Fund (Overseas), Limited Partnership ("Millennium Fund"), as a shareholder of Bali, may be deemed to indirectly own 16,007,779 ordinary shares of Avago. As the sole general partner of Millennium Fund, KKR Associates Millennium (Overseas), Limited Partnership may be deemed to share voting and dispositive power with respect to the ordinary shares of Avago indirectly owned by Millennium Fund. As the sole general partner of KKR Associates Millennium (Overseas), Limited Partnership, KKR Millennium Limited may be deemed to share voting and dispositive power with respect to the ordinary shares of Avago indirectly owned by Millennium Fund. KKR Associates Millennium (Overseas), Limited Partnership and KKR Millennium Limited disclaim beneficial ownership of such securities, except to the extent of their pecuniary interest. F4 · ownership.nature: The directors of KKR Millennium Limited are Messrs. Henry R. Kravis, George R. Roberts, James H. Greene, Jr., Paul E. Raether, Michael W. Michelson, Perry Golkin, Johannes P. Huth, Todd A. Fisher, Alexander Navab, Marc S. Lipschultz, Jacques Garaialde, Reinhard Gorenflos, Joseph Y. Bae, Brian F. Carroll, John K. Saer, Jr., Scott C. Nuttall, Michael M. Calbert and William J. Janetschek. Mr. Greene is a member of the board of directors of Avago. Each of such individuals may be deemed to share voting and dispositive power with respect to any shares beneficially owned by KKR Millennium Limited but disclaim beneficial ownership of such shares, except to the extent of his pecuniary interest therein. F13 · ownership.nature: The filing of this statement shall not be deemed an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, any of the Reporting Persons is the beneficial owner of all such equity securities covered by this statement. Read SEC document
July 10, 2009 Filed Jul 16, 2009 18:27 UTC	SEALY CORP ZZ · Entity 16658	Purchase8% Senior Secured Third Lien Convertible Notes due 2016 · Derivative	3,753,910	$25.00 Strike: $0.00	$93,847,750.00	Disclosure SEC source: 0001104659-09-043506 · a4.xml · derivative · entry 1 KKR Millennium GP LLC · CIK 0001288738 · 10% owner Sealy Holding LLC · CIK 0001358535 · 10% owner KKR Millennium Fund L.P. · CIK 0001288736 · 10% owner KKR Associates Millennium L.P. · CIK 0001288737 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner MICHELSON MICHAEL W · CIK 0001182415 · 10% owner GOLKIN PERRY · CIK 0001206581 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Disclosed balance after: 3,753,910 Underlying: Common Stock par value $0.01 per share · 93,847,750 shares Expires 2016-07-15 F1 · security: 8% Senior Secured Third Lien Convertible Notes due 2016 co-issued by Sealy Corporation and Sealy Mattress Company F2 · derivative.exercise_date: Immediately exercisable F3 · ownership.nature: The convertible notes of the Issuer reported on this Form 4 are held of record by Sealy Holding LLC. As senior member of Sealy Holding LLC, KKR Millennium Fund L.P. may be deemed a beneficial owner of such convertible notes of the Issuer held by Sealy Holding LLC. As the sole general partner of KKR Millennium Fund L.P., KKR Associates Millennium L.P. may be deemed to be the beneficial owner of such convertible notes of the Issuer held by Sealy Holding LLC. As the sole general partner of KKR Associates Millennium L.P., KKR Millennium GP LLC also may be deemed to be the beneficial owner of such convertible notes of the Issuer held by Sealy Holding LLC. F4 · ownership.nature: The members of KKR Millennium GP LLC are Henry R. Kravis, George R. Roberts, James H. Greene, Jr., Paul E. Raether, Michael W. Michelson, Perry Golkin, Johannes P. Huth, Todd A. Fisher, Alexander Navab, Marc S. Lipschultz, Reinhard Gorenflos, Jacques Garaialde, Michael M. Calbert and Scott C. Nuttall, and as such, may be deemed to share beneficial ownership of any convertible notes of the Issuer that KKR Millennium GP LLC may be deemed to beneficially own. Each Reporting Person, other than Sealy Holding LLC, disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein. F5 · ownership.nature: The filing of this statement shall not be deemed and admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Person is the beneficial owners of all such equity securities covered by this statement. F6 · ownership.nature: Due to limitations on Form 4, certain of the persons described as beneficial owners or deemed beneficial owners of the securities reported on this Form 4 are filing as reporting persons on separate Forms 4. Read SEC document
March 13, 2009 Filed Mar 18, 2009 17:10 UTC	HCA Healthcare, Inc. HCA INC. · Entity 2929	OtherCommon Stock	1,034,313.771	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-09-018516 · a4.xml · nonDerivative · entry 2 KKR & Co. LLC · CIK 0001399769 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner HUTH JOHANNES P · CIK 0001206779 · 10% owner FISHER TODD A · CIK 0001206470 · 10% owner NAVAB ALEXANDAR JR · CIK 0001205612 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through Hercules Holding II, LLC by KKR sponsored co-investment fund Disclosed balance after: 1,034,313.771 F2 · kind: On March 13, 2009, KKR PEI Investments, L.P. ("PEI Investments") agreed to transfer a portion of its co-investments in five portfolio companies, including a portion of its units of Hercules Holding II, LLC, to a KKR-sponsored co-investment fund ("Buyer") for an aggregate purchase price of $200,399,888 (pro rated equally among the five co-investments). PEI Investments agreed to transfer a number of its co-investment interests in these five companies with an aggregate fair value of $211,000,000 (pro rated equally among the five co-investments). PEI Investments agreed to transfer initially a number of its co-investment interests in these five portfolio companies (pro rated equally among the five co-investments) with an aggregate fair value of $211,000,000 based on their fair values as of December 31, 2008, which is the nearest date in respect of which such fair values have been determined. (continued in footnote (3)) F3 · kind: After the determination of the aggregate fair value as of March 31, 2009 (which is the next date in respect of which such fair values will be determined) of the five co-investment interests initially transferred to the Buyer, then (i) if such aggregate fair value as of March 31, 2009 is less than $211,000,000, PEI Investments would be required to transfer to the Buyer additional co-investment interests in the five companies (pro rated equally among the five co-investments) or (ii) if such aggregate fair value as of March 31, 2009 is greater than $211,000,000, the Buyer would be required to transfer back to PEI Investments a portion of the co-investment interests in the five companies initially transferred to the Buyer (pro rated equally among the five co-investments), in each case, (continued in footnote (4)) F4 · kind: such that the Buyer then holds co-investment interests with an aggregate fair value equal to $211,000,000 (based on their fair values as of March 31, 2009), provided that the number of additional interests transferred to the Buyer or the number of interests transferred back to PEI Investments will not exceed $50,100,000 in the aggregate based on the fair value of these interests as of March 31, 2009. The number of units of Hercules Holding II, LLC to be transferred initially to the Buyer is 1,034,313.771, subject to adjustment as described above. F2 · shares: On March 13, 2009, KKR PEI Investments, L.P. ("PEI Investments") agreed to transfer a portion of its co-investments in five portfolio companies, including a portion of its units of Hercules Holding II, LLC, to a KKR-sponsored co-investment fund ("Buyer") for an aggregate purchase price of $200,399,888 (pro rated equally among the five co-investments). PEI Investments agreed to transfer a number of its co-investment interests in these five companies with an aggregate fair value of $211,000,000 (pro rated equally among the five co-investments). PEI Investments agreed to transfer initially a number of its co-investment interests in these five portfolio companies (pro rated equally among the five co-investments) with an aggregate fair value of $211,000,000 based on their fair values as of December 31, 2008, which is the nearest date in respect of which such fair values have been determined. (continued in footnote (3)) F3 · shares: After the determination of the aggregate fair value as of March 31, 2009 (which is the next date in respect of which such fair values will be determined) of the five co-investment interests initially transferred to the Buyer, then (i) if such aggregate fair value as of March 31, 2009 is less than $211,000,000, PEI Investments would be required to transfer to the Buyer additional co-investment interests in the five companies (pro rated equally among the five co-investments) or (ii) if such aggregate fair value as of March 31, 2009 is greater than $211,000,000, the Buyer would be required to transfer back to PEI Investments a portion of the co-investment interests in the five companies initially transferred to the Buyer (pro rated equally among the five co-investments), in each case, (continued in footnote (4)) F4 · shares: such that the Buyer then holds co-investment interests with an aggregate fair value equal to $211,000,000 (based on their fair values as of March 31, 2009), provided that the number of additional interests transferred to the Buyer or the number of interests transferred back to PEI Investments will not exceed $50,100,000 in the aggregate based on the fair value of these interests as of March 31, 2009. The number of units of Hercules Holding II, LLC to be transferred initially to the Buyer is 1,034,313.771, subject to adjustment as described above. F2 · price: On March 13, 2009, KKR PEI Investments, L.P. ("PEI Investments") agreed to transfer a portion of its co-investments in five portfolio companies, including a portion of its units of Hercules Holding II, LLC, to a KKR-sponsored co-investment fund ("Buyer") for an aggregate purchase price of $200,399,888 (pro rated equally among the five co-investments). PEI Investments agreed to transfer a number of its co-investment interests in these five companies with an aggregate fair value of $211,000,000 (pro rated equally among the five co-investments). PEI Investments agreed to transfer initially a number of its co-investment interests in these five portfolio companies (pro rated equally among the five co-investments) with an aggregate fair value of $211,000,000 based on their fair values as of December 31, 2008, which is the nearest date in respect of which such fair values have been determined. (continued in footnote (3)) F3 · price: After the determination of the aggregate fair value as of March 31, 2009 (which is the next date in respect of which such fair values will be determined) of the five co-investment interests initially transferred to the Buyer, then (i) if such aggregate fair value as of March 31, 2009 is less than $211,000,000, PEI Investments would be required to transfer to the Buyer additional co-investment interests in the five companies (pro rated equally among the five co-investments) or (ii) if such aggregate fair value as of March 31, 2009 is greater than $211,000,000, the Buyer would be required to transfer back to PEI Investments a portion of the co-investment interests in the five companies initially transferred to the Buyer (pro rated equally among the five co-investments), in each case, (continued in footnote (4)) F4 · price: such that the Buyer then holds co-investment interests with an aggregate fair value equal to $211,000,000 (based on their fair values as of March 31, 2009), provided that the number of additional interests transferred to the Buyer or the number of interests transferred back to PEI Investments will not exceed $50,100,000 in the aggregate based on the fair value of these interests as of March 31, 2009. The number of units of Hercules Holding II, LLC to be transferred initially to the Buyer is 1,034,313.771, subject to adjustment as described above. F2 · balance_after: On March 13, 2009, KKR PEI Investments, L.P. ("PEI Investments") agreed to transfer a portion of its co-investments in five portfolio companies, including a portion of its units of Hercules Holding II, LLC, to a KKR-sponsored co-investment fund ("Buyer") for an aggregate purchase price of $200,399,888 (pro rated equally among the five co-investments). PEI Investments agreed to transfer a number of its co-investment interests in these five companies with an aggregate fair value of $211,000,000 (pro rated equally among the five co-investments). PEI Investments agreed to transfer initially a number of its co-investment interests in these five portfolio companies (pro rated equally among the five co-investments) with an aggregate fair value of $211,000,000 based on their fair values as of December 31, 2008, which is the nearest date in respect of which such fair values have been determined. (continued in footnote (3)) F3 · balance_after: After the determination of the aggregate fair value as of March 31, 2009 (which is the next date in respect of which such fair values will be determined) of the five co-investment interests initially transferred to the Buyer, then (i) if such aggregate fair value as of March 31, 2009 is less than $211,000,000, PEI Investments would be required to transfer to the Buyer additional co-investment interests in the five companies (pro rated equally among the five co-investments) or (ii) if such aggregate fair value as of March 31, 2009 is greater than $211,000,000, the Buyer would be required to transfer back to PEI Investments a portion of the co-investment interests in the five companies initially transferred to the Buyer (pro rated equally among the five co-investments), in each case, (continued in footnote (4)) F4 · balance_after: such that the Buyer then holds co-investment interests with an aggregate fair value equal to $211,000,000 (based on their fair values as of March 31, 2009), provided that the number of additional interests transferred to the Buyer or the number of interests transferred back to PEI Investments will not exceed $50,100,000 in the aggregate based on the fair value of these interests as of March 31, 2009. The number of units of Hercules Holding II, LLC to be transferred initially to the Buyer is 1,034,313.771, subject to adjustment as described above. F1 · ownership.nature: Hercules Holding II, LLC holds 91,845,692 shares, or 97.3%, of the common stock, par value $0.01 per share (the "Shares") of HCA Inc. (the "Issuer"). Hercules Holding II, LLC is held by a private investor group, including affiliates of each of Bain Capital Investors, LLC, Kohlberg Kravis Roberts & Co. L.P. and Bank of America Corporation and by affiliates of Dr. Thomas F. Frist, Jr., the founder of the Issuer. Each such person may be deemed to be a member of a group exercising voting and investment control over the Shares held by Hercules Holding II, LLC. However, each such person disclaims membership in any such group and disclaims beneficial ownership of such Shares, except to the extent of his or its pecuniary interest therein. Certain affiliates of Kohlberg Kravis Roberts & Co. L.P. collectively have the right under Hercules Holding II, LLC's limited liability company agreement to nominate up to three directors of the Issuer. F2 · ownership.nature: On March 13, 2009, KKR PEI Investments, L.P. ("PEI Investments") agreed to transfer a portion of its co-investments in five portfolio companies, including a portion of its units of Hercules Holding II, LLC, to a KKR-sponsored co-investment fund ("Buyer") for an aggregate purchase price of $200,399,888 (pro rated equally among the five co-investments). PEI Investments agreed to transfer a number of its co-investment interests in these five companies with an aggregate fair value of $211,000,000 (pro rated equally among the five co-investments). PEI Investments agreed to transfer initially a number of its co-investment interests in these five portfolio companies (pro rated equally among the five co-investments) with an aggregate fair value of $211,000,000 based on their fair values as of December 31, 2008, which is the nearest date in respect of which such fair values have been determined. (continued in footnote (3)) F3 · ownership.nature: After the determination of the aggregate fair value as of March 31, 2009 (which is the next date in respect of which such fair values will be determined) of the five co-investment interests initially transferred to the Buyer, then (i) if such aggregate fair value as of March 31, 2009 is less than $211,000,000, PEI Investments would be required to transfer to the Buyer additional co-investment interests in the five companies (pro rated equally among the five co-investments) or (ii) if such aggregate fair value as of March 31, 2009 is greater than $211,000,000, the Buyer would be required to transfer back to PEI Investments a portion of the co-investment interests in the five companies initially transferred to the Buyer (pro rated equally among the five co-investments), in each case, (continued in footnote (4)) F4 · ownership.nature: such that the Buyer then holds co-investment interests with an aggregate fair value equal to $211,000,000 (based on their fair values as of March 31, 2009), provided that the number of additional interests transferred to the Buyer or the number of interests transferred back to PEI Investments will not exceed $50,100,000 in the aggregate based on the fair value of these interests as of March 31, 2009. The number of units of Hercules Holding II, LLC to be transferred initially to the Buyer is 1,034,313.771, subject to adjustment as described above. F11 · ownership.nature: The filing of this statement shall not be deemed an admission that, for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the Reporting Persons are the beneficial owners of any equity securities covered by this statement. F12 · ownership.nature: Because no more than 10 reporting persons can file any one Form 4 through the SEC's Edgar system, affiliates of Kohlberg Kravis Roberts & Co. L.P. have filed two Form 4s with respect to HCA Inc. on the date hereof, all of which, taken together, constitute one Form 4. The reporting persons named in Box 1 of these two Form 4s are KKR PEI Investments, L.P. and KKR & Co. L.L.C., and other reporting persons are listed elsewhere in these forms. Read SEC document
March 13, 2009 Filed Mar 18, 2009 17:10 UTC	HCA Healthcare, Inc. HCA INC. · Entity 2929	OtherCommon Stock	1,034,313.771	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-09-018516 · a4.xml · nonDerivative · entry 1 KKR & Co. LLC · CIK 0001399769 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner HUTH JOHANNES P · CIK 0001206779 · 10% owner FISHER TODD A · CIK 0001206470 · 10% owner NAVAB ALEXANDAR JR · CIK 0001205612 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through Hercules Holding II, LLC by KKR PEI Investments, L.P. Disclosed balance after: 3,867,647.229 F2 · kind: On March 13, 2009, KKR PEI Investments, L.P. ("PEI Investments") agreed to transfer a portion of its co-investments in five portfolio companies, including a portion of its units of Hercules Holding II, LLC, to a KKR-sponsored co-investment fund ("Buyer") for an aggregate purchase price of $200,399,888 (pro rated equally among the five co-investments). PEI Investments agreed to transfer a number of its co-investment interests in these five companies with an aggregate fair value of $211,000,000 (pro rated equally among the five co-investments). PEI Investments agreed to transfer initially a number of its co-investment interests in these five portfolio companies (pro rated equally among the five co-investments) with an aggregate fair value of $211,000,000 based on their fair values as of December 31, 2008, which is the nearest date in respect of which such fair values have been determined. (continued in footnote (3)) F3 · kind: After the determination of the aggregate fair value as of March 31, 2009 (which is the next date in respect of which such fair values will be determined) of the five co-investment interests initially transferred to the Buyer, then (i) if such aggregate fair value as of March 31, 2009 is less than $211,000,000, PEI Investments would be required to transfer to the Buyer additional co-investment interests in the five companies (pro rated equally among the five co-investments) or (ii) if such aggregate fair value as of March 31, 2009 is greater than $211,000,000, the Buyer would be required to transfer back to PEI Investments a portion of the co-investment interests in the five companies initially transferred to the Buyer (pro rated equally among the five co-investments), in each case, (continued in footnote (4)) F4 · kind: such that the Buyer then holds co-investment interests with an aggregate fair value equal to $211,000,000 (based on their fair values as of March 31, 2009), provided that the number of additional interests transferred to the Buyer or the number of interests transferred back to PEI Investments will not exceed $50,100,000 in the aggregate based on the fair value of these interests as of March 31, 2009. The number of units of Hercules Holding II, LLC to be transferred initially to the Buyer is 1,034,313.771, subject to adjustment as described above. F2 · shares: On March 13, 2009, KKR PEI Investments, L.P. ("PEI Investments") agreed to transfer a portion of its co-investments in five portfolio companies, including a portion of its units of Hercules Holding II, LLC, to a KKR-sponsored co-investment fund ("Buyer") for an aggregate purchase price of $200,399,888 (pro rated equally among the five co-investments). PEI Investments agreed to transfer a number of its co-investment interests in these five companies with an aggregate fair value of $211,000,000 (pro rated equally among the five co-investments). PEI Investments agreed to transfer initially a number of its co-investment interests in these five portfolio companies (pro rated equally among the five co-investments) with an aggregate fair value of $211,000,000 based on their fair values as of December 31, 2008, which is the nearest date in respect of which such fair values have been determined. (continued in footnote (3)) F3 · shares: After the determination of the aggregate fair value as of March 31, 2009 (which is the next date in respect of which such fair values will be determined) of the five co-investment interests initially transferred to the Buyer, then (i) if such aggregate fair value as of March 31, 2009 is less than $211,000,000, PEI Investments would be required to transfer to the Buyer additional co-investment interests in the five companies (pro rated equally among the five co-investments) or (ii) if such aggregate fair value as of March 31, 2009 is greater than $211,000,000, the Buyer would be required to transfer back to PEI Investments a portion of the co-investment interests in the five companies initially transferred to the Buyer (pro rated equally among the five co-investments), in each case, (continued in footnote (4)) F4 · shares: such that the Buyer then holds co-investment interests with an aggregate fair value equal to $211,000,000 (based on their fair values as of March 31, 2009), provided that the number of additional interests transferred to the Buyer or the number of interests transferred back to PEI Investments will not exceed $50,100,000 in the aggregate based on the fair value of these interests as of March 31, 2009. The number of units of Hercules Holding II, LLC to be transferred initially to the Buyer is 1,034,313.771, subject to adjustment as described above. F2 · price: On March 13, 2009, KKR PEI Investments, L.P. ("PEI Investments") agreed to transfer a portion of its co-investments in five portfolio companies, including a portion of its units of Hercules Holding II, LLC, to a KKR-sponsored co-investment fund ("Buyer") for an aggregate purchase price of $200,399,888 (pro rated equally among the five co-investments). PEI Investments agreed to transfer a number of its co-investment interests in these five companies with an aggregate fair value of $211,000,000 (pro rated equally among the five co-investments). PEI Investments agreed to transfer initially a number of its co-investment interests in these five portfolio companies (pro rated equally among the five co-investments) with an aggregate fair value of $211,000,000 based on their fair values as of December 31, 2008, which is the nearest date in respect of which such fair values have been determined. (continued in footnote (3)) F3 · price: After the determination of the aggregate fair value as of March 31, 2009 (which is the next date in respect of which such fair values will be determined) of the five co-investment interests initially transferred to the Buyer, then (i) if such aggregate fair value as of March 31, 2009 is less than $211,000,000, PEI Investments would be required to transfer to the Buyer additional co-investment interests in the five companies (pro rated equally among the five co-investments) or (ii) if such aggregate fair value as of March 31, 2009 is greater than $211,000,000, the Buyer would be required to transfer back to PEI Investments a portion of the co-investment interests in the five companies initially transferred to the Buyer (pro rated equally among the five co-investments), in each case, (continued in footnote (4)) F4 · price: such that the Buyer then holds co-investment interests with an aggregate fair value equal to $211,000,000 (based on their fair values as of March 31, 2009), provided that the number of additional interests transferred to the Buyer or the number of interests transferred back to PEI Investments will not exceed $50,100,000 in the aggregate based on the fair value of these interests as of March 31, 2009. The number of units of Hercules Holding II, LLC to be transferred initially to the Buyer is 1,034,313.771, subject to adjustment as described above. F2 · balance_after: On March 13, 2009, KKR PEI Investments, L.P. ("PEI Investments") agreed to transfer a portion of its co-investments in five portfolio companies, including a portion of its units of Hercules Holding II, LLC, to a KKR-sponsored co-investment fund ("Buyer") for an aggregate purchase price of $200,399,888 (pro rated equally among the five co-investments). PEI Investments agreed to transfer a number of its co-investment interests in these five companies with an aggregate fair value of $211,000,000 (pro rated equally among the five co-investments). PEI Investments agreed to transfer initially a number of its co-investment interests in these five portfolio companies (pro rated equally among the five co-investments) with an aggregate fair value of $211,000,000 based on their fair values as of December 31, 2008, which is the nearest date in respect of which such fair values have been determined. (continued in footnote (3)) F3 · balance_after: After the determination of the aggregate fair value as of March 31, 2009 (which is the next date in respect of which such fair values will be determined) of the five co-investment interests initially transferred to the Buyer, then (i) if such aggregate fair value as of March 31, 2009 is less than $211,000,000, PEI Investments would be required to transfer to the Buyer additional co-investment interests in the five companies (pro rated equally among the five co-investments) or (ii) if such aggregate fair value as of March 31, 2009 is greater than $211,000,000, the Buyer would be required to transfer back to PEI Investments a portion of the co-investment interests in the five companies initially transferred to the Buyer (pro rated equally among the five co-investments), in each case, (continued in footnote (4)) F4 · balance_after: such that the Buyer then holds co-investment interests with an aggregate fair value equal to $211,000,000 (based on their fair values as of March 31, 2009), provided that the number of additional interests transferred to the Buyer or the number of interests transferred back to PEI Investments will not exceed $50,100,000 in the aggregate based on the fair value of these interests as of March 31, 2009. The number of units of Hercules Holding II, LLC to be transferred initially to the Buyer is 1,034,313.771, subject to adjustment as described above. F1 · ownership.nature: Hercules Holding II, LLC holds 91,845,692 shares, or 97.3%, of the common stock, par value $0.01 per share (the "Shares") of HCA Inc. (the "Issuer"). Hercules Holding II, LLC is held by a private investor group, including affiliates of each of Bain Capital Investors, LLC, Kohlberg Kravis Roberts & Co. L.P. and Bank of America Corporation and by affiliates of Dr. Thomas F. Frist, Jr., the founder of the Issuer. Each such person may be deemed to be a member of a group exercising voting and investment control over the Shares held by Hercules Holding II, LLC. However, each such person disclaims membership in any such group and disclaims beneficial ownership of such Shares, except to the extent of his or its pecuniary interest therein. Certain affiliates of Kohlberg Kravis Roberts & Co. L.P. collectively have the right under Hercules Holding II, LLC's limited liability company agreement to nominate up to three directors of the Issuer. F5 · ownership.nature: PEI Investments directly owns 3,867,647.229 units of Hercules Holding II, LLC (after giving effect to the initial transfer and before any adjustment) and therefore may be deemed to own indirectly the same number of Shares of the Issuer by virtue of its membership in Hercules Holding II, LLC. As the sole general partner of PEI Investments, KKR PEI Associates, L.P. may be deemed to share voting and dispositive power with respect to any Shares beneficially owned by PEI Investments. As the sole general partner of KKR PEI Associates, L.P., KKR PEI GP Limited may also be deemed to share voting and dispositive power with respect to any Shares beneficially owned by PEI Investments. PEI Investments, KKR PEI Associates, L.P. and KKR PEI GP Limited disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Kohlberg Kravis Roberts & Co. L.P., pursuant to a services agreement with KKR PEI GP Limited, (continued in footnote (6)) F6 · ownership.nature: may be deemed to share voting and dispositive power with respect to any Shares beneficially owned by PEI Investments. KKR & Co. L.L.C. is the general partner of Kohlberg Kravis Roberts & Co. L.P. Kohlberg Kravis Roberts & Co. L.P. and KKR & Co. L.L.C. disclaim beneficial ownership of such Shares. The managing members of KKR & Co. L.L.C. are Henry R. Kravis and George R. Roberts. The other members of KKR & Co. L.L.C. include Paul E. Raether, Michael W. Michelson, Johannes P. Huth, Todd A. Fisher, Alexander Navab and other executives of Kohlberg Kravis Roberts & Co. L.P. Messrs. Kravis and Roberts, as managing members of KKR & Co. L.L.C., may be deemed to share beneficial ownership of any Shares beneficially owned by KKR & Co. L.L.C. but disclaim beneficial ownership of such Shares. The other members of KKR & Co. L.L.C. also disclaim beneficial ownership of any Shares beneficially owned by KKR & Co. L.L.C. F11 · ownership.nature: The filing of this statement shall not be deemed an admission that, for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the Reporting Persons are the beneficial owners of any equity securities covered by this statement. F12 · ownership.nature: Because no more than 10 reporting persons can file any one Form 4 through the SEC's Edgar system, affiliates of Kohlberg Kravis Roberts & Co. L.P. have filed two Form 4s with respect to HCA Inc. on the date hereof, all of which, taken together, constitute one Form 4. The reporting persons named in Box 1 of these two Form 4s are KKR PEI Investments, L.P. and KKR & Co. L.L.C., and other reporting persons are listed elsewhere in these forms. Read SEC document
March 13, 2009 Filed Jun 5, 2009 18:10 UTC Amendment	HCA Healthcare, Inc. HCA INC. · Entity 2929	OtherCommon Stock	952,087.983	$42.10	$40,082,904.08	Disclosure SEC source: 0001104659-09-036891 · a4a.xml · nonDerivative · entry 2 KKR & Co. LLC · CIK 0001399769 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner HUTH JOHANNES P · CIK 0001206779 · 10% owner FISHER TODD A · CIK 0001206470 · 10% owner NAVAB ALEXANDAR JR · CIK 0001205612 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through Hercules Holding II, LLC by 8 North America Investor L.P. Disclosed balance after: 952,087.983 F2 · kind: On March 13, 2009, KKR PEI Investments, L.P. ("PEI Investments") agreed to transfer a portion of its co-investments in five portfolio companies, including a portion of its units of Hercules Holding II, LLC, to 8 North America Investor L.P. (the "Buyer"), a KKR-sponsored co-investment fund, for an aggregate purchase price of $200,399,888 (pro rated equally among the five co-investments). PEI Investments agreed to transfer a number of its co-investment interests in these five companies with an aggregate fair value of $211,000,000 (pro rated equally among the five co-investments). (continued in footnote (3)) F3 · kind: PEI Investments agreed to transfer initially a number of its co-investment interests in these five portfolio companies (pro rated equally among the five co-investments) with an aggregate fair value of $211,000,000 based on their fair values as of December 31, 2008, which at the time of the initial transfer was the nearest date in respect of which such fair values had been determined. By agreement of the parties, this initial transfer was subject to a post-closing adjustment in the manner described below. This amendment to Form 4 is being filed to report the number of units of Hercules Holding II, LLC effectively transferred to the Buyer after giving effect to the post-closing adjustment. (continued in footnote (4)) F4 · kind: Under the agreement, after the determination of the aggregate fair value as of March 31, 2009 (which was the next date in respect of which such fair values were determined) of the five co-investment interests initially transferred to the Buyer, then (i) if such aggregate fair value as of March 31, 2009 were less than $211,000,000, PEI Investments would be required to transfer to the Buyer additional co-investment interests in the five companies (pro rated equally among the five co-investments) or (ii) if such aggregate fair value as of March 31, 2009 were greater than $211,000,000, the Buyer would be required to transfer back to PEI Investments a portion of the co-investment interests in the five companies initially transferred to the Buyer (pro rated equally among the five co-investments), in each case, (continued in footnote (5)) F5 · kind: such that the Buyer would then hold co-investment interests with an aggregate fair value equal to $211,000,000 (based on their fair values as of March 31, 2009), provided that the number of additional interests transferred to the Buyer or the number of interests transferred back to PEI Investments would not exceed $50,100,000 in the aggregate based on the fair value of these interests as of March 31, 2009. The number of units of Hercules Holding II, LLC which were transferred initially to the Buyer was 1,034,313.771. (continued in footnote (6)) F6 · kind: Pursuant to the post-closing adjustment described above, however, the Buyer was required to transfer back to PEI Investments 82,225.788 of the units of Hercules Holding II, LLC initially transferred to the Buyer, which post-closing adjustment transfer occurred on June 4, 2009. After giving effect to the post-closing adjustment, the number of units of Hercules Holding II, LLC effectively transferred to the Buyer was 952,087.983. The effective price of those units was $42.10 per unit, which was calculated solely for purposes of this filing by dividing the pro rated portion of the aggregate purchase price allocable to the co-investment interest in Hercules Holding II, LLC by the total number of units of Hercules Holding II, LLC effectively transferred. F2 · shares: On March 13, 2009, KKR PEI Investments, L.P. ("PEI Investments") agreed to transfer a portion of its co-investments in five portfolio companies, including a portion of its units of Hercules Holding II, LLC, to 8 North America Investor L.P. (the "Buyer"), a KKR-sponsored co-investment fund, for an aggregate purchase price of $200,399,888 (pro rated equally among the five co-investments). PEI Investments agreed to transfer a number of its co-investment interests in these five companies with an aggregate fair value of $211,000,000 (pro rated equally among the five co-investments). (continued in footnote (3)) F3 · shares: PEI Investments agreed to transfer initially a number of its co-investment interests in these five portfolio companies (pro rated equally among the five co-investments) with an aggregate fair value of $211,000,000 based on their fair values as of December 31, 2008, which at the time of the initial transfer was the nearest date in respect of which such fair values had been determined. By agreement of the parties, this initial transfer was subject to a post-closing adjustment in the manner described below. This amendment to Form 4 is being filed to report the number of units of Hercules Holding II, LLC effectively transferred to the Buyer after giving effect to the post-closing adjustment. (continued in footnote (4)) F4 · shares: Under the agreement, after the determination of the aggregate fair value as of March 31, 2009 (which was the next date in respect of which such fair values were determined) of the five co-investment interests initially transferred to the Buyer, then (i) if such aggregate fair value as of March 31, 2009 were less than $211,000,000, PEI Investments would be required to transfer to the Buyer additional co-investment interests in the five companies (pro rated equally among the five co-investments) or (ii) if such aggregate fair value as of March 31, 2009 were greater than $211,000,000, the Buyer would be required to transfer back to PEI Investments a portion of the co-investment interests in the five companies initially transferred to the Buyer (pro rated equally among the five co-investments), in each case, (continued in footnote (5)) F5 · shares: such that the Buyer would then hold co-investment interests with an aggregate fair value equal to $211,000,000 (based on their fair values as of March 31, 2009), provided that the number of additional interests transferred to the Buyer or the number of interests transferred back to PEI Investments would not exceed $50,100,000 in the aggregate based on the fair value of these interests as of March 31, 2009. The number of units of Hercules Holding II, LLC which were transferred initially to the Buyer was 1,034,313.771. (continued in footnote (6)) F6 · shares: Pursuant to the post-closing adjustment described above, however, the Buyer was required to transfer back to PEI Investments 82,225.788 of the units of Hercules Holding II, LLC initially transferred to the Buyer, which post-closing adjustment transfer occurred on June 4, 2009. After giving effect to the post-closing adjustment, the number of units of Hercules Holding II, LLC effectively transferred to the Buyer was 952,087.983. The effective price of those units was $42.10 per unit, which was calculated solely for purposes of this filing by dividing the pro rated portion of the aggregate purchase price allocable to the co-investment interest in Hercules Holding II, LLC by the total number of units of Hercules Holding II, LLC effectively transferred. F2 · price: On March 13, 2009, KKR PEI Investments, L.P. ("PEI Investments") agreed to transfer a portion of its co-investments in five portfolio companies, including a portion of its units of Hercules Holding II, LLC, to 8 North America Investor L.P. (the "Buyer"), a KKR-sponsored co-investment fund, for an aggregate purchase price of $200,399,888 (pro rated equally among the five co-investments). PEI Investments agreed to transfer a number of its co-investment interests in these five companies with an aggregate fair value of $211,000,000 (pro rated equally among the five co-investments). (continued in footnote (3)) F3 · price: PEI Investments agreed to transfer initially a number of its co-investment interests in these five portfolio companies (pro rated equally among the five co-investments) with an aggregate fair value of $211,000,000 based on their fair values as of December 31, 2008, which at the time of the initial transfer was the nearest date in respect of which such fair values had been determined. By agreement of the parties, this initial transfer was subject to a post-closing adjustment in the manner described below. This amendment to Form 4 is being filed to report the number of units of Hercules Holding II, LLC effectively transferred to the Buyer after giving effect to the post-closing adjustment. (continued in footnote (4)) F4 · price: Under the agreement, after the determination of the aggregate fair value as of March 31, 2009 (which was the next date in respect of which such fair values were determined) of the five co-investment interests initially transferred to the Buyer, then (i) if such aggregate fair value as of March 31, 2009 were less than $211,000,000, PEI Investments would be required to transfer to the Buyer additional co-investment interests in the five companies (pro rated equally among the five co-investments) or (ii) if such aggregate fair value as of March 31, 2009 were greater than $211,000,000, the Buyer would be required to transfer back to PEI Investments a portion of the co-investment interests in the five companies initially transferred to the Buyer (pro rated equally among the five co-investments), in each case, (continued in footnote (5)) F5 · price: such that the Buyer would then hold co-investment interests with an aggregate fair value equal to $211,000,000 (based on their fair values as of March 31, 2009), provided that the number of additional interests transferred to the Buyer or the number of interests transferred back to PEI Investments would not exceed $50,100,000 in the aggregate based on the fair value of these interests as of March 31, 2009. The number of units of Hercules Holding II, LLC which were transferred initially to the Buyer was 1,034,313.771. (continued in footnote (6)) F6 · price: Pursuant to the post-closing adjustment described above, however, the Buyer was required to transfer back to PEI Investments 82,225.788 of the units of Hercules Holding II, LLC initially transferred to the Buyer, which post-closing adjustment transfer occurred on June 4, 2009. After giving effect to the post-closing adjustment, the number of units of Hercules Holding II, LLC effectively transferred to the Buyer was 952,087.983. The effective price of those units was $42.10 per unit, which was calculated solely for purposes of this filing by dividing the pro rated portion of the aggregate purchase price allocable to the co-investment interest in Hercules Holding II, LLC by the total number of units of Hercules Holding II, LLC effectively transferred. F2 · balance_after: On March 13, 2009, KKR PEI Investments, L.P. ("PEI Investments") agreed to transfer a portion of its co-investments in five portfolio companies, including a portion of its units of Hercules Holding II, LLC, to 8 North America Investor L.P. (the "Buyer"), a KKR-sponsored co-investment fund, for an aggregate purchase price of $200,399,888 (pro rated equally among the five co-investments). PEI Investments agreed to transfer a number of its co-investment interests in these five companies with an aggregate fair value of $211,000,000 (pro rated equally among the five co-investments). (continued in footnote (3)) F3 · balance_after: PEI Investments agreed to transfer initially a number of its co-investment interests in these five portfolio companies (pro rated equally among the five co-investments) with an aggregate fair value of $211,000,000 based on their fair values as of December 31, 2008, which at the time of the initial transfer was the nearest date in respect of which such fair values had been determined. By agreement of the parties, this initial transfer was subject to a post-closing adjustment in the manner described below. This amendment to Form 4 is being filed to report the number of units of Hercules Holding II, LLC effectively transferred to the Buyer after giving effect to the post-closing adjustment. (continued in footnote (4)) F4 · balance_after: Under the agreement, after the determination of the aggregate fair value as of March 31, 2009 (which was the next date in respect of which such fair values were determined) of the five co-investment interests initially transferred to the Buyer, then (i) if such aggregate fair value as of March 31, 2009 were less than $211,000,000, PEI Investments would be required to transfer to the Buyer additional co-investment interests in the five companies (pro rated equally among the five co-investments) or (ii) if such aggregate fair value as of March 31, 2009 were greater than $211,000,000, the Buyer would be required to transfer back to PEI Investments a portion of the co-investment interests in the five companies initially transferred to the Buyer (pro rated equally among the five co-investments), in each case, (continued in footnote (5)) F5 · balance_after: such that the Buyer would then hold co-investment interests with an aggregate fair value equal to $211,000,000 (based on their fair values as of March 31, 2009), provided that the number of additional interests transferred to the Buyer or the number of interests transferred back to PEI Investments would not exceed $50,100,000 in the aggregate based on the fair value of these interests as of March 31, 2009. The number of units of Hercules Holding II, LLC which were transferred initially to the Buyer was 1,034,313.771. (continued in footnote (6)) F6 · balance_after: Pursuant to the post-closing adjustment described above, however, the Buyer was required to transfer back to PEI Investments 82,225.788 of the units of Hercules Holding II, LLC initially transferred to the Buyer, which post-closing adjustment transfer occurred on June 4, 2009. After giving effect to the post-closing adjustment, the number of units of Hercules Holding II, LLC effectively transferred to the Buyer was 952,087.983. The effective price of those units was $42.10 per unit, which was calculated solely for purposes of this filing by dividing the pro rated portion of the aggregate purchase price allocable to the co-investment interest in Hercules Holding II, LLC by the total number of units of Hercules Holding II, LLC effectively transferred. F1 · ownership.nature: Hercules Holding II, LLC holds 91,845,692 shares, or 97.3%, of the common stock, par value $0.01 per share (the "Shares"), of HCA Inc. (the "Issuer"). Hercules Holding II, LLC is held by a private investor group, including affiliates of each of Bain Capital Investors, LLC, Kohlberg Kravis Roberts & Co. L.P. and Bank of America Corporation and by affiliates of Dr. Thomas F. Frist, Jr., the founder of the Issuer. Each such person may be deemed to be a member of a group exercising voting and investment control over the Shares held by Hercules Holding II, LLC. However, each such person disclaims membership in any such group and disclaims beneficial ownership of such Shares, except to the extent of his or its pecuniary interest therein. Certain affiliates of Kohlberg Kravis Roberts & Co. L.P. collectively have the right under Hercules Holding II, LLC's limited liability company agreement to nominate up to three directors of the Issuer. F2 · ownership.nature: On March 13, 2009, KKR PEI Investments, L.P. ("PEI Investments") agreed to transfer a portion of its co-investments in five portfolio companies, including a portion of its units of Hercules Holding II, LLC, to 8 North America Investor L.P. (the "Buyer"), a KKR-sponsored co-investment fund, for an aggregate purchase price of $200,399,888 (pro rated equally among the five co-investments). PEI Investments agreed to transfer a number of its co-investment interests in these five companies with an aggregate fair value of $211,000,000 (pro rated equally among the five co-investments). (continued in footnote (3)) F3 · ownership.nature: PEI Investments agreed to transfer initially a number of its co-investment interests in these five portfolio companies (pro rated equally among the five co-investments) with an aggregate fair value of $211,000,000 based on their fair values as of December 31, 2008, which at the time of the initial transfer was the nearest date in respect of which such fair values had been determined. By agreement of the parties, this initial transfer was subject to a post-closing adjustment in the manner described below. This amendment to Form 4 is being filed to report the number of units of Hercules Holding II, LLC effectively transferred to the Buyer after giving effect to the post-closing adjustment. (continued in footnote (4)) F4 · ownership.nature: Under the agreement, after the determination of the aggregate fair value as of March 31, 2009 (which was the next date in respect of which such fair values were determined) of the five co-investment interests initially transferred to the Buyer, then (i) if such aggregate fair value as of March 31, 2009 were less than $211,000,000, PEI Investments would be required to transfer to the Buyer additional co-investment interests in the five companies (pro rated equally among the five co-investments) or (ii) if such aggregate fair value as of March 31, 2009 were greater than $211,000,000, the Buyer would be required to transfer back to PEI Investments a portion of the co-investment interests in the five companies initially transferred to the Buyer (pro rated equally among the five co-investments), in each case, (continued in footnote (5)) F5 · ownership.nature: such that the Buyer would then hold co-investment interests with an aggregate fair value equal to $211,000,000 (based on their fair values as of March 31, 2009), provided that the number of additional interests transferred to the Buyer or the number of interests transferred back to PEI Investments would not exceed $50,100,000 in the aggregate based on the fair value of these interests as of March 31, 2009. The number of units of Hercules Holding II, LLC which were transferred initially to the Buyer was 1,034,313.771. (continued in footnote (6)) F6 · ownership.nature: Pursuant to the post-closing adjustment described above, however, the Buyer was required to transfer back to PEI Investments 82,225.788 of the units of Hercules Holding II, LLC initially transferred to the Buyer, which post-closing adjustment transfer occurred on June 4, 2009. After giving effect to the post-closing adjustment, the number of units of Hercules Holding II, LLC effectively transferred to the Buyer was 952,087.983. The effective price of those units was $42.10 per unit, which was calculated solely for purposes of this filing by dividing the pro rated portion of the aggregate purchase price allocable to the co-investment interest in Hercules Holding II, LLC by the total number of units of Hercules Holding II, LLC effectively transferred. F14 · ownership.nature: The filing of this statement shall not be deemed an admission that, for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the Reporting Persons are the beneficial owners of any equity securities covered by this statement. F15 · ownership.nature: Because no more than 10 reporting persons can file any one Form 4 through the SEC's Edgar system, affiliates of Kohlberg Kravis Roberts & Co. L.P. have filed two Form 4s with respect to HCA Inc. on the date hereof, all of which, taken together, constitute one Form 4. The reporting persons named in Box 1 of these two Form 4s are KKR PEI Investments, L.P. and KKR & Co. L.L.C., and other reporting persons are listed elsewhere in these forms. Read SEC document
March 13, 2009 Filed Jun 5, 2009 18:10 UTC Amendment	HCA Healthcare, Inc. HCA INC. · Entity 2929	OtherCommon Stock	952,087.983	$42.10	$40,082,904.08	Disclosure SEC source: 0001104659-09-036891 · a4a.xml · nonDerivative · entry 1 KKR & Co. LLC · CIK 0001399769 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner HUTH JOHANNES P · CIK 0001206779 · 10% owner FISHER TODD A · CIK 0001206470 · 10% owner NAVAB ALEXANDAR JR · CIK 0001205612 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Held through Hercules Holding II, LLC by KKR PEI Investments, L.P. Disclosed balance after: 3,949,873.017 F2 · kind: On March 13, 2009, KKR PEI Investments, L.P. ("PEI Investments") agreed to transfer a portion of its co-investments in five portfolio companies, including a portion of its units of Hercules Holding II, LLC, to 8 North America Investor L.P. (the "Buyer"), a KKR-sponsored co-investment fund, for an aggregate purchase price of $200,399,888 (pro rated equally among the five co-investments). PEI Investments agreed to transfer a number of its co-investment interests in these five companies with an aggregate fair value of $211,000,000 (pro rated equally among the five co-investments). (continued in footnote (3)) F3 · kind: PEI Investments agreed to transfer initially a number of its co-investment interests in these five portfolio companies (pro rated equally among the five co-investments) with an aggregate fair value of $211,000,000 based on their fair values as of December 31, 2008, which at the time of the initial transfer was the nearest date in respect of which such fair values had been determined. By agreement of the parties, this initial transfer was subject to a post-closing adjustment in the manner described below. This amendment to Form 4 is being filed to report the number of units of Hercules Holding II, LLC effectively transferred to the Buyer after giving effect to the post-closing adjustment. (continued in footnote (4)) F4 · kind: Under the agreement, after the determination of the aggregate fair value as of March 31, 2009 (which was the next date in respect of which such fair values were determined) of the five co-investment interests initially transferred to the Buyer, then (i) if such aggregate fair value as of March 31, 2009 were less than $211,000,000, PEI Investments would be required to transfer to the Buyer additional co-investment interests in the five companies (pro rated equally among the five co-investments) or (ii) if such aggregate fair value as of March 31, 2009 were greater than $211,000,000, the Buyer would be required to transfer back to PEI Investments a portion of the co-investment interests in the five companies initially transferred to the Buyer (pro rated equally among the five co-investments), in each case, (continued in footnote (5)) F5 · kind: such that the Buyer would then hold co-investment interests with an aggregate fair value equal to $211,000,000 (based on their fair values as of March 31, 2009), provided that the number of additional interests transferred to the Buyer or the number of interests transferred back to PEI Investments would not exceed $50,100,000 in the aggregate based on the fair value of these interests as of March 31, 2009. The number of units of Hercules Holding II, LLC which were transferred initially to the Buyer was 1,034,313.771. (continued in footnote (6)) F6 · kind: Pursuant to the post-closing adjustment described above, however, the Buyer was required to transfer back to PEI Investments 82,225.788 of the units of Hercules Holding II, LLC initially transferred to the Buyer, which post-closing adjustment transfer occurred on June 4, 2009. After giving effect to the post-closing adjustment, the number of units of Hercules Holding II, LLC effectively transferred to the Buyer was 952,087.983. The effective price of those units was $42.10 per unit, which was calculated solely for purposes of this filing by dividing the pro rated portion of the aggregate purchase price allocable to the co-investment interest in Hercules Holding II, LLC by the total number of units of Hercules Holding II, LLC effectively transferred. F2 · shares: On March 13, 2009, KKR PEI Investments, L.P. ("PEI Investments") agreed to transfer a portion of its co-investments in five portfolio companies, including a portion of its units of Hercules Holding II, LLC, to 8 North America Investor L.P. (the "Buyer"), a KKR-sponsored co-investment fund, for an aggregate purchase price of $200,399,888 (pro rated equally among the five co-investments). PEI Investments agreed to transfer a number of its co-investment interests in these five companies with an aggregate fair value of $211,000,000 (pro rated equally among the five co-investments). (continued in footnote (3)) F3 · shares: PEI Investments agreed to transfer initially a number of its co-investment interests in these five portfolio companies (pro rated equally among the five co-investments) with an aggregate fair value of $211,000,000 based on their fair values as of December 31, 2008, which at the time of the initial transfer was the nearest date in respect of which such fair values had been determined. By agreement of the parties, this initial transfer was subject to a post-closing adjustment in the manner described below. This amendment to Form 4 is being filed to report the number of units of Hercules Holding II, LLC effectively transferred to the Buyer after giving effect to the post-closing adjustment. (continued in footnote (4)) F4 · shares: Under the agreement, after the determination of the aggregate fair value as of March 31, 2009 (which was the next date in respect of which such fair values were determined) of the five co-investment interests initially transferred to the Buyer, then (i) if such aggregate fair value as of March 31, 2009 were less than $211,000,000, PEI Investments would be required to transfer to the Buyer additional co-investment interests in the five companies (pro rated equally among the five co-investments) or (ii) if such aggregate fair value as of March 31, 2009 were greater than $211,000,000, the Buyer would be required to transfer back to PEI Investments a portion of the co-investment interests in the five companies initially transferred to the Buyer (pro rated equally among the five co-investments), in each case, (continued in footnote (5)) F5 · shares: such that the Buyer would then hold co-investment interests with an aggregate fair value equal to $211,000,000 (based on their fair values as of March 31, 2009), provided that the number of additional interests transferred to the Buyer or the number of interests transferred back to PEI Investments would not exceed $50,100,000 in the aggregate based on the fair value of these interests as of March 31, 2009. The number of units of Hercules Holding II, LLC which were transferred initially to the Buyer was 1,034,313.771. (continued in footnote (6)) F6 · shares: Pursuant to the post-closing adjustment described above, however, the Buyer was required to transfer back to PEI Investments 82,225.788 of the units of Hercules Holding II, LLC initially transferred to the Buyer, which post-closing adjustment transfer occurred on June 4, 2009. After giving effect to the post-closing adjustment, the number of units of Hercules Holding II, LLC effectively transferred to the Buyer was 952,087.983. The effective price of those units was $42.10 per unit, which was calculated solely for purposes of this filing by dividing the pro rated portion of the aggregate purchase price allocable to the co-investment interest in Hercules Holding II, LLC by the total number of units of Hercules Holding II, LLC effectively transferred. F2 · price: On March 13, 2009, KKR PEI Investments, L.P. ("PEI Investments") agreed to transfer a portion of its co-investments in five portfolio companies, including a portion of its units of Hercules Holding II, LLC, to 8 North America Investor L.P. (the "Buyer"), a KKR-sponsored co-investment fund, for an aggregate purchase price of $200,399,888 (pro rated equally among the five co-investments). PEI Investments agreed to transfer a number of its co-investment interests in these five companies with an aggregate fair value of $211,000,000 (pro rated equally among the five co-investments). (continued in footnote (3)) F3 · price: PEI Investments agreed to transfer initially a number of its co-investment interests in these five portfolio companies (pro rated equally among the five co-investments) with an aggregate fair value of $211,000,000 based on their fair values as of December 31, 2008, which at the time of the initial transfer was the nearest date in respect of which such fair values had been determined. By agreement of the parties, this initial transfer was subject to a post-closing adjustment in the manner described below. This amendment to Form 4 is being filed to report the number of units of Hercules Holding II, LLC effectively transferred to the Buyer after giving effect to the post-closing adjustment. (continued in footnote (4)) F4 · price: Under the agreement, after the determination of the aggregate fair value as of March 31, 2009 (which was the next date in respect of which such fair values were determined) of the five co-investment interests initially transferred to the Buyer, then (i) if such aggregate fair value as of March 31, 2009 were less than $211,000,000, PEI Investments would be required to transfer to the Buyer additional co-investment interests in the five companies (pro rated equally among the five co-investments) or (ii) if such aggregate fair value as of March 31, 2009 were greater than $211,000,000, the Buyer would be required to transfer back to PEI Investments a portion of the co-investment interests in the five companies initially transferred to the Buyer (pro rated equally among the five co-investments), in each case, (continued in footnote (5)) F5 · price: such that the Buyer would then hold co-investment interests with an aggregate fair value equal to $211,000,000 (based on their fair values as of March 31, 2009), provided that the number of additional interests transferred to the Buyer or the number of interests transferred back to PEI Investments would not exceed $50,100,000 in the aggregate based on the fair value of these interests as of March 31, 2009. The number of units of Hercules Holding II, LLC which were transferred initially to the Buyer was 1,034,313.771. (continued in footnote (6)) F6 · price: Pursuant to the post-closing adjustment described above, however, the Buyer was required to transfer back to PEI Investments 82,225.788 of the units of Hercules Holding II, LLC initially transferred to the Buyer, which post-closing adjustment transfer occurred on June 4, 2009. After giving effect to the post-closing adjustment, the number of units of Hercules Holding II, LLC effectively transferred to the Buyer was 952,087.983. The effective price of those units was $42.10 per unit, which was calculated solely for purposes of this filing by dividing the pro rated portion of the aggregate purchase price allocable to the co-investment interest in Hercules Holding II, LLC by the total number of units of Hercules Holding II, LLC effectively transferred. F2 · balance_after: On March 13, 2009, KKR PEI Investments, L.P. ("PEI Investments") agreed to transfer a portion of its co-investments in five portfolio companies, including a portion of its units of Hercules Holding II, LLC, to 8 North America Investor L.P. (the "Buyer"), a KKR-sponsored co-investment fund, for an aggregate purchase price of $200,399,888 (pro rated equally among the five co-investments). PEI Investments agreed to transfer a number of its co-investment interests in these five companies with an aggregate fair value of $211,000,000 (pro rated equally among the five co-investments). (continued in footnote (3)) F3 · balance_after: PEI Investments agreed to transfer initially a number of its co-investment interests in these five portfolio companies (pro rated equally among the five co-investments) with an aggregate fair value of $211,000,000 based on their fair values as of December 31, 2008, which at the time of the initial transfer was the nearest date in respect of which such fair values had been determined. By agreement of the parties, this initial transfer was subject to a post-closing adjustment in the manner described below. This amendment to Form 4 is being filed to report the number of units of Hercules Holding II, LLC effectively transferred to the Buyer after giving effect to the post-closing adjustment. (continued in footnote (4)) F4 · balance_after: Under the agreement, after the determination of the aggregate fair value as of March 31, 2009 (which was the next date in respect of which such fair values were determined) of the five co-investment interests initially transferred to the Buyer, then (i) if such aggregate fair value as of March 31, 2009 were less than $211,000,000, PEI Investments would be required to transfer to the Buyer additional co-investment interests in the five companies (pro rated equally among the five co-investments) or (ii) if such aggregate fair value as of March 31, 2009 were greater than $211,000,000, the Buyer would be required to transfer back to PEI Investments a portion of the co-investment interests in the five companies initially transferred to the Buyer (pro rated equally among the five co-investments), in each case, (continued in footnote (5)) F5 · balance_after: such that the Buyer would then hold co-investment interests with an aggregate fair value equal to $211,000,000 (based on their fair values as of March 31, 2009), provided that the number of additional interests transferred to the Buyer or the number of interests transferred back to PEI Investments would not exceed $50,100,000 in the aggregate based on the fair value of these interests as of March 31, 2009. The number of units of Hercules Holding II, LLC which were transferred initially to the Buyer was 1,034,313.771. (continued in footnote (6)) F6 · balance_after: Pursuant to the post-closing adjustment described above, however, the Buyer was required to transfer back to PEI Investments 82,225.788 of the units of Hercules Holding II, LLC initially transferred to the Buyer, which post-closing adjustment transfer occurred on June 4, 2009. After giving effect to the post-closing adjustment, the number of units of Hercules Holding II, LLC effectively transferred to the Buyer was 952,087.983. The effective price of those units was $42.10 per unit, which was calculated solely for purposes of this filing by dividing the pro rated portion of the aggregate purchase price allocable to the co-investment interest in Hercules Holding II, LLC by the total number of units of Hercules Holding II, LLC effectively transferred. F1 · ownership.nature: Hercules Holding II, LLC holds 91,845,692 shares, or 97.3%, of the common stock, par value $0.01 per share (the "Shares"), of HCA Inc. (the "Issuer"). Hercules Holding II, LLC is held by a private investor group, including affiliates of each of Bain Capital Investors, LLC, Kohlberg Kravis Roberts & Co. L.P. and Bank of America Corporation and by affiliates of Dr. Thomas F. Frist, Jr., the founder of the Issuer. Each such person may be deemed to be a member of a group exercising voting and investment control over the Shares held by Hercules Holding II, LLC. However, each such person disclaims membership in any such group and disclaims beneficial ownership of such Shares, except to the extent of his or its pecuniary interest therein. Certain affiliates of Kohlberg Kravis Roberts & Co. L.P. collectively have the right under Hercules Holding II, LLC's limited liability company agreement to nominate up to three directors of the Issuer. F7 · ownership.nature: PEI Investments directly owns 3,949,873.017 units of Hercules Holding II, LLC (after giving effect to both the initial transfer and the post-closing adjustment) and therefore may be deemed to own indirectly the same number of Shares of the Issuer by virtue of its membership in Hercules Holding II, LLC. As the sole general partner of PEI Investments, KKR PEI Associates, L.P. may be deemed to share voting and dispositive power with respect to any Shares beneficially owned by PEI Investments. (continued in footnote (8)) F8 · ownership.nature: As the sole general partner of KKR PEI Associates, L.P., KKR PEI GP Limited may also be deemed to share voting and dispositive power with respect to any Shares beneficially owned by PEI Investments. PEI Investments, KKR PEI Associates, L.P. and KKR PEI GP Limited disclaim beneficial ownership of such Shares except to the extent of their pecuniary interest therein. Kohlberg Kravis Roberts & Co. L.P., pursuant to a services agreement with KKR PEI GP Limited, may be deemed to share voting and dispositive power with respect to any Shares beneficially owned by PEI Investments. (continued in footnote (9)) F9 · ownership.nature: KKR & Co. L.L.C. is the general partner of Kohlberg Kravis Roberts & Co. L.P. Kohlberg Kravis Roberts & Co. L.P. and KKR & Co. L.L.C. disclaim beneficial ownership of such Shares. The managing members of KKR & Co. L.L.C. are Henry R. Kravis and George R. Roberts. The other members of KKR & Co. L.L.C. include Paul E. Raether, Michael W. Michelson, Johannes P. Huth, Todd A. Fisher, Alexander Navab and other executives of Kohlberg Kravis Roberts & Co. L.P. Messrs. Kravis and Roberts, as managing members of KKR & Co. L.L.C., may be deemed to share beneficial ownership of any Shares beneficially owned by KKR & Co. L.L.C. but disclaim beneficial ownership of such Shares. The other members of KKR & Co. L.L.C. also disclaim beneficial ownership of any Shares beneficially owned by KKR & Co. L.L.C. F14 · ownership.nature: The filing of this statement shall not be deemed an admission that, for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the Reporting Persons are the beneficial owners of any equity securities covered by this statement. F15 · ownership.nature: Because no more than 10 reporting persons can file any one Form 4 through the SEC's Edgar system, affiliates of Kohlberg Kravis Roberts & Co. L.P. have filed two Form 4s with respect to HCA Inc. on the date hereof, all of which, taken together, constitute one Form 4. The reporting persons named in Box 1 of these two Form 4s are KKR PEI Investments, L.P. and KKR & Co. L.L.C., and other reporting persons are listed elsewhere in these forms. Read SEC document
July 03, 2007 Filed Jul 6, 2007 12:22 UTC	BRISTOL WEST HOLDINGS INC BRW · Entity 17267	OtherCommon Stock	12,257,368	$22.50	$275,790,780.00	Disclosure SEC source: 0001140361-07-013813 · doc1.xml · nonDerivative · entry 1 KKR 1996 GP LLC · CIK 0001031667 · 10% owner KKR ASSOCIATES 1996 L P · CIK 0001031666 · 10% owner KKR 1996 FUND L P · CIK 0001031665 · 10% owner BRISTOL WEST ASSOCIATES LLC · CIK 0001279116 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner GILHULY EDWARD A · CIK 0001206780 · 10% owner STUART SCOTT M · CIK 0001081716 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F1 · kind: Disposed of pursuant to merger agreement between issuer, Farmers Group Inc. and BWH Acquisition Company in exchange for cash. F2 · ownership.nature: See attached joint filer information. Information with respect to Messrs. Golkin, Huth, Navab, Fisher and Michelson may be found on a corresponding Form 4 filed on the date hereof. Read SEC document
May 25, 2007 Filed May 30, 2007 17:40 UTC	ACCURIDE CORP ACW · Entity 17284	SaleCommon Stock	4,755,657	$14.91	$70,906,845.87	Disclosure SEC source: 0001104659-07-044159 · a4.xml · nonDerivative · entry 1 KKR 1996 GP LLC · CIK 0001031667 · See Footnotes 1 & 2 KKR ASSOCIATES 1996 L P · CIK 0001031666 · See Footnotes 1 & 2 KKR 1996 FUND L P · CIK 0001031665 · See Footnotes 1 & 2 Hubcap Acquisition LLC · CIK 0001323671 · 10% owner KRAVIS HENRY R · CIK 0001081714 · See Footnotes 1 & 2 ROBERTS GEORGE R · CIK 0001081715 · See Footnotes 1 & 2 RAETHER PAUL E · CIK 0001192062 · See Footnotes 1 & 2 MICHELSON MICHAEL W · CIK 0001182415 · See Footnotes 1 & 2 GOLKIN PERRY · CIK 0001206581 · See Footnotes 1 & 2 HUTH JOHANNES P · CIK 0001206779 · See Footnotes 1 & 2 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Hubcap Acquisition LLC Disclosed balance after: 3,094,556 F1 · ownership.nature: The shares of common stock of Issuer reported on this Form 4 are held of record by Hubcap Acquisition L.L.C. As the managing member of Hubcap Acquisition L.L.C., KKR 1996 Fund L.P. may be deemed to be the beneficial owner of such shares of common stock of the Issuer held by Hubcap Acquisition L.L.C. As the sole general partner of KKR 1996 Fund L.P., KKR Associates 1996, L.P. may be deemed to be the beneficial owner of such shares of the Issuer held by Hubcap Acquision L.L.C. As the sole general partner of KKR Associates 1996, L.P., KKR 1996 GP, L.L.C. also may deemed to be the beneficial owner of such shares of common stock of the Issuer held by Hubcap Acqusition L.L.C. F2 · ownership.nature: KKR 1996 GP, L.L.C. is a Delaware limited liability company, the managing members of which are Messrs. Henry R. Kravis and George R. Roberts, and the other members are Messrs. Paul E. Raether, Michael W. Michaelson, James H. Greene, Jr., Perry Golkin, Johannes P. Huth, Todd A. Fisher and Alexander Navab, Jr. Mr. Greene is a director of the Issuer and may be deemed to share beneficial ownership of any shares beneficially owned by KKR 1996 GP, L.L.C. Each such Reporting Person, other than Hubcap Acqusition L.L.C., disclaims beneficial ownership of these securities, except to the extent of his or its pecuniary interest therein. The filing of this statement shall not be deemed an admission that, for the purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons, other than Hubcap Acqusition L.L.C, are the beneficial owners of all such equity securities covered by this statement. F3 · ownership.nature: Mr. Fredrick M. Goltz, a member of KKR & Co. L.L.C., the general partner Kohlberg Kravis Roberts & Co. L.P., is also a member of the Issuer's board of directors. Mr. Goltz disclaims that he is the owner (beneficial or otherwise) of any shares beneficially owned by KKR Associates 1996 L.P. Read SEC document
July 03, 2006 Filed Jul 5, 2006 15:06 UTC	PanAmSat Holding CORP PA · Entity 17387	OtherCommon Stock	31,932,251	$25.01	$798,603,244.93	Disclosure SEC source: 0001104659-06-045256 · a4.xml · nonDerivative · entry 1 KKR Millennium GP LLC · CIK 0001288738 · 10% owner Constellation, LLC · CIK 0001288843 · 10% owner KKR Millennium Fund L.P. · CIK 0001288736 · 10% owner KKR Associates Millennium L.P. · CIK 0001288737 · 10% owner KKR Partners III, L.P. · CIK 0001288739 · 10% owner KKR III GP LLC · CIK 0001288740 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See note Disclosed balance after: 0 F1 · kind: Pursuant to the merger (the "Merger") of a wholly-owned subsidiary of Intelsat (Bermuda), Ltd. ("Intelsat") with and into PanAmSat Holding Corporation ("PanAmSat"), each outstanding share of common stock of PanAmSat (the "Common Stock") was converted into the right to receive $25.00, plus approximately $0.00927 as the pro rata quarterly dividend, per share in cash without interest. As a result of the Merger, PanAmSat became a wholly-owned subsidiary of Intelsat, and the Common Stock was delisted from the New York Stock Exchange. F2 · ownership.nature: The shares of Common Stock reported on this statement were held of record by Constellation, LLC, one of the Reporting Persons. Information about this holding and the Reporting Persons are set forth in the joint filer information attached as Exhibit 99.1. Read SEC document
April 11, 2006 Filed Apr 13, 2006 13:49 UTC	SEALY CORP ZZ · Entity 16658	SaleCommon stock, par value $0.01 per share	3,481,868	$16.00	$55,709,888.00	Disclosure SEC source: 0001104659-06-024939 · a4.xml · nonDerivative · entry 1 KKR Millennium GP LLC · CIK 0001288738 · 10% owner Sealy Holding LLC · CIK 0001358535 · 10% owner KKR Millennium Fund L.P. · CIK 0001288736 · 10% owner KKR Associates Millennium L.P. · CIK 0001288737 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner MICHELSON MICHAEL W · CIK 0001182415 · 10% owner GOLKIN PERRY · CIK 0001206581 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 46,625,921 F1 · price: Represents price to the public pursuant to an underwritten initial public offering before underwriting discounts. F2 · ownership.nature: These securities are held of record by Sealy Holding LLC. As senior member of Sealy Holding LLC, KKR Millennium Fund L.P. may be deemed a beneficial owner of such shares of common stock of the Issuer held by Sealy Holding LLC. As the sole general partner of KKR Millennium Fund L.P., KKR Associates Millennium L.P. may be deemed to be the beneficial owner of such shares of common stock of the Issuer held by Sealy Holding LLC. As the sole general partner of KKR Associates Millennium L.P., KKR Millennium GP LLC also may be deemed to be the beneficial owner of such shares of common stock of the Issuer held by Sealy Holding LLC. F3 · ownership.nature: The members of KKR Millennium GP LLC are Henry R. Kravis, George R. Roberts, James H. Greene, Jr., Paul E. Raether, Michael W. Michelson, Perry Golkin, Johannes P. Huth, Todd A. Fisher, Alexander Navab, Marc S. Lipschultz, Reinhard Gorenflos, Jacques Garaialde, Michael M. Calbert and Scott C. Nuttall, and as such, may be deemed to share beneficial ownership of any shares of common stock of the Issuer that KKR Millennium GP LLC may be deemed to beneficially own. Each Reporting Person, other than Sealy Holding LLC, disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein. F4 · ownership.nature: The filing of this statement shall not be deemed and admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Person is the beneficial owners of all such equity securities covered by this statement. F5 · ownership.nature: Due to limitations on Form 4, certain of the persons described as beneficial owners or deemed beneficial owners of the securities reported on this Form 4 are filing as reporting persons on separate Forms 4. Read SEC document
April 06, 2006 Filed Apr 10, 2006 17:25 UTC	SEALY CORP ZZ · Entity 16658	PurchaseCommon Stock, par value $0.01 per share	146,000	$16.00	$2,336,000.00	Disclosure SEC source: 0001104659-06-024109 · a4.xml · nonDerivative · entry 2 KKR Millennium GP LLC · CIK 0001288738 · 10% owner Sealy Holding LLC · CIK 0001358535 · 10% owner KKR Millennium Fund L.P. · CIK 0001288736 · 10% owner KKR Associates Millennium L.P. · CIK 0001288737 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner MICHELSON MICHAEL W · CIK 0001182415 · 10% owner GOLKIN PERRY · CIK 0001206581 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 146,000 F4 · ownership.nature: The filing of this statement shall not be deemed and admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Person is the beneficial owners of all such equity securities covered by this statement. F6 · ownership.nature: These securities are held of record by Aurora Investments II, LLC. As the managing members of Aurora Investments II, LLC, Messrs. Henry R. Kravis and George R. Roberts each may be deemed to be the beneficial owners of such shares of common stock of the Issuer held by Aurora Investments II LLC. Messrs. Henry R. Kravis and George R. Roberts each disclaim beneficial ownership of these securities, except to the extent of his pecuniary interest therein. Read SEC document
April 06, 2006 Filed Apr 10, 2006 17:25 UTC	SEALY CORP ZZ · Entity 16658	SaleCommon stock, par value $0.01 per share	6,632,130	$16.00	$106,114,080.00	Disclosure SEC source: 0001104659-06-024109 · a4.xml · nonDerivative · entry 1 KKR Millennium GP LLC · CIK 0001288738 · 10% owner Sealy Holding LLC · CIK 0001358535 · 10% owner KKR Millennium Fund L.P. · CIK 0001288736 · 10% owner KKR Associates Millennium L.P. · CIK 0001288737 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner MICHELSON MICHAEL W · CIK 0001182415 · 10% owner GOLKIN PERRY · CIK 0001206581 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 50,107,789 F1 · price: Represents price to the public pursuant to an underwritten initial public offering before underwriting discounts. F2 · ownership.nature: The securities are held of record by Sealy Holding LLC. As senior member of Sealy Holding LLC, KKR Millennium Fund L.P. may be deemed a beneficial owner of such shares of common stock of the Issuer held by Sealy Holding LLC. As the sole general partner of KKR Millennium Fund L.P., KKR Associates Millennium L.P. may be deemed to be the beneficial owner of such shares of common stock of the Issuer held by Sealy Holding LLC. As the sole general partner of KKR Associates Millennium L.P., KKR Millennium GP LLC also may be deemed to be the beneficial owner of such shares of common stock of the Issuer held by Sealy Holding LLC. F3 · ownership.nature: The members of KKR Millennium GP LLC are Henry R. Kravis, George R. Roberts, James H. Greene, Jr., Paul E. Raether, Michael W. Michelson, Perry Golkin, Johannes P. Huth, Todd A. Fisher, Alexander Navab, Marc S. Lipschultz, Reinhard Gorenflos, Jacques Garaialde, Michael M. Calbert and Scott C. Nuttall, and as such, may be deemed to share beneficial ownership of any shares of common stock of the Issuer that KKR Millennium GP LLC may be deemed to beneficially own. Each Reporting Person, other than Sealy Holding LLC, disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein. F4 · ownership.nature: The filing of this statement shall not be deemed and admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Person is the beneficial owners of all such equity securities covered by this statement. F5 · ownership.nature: Due to limitations on Form 4, certain of the persons described as beneficial owners or deemed beneficial owners of the securities reported on this Form 4 are filing as reporting persons on separate Forms 4. Read SEC document
October 12, 2005 Filed Oct 14, 2005 12:30 UTC	ACCURIDE CORP ACW · Entity 17284	SaleCommon Stock	641,137	$13.25	$8,495,065.25	Disclosure SEC source: 0001179110-05-019678 · edgar.xml · nonDerivative · entry 1 KKR 1996 GP LLC · CIK 0001031667 · See footnote 1 KKR ASSOCIATES 1996 L P · CIK 0001031666 · See footnote 1 KKR 1996 FUND L P · CIK 0001031665 · See footnote 1 Hubcap Acquisition LLC · CIK 0001323671 · 10% owner KRAVIS HENRY R · CIK 0001081714 · See footnone 1 ROBERTS GEORGE R · CIK 0001081715 · See footnote 1 RAETHER PAUL E · CIK 0001192062 · See footnote 1 MICHELSON MICHAEL W · CIK 0001182415 · See footnote 1 GILHULY EDWARD A · CIK 0001206780 · See footnote 1 GOLKIN PERRY · CIK 0001206581 · See footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 7,850,213 F2 · balance_after: Henry R. Kravis and George R. Roberts reported on Form 4 the acquisition and indirect ownership of 53,000 shares of common stock on April 25, 2005. Together whith those shares reported in item 5 of Table 1, Messrs. Kravis and Roberts benefecially own 7,903,213 shares of common stock of the issuer. F1 · ownership.nature: See attached joint filer information. Information with respect to Messrs. Greene, Jr., Fisher, Stuart, Huth, Navab, Goltz and Momtazee may be found on a corresponding Form 4 filed on the date hereof. Read SEC document
October 05, 2005 Filed Oct 7, 2005 14:15 UTC	ACCURIDE CORP ACW · Entity 17284	SaleCommon Stock	4,274,250	$13.25	$56,633,812.50	Disclosure SEC source: 0001179110-05-019505 · edgar.xml · nonDerivative · entry 1 KKR 1996 GP LLC · CIK 0001031667 · See footnote 1 KKR ASSOCIATES 1996 L P · CIK 0001031666 · See footnote 1 KKR 1996 FUND L P · CIK 0001031665 · See footnote 1 Hubcap Acquisition LLC · CIK 0001323671 · 10% owner KRAVIS HENRY R · CIK 0001081714 · See footnone 1 ROBERTS GEORGE R · CIK 0001081715 · See footnote 1 RAETHER PAUL E · CIK 0001192062 · See footnote 1 MICHELSON MICHAEL W · CIK 0001182415 · See footnote 1 GILHULY EDWARD A · CIK 0001206780 · See footnote 1 GOLKIN PERRY · CIK 0001206581 · See footnote 1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 8,491,350 F2 · balance_after: Henry R. Kravis and George R. Roberts reported on Form 4 the acquisition and indirect ownership of 53,000 shares of common stock on April 25, 2005. Together whith those shares reported in item 5 of Table 1, Messrs. Kravis and Roberts benefecially own 8,544,350 shares of common stock of the issuer. F1 · ownership.nature: See attached joint filer information. Information with respect to Messrs. Greene, Jr., Fisher, Stuart, Huth, Navab, Goltz and Momtazee may be found on a corresponding Form 4 filed on the date hereof. Read SEC document
January 07, 2005 Filed Jan 11, 2005 17:47 UTC	KINDERCARE LEARNING CENTERS INC /DE KDCR · Entity 17579	SaleCommon Stock, par value $0.01 per share	15,454,210	$25.96	$401,191,291.60	Disclosure SEC source: 0000893750-05-000017 · form4_ex.xml · nonDerivative · entry 1 KKR KLC L L C · CIK 0001024808 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner MICHELSON MICHAEL W · CIK 0001182415 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner GOLKIN PERRY · CIK 0001206581 · 10% owner GILHULY EDWARD A · CIK 0001206780 · 10% owner STUART SCOTT M · CIK 0001081716 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Disclosed balance after: 0 F1 · price: $1.18 of the per share purchase price has been deposited into escrow to secure indemnity and expense obligations of stockholders in accordance with the terms of the agreements relating to the transaction. F2 · ownership.nature: 15,454,210 shares of common stock shown as having been formerly beneficially owned by KKR-KLC L.L.C. were directly held by KLC Associates, L.P. KKR-KLC L.L.C. is the sole general partner of KKR Associates (KLC) L.P., which is the sole general partner of KLC Associates, L.P., and possesses sole voting and investment power with respect to such shares. KKR-KLC L.L.C. is a limited liability company, the members of which are Messrs. Henry R. Kravis; George R. Roberts; Paul E. Raether; Michael W. Michelson; James H. Greene, Jr.; Perry Golkin; Scott M. Stuart; and Edward A. Gilhuly. Each of the members of KKR-KLC L.L.C. may be deemed to share beneficial ownership of the shares shown as beneficially owned by KKR-KLC L.L.C. Each member disclaims beneficial ownership of these shares. In addition, 203,684 shares of common stock were formerly directly held by KKR Partners II, L.P., an affiliate of KKR-KLC L.L.C. Read SEC document
December 02, 2004 Filed Dec 6, 2004 21:39 UTC	O-I Glass, Inc. /DE/ OI · Entity 4907	SaleCommon Stock	202,475	$22.98	$4,652,875.50	Disclosure SEC source: 0001209191-04-056143 · doc4.xml · nonDerivative · entry 3 KKR ASSOCIATES · CIK 0000901651 · 10% owner GILHULY EDWARD A · CIK 0001206780 · See Footnotes (2) - (6) ROBERTS GEORGE R · CIK 0001081715 · See Footnotes (2) - (6) GOLKIN PERRY · CIK 0001206581 · See Footnotes (2) - (6) RAETHER PAUL E · CIK 0001192062 · See Footnotes (2) - (6) KRAVIS HENRY R · CIK 0001081714 · See Footnotes (2) - (6) STUART SCOTT M · CIK 0001081716 · See Footnotes (2) - (6) KKR PARTNERS II LP · CIK 0000918992 · See Footnotes (3), (4), (5) OII Associates, L.P. · CIK 0001310721 · 10% owner OII Associates II, L.P. · CIK 0001310720 · See Footnores (3), (5), (6) Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 28,925 F1 · kind: Shares sold pursuant to a registered offering. F3 · ownership.nature: Messrs. Henry R. Kravis, George R. Roberts, Paul E. Raether, Edward A. Gilhuly, Perry Golkin and Scott M. Stuart are general partners of KKR Associates, and in such capacity may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his econimic interest. F5 · ownership.nature: Each of KKR Partners and OII II is filing this Form 4 because, pursuant to the rules promulgated under the Securities Exchange Act of 1934, as amended (the "Act"), it may be deemed a "ten percent beneficial owner" for purposes of Section 16 of the Act were it held to be a member of a "group," as defined in Section 13(d) of the Act. KKR Partners and OII II do not affirm the existence of a group. F6 · ownership.nature: These shares are directly owned by OII Associates II, L.P. ("OII II"). KKR Associates is a general partner of OII II and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by OII II, but disclaims such beneficial ownership except to the extent of its economic interest. Read SEC document
December 02, 2004 Filed Dec 6, 2004 21:39 UTC	O-I Glass, Inc. /DE/ OI · Entity 4907	SaleCommon Stock	742,525	$22.98	$17,063,224.50	Disclosure SEC source: 0001209191-04-056143 · doc4.xml · nonDerivative · entry 2 KKR ASSOCIATES · CIK 0000901651 · 10% owner GILHULY EDWARD A · CIK 0001206780 · See Footnotes (2) - (6) ROBERTS GEORGE R · CIK 0001081715 · See Footnotes (2) - (6) GOLKIN PERRY · CIK 0001206581 · See Footnotes (2) - (6) RAETHER PAUL E · CIK 0001192062 · See Footnotes (2) - (6) KRAVIS HENRY R · CIK 0001081714 · See Footnotes (2) - (6) STUART SCOTT M · CIK 0001081716 · See Footnotes (2) - (6) KKR PARTNERS II LP · CIK 0000918992 · See Footnotes (3), (4), (5) OII Associates, L.P. · CIK 0001310721 · 10% owner OII Associates II, L.P. · CIK 0001310720 · See Footnores (3), (5), (6) Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 106,075 F1 · kind: Shares sold pursuant to a registered offering. F3 · ownership.nature: Messrs. Henry R. Kravis, George R. Roberts, Paul E. Raether, Edward A. Gilhuly, Perry Golkin and Scott M. Stuart are general partners of KKR Associates, and in such capacity may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his econimic interest. F4 · ownership.nature: These shares are directly owned by KKR Partners II, L.P. ("KKR Partners"). KKR Associates is a general partner of KKR Partners and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by KKR Partners, but disclaims such beneficial ownership except to the extent of its economic interest. F5 · ownership.nature: Each of KKR Partners and OII II is filing this Form 4 because, pursuant to the rules promulgated under the Securities Exchange Act of 1934, as amended (the "Act"), it may be deemed a "ten percent beneficial owner" for purposes of Section 16 of the Act were it held to be a member of a "group," as defined in Section 13(d) of the Act. KKR Partners and OII II do not affirm the existence of a group. Read SEC document
December 02, 2004 Filed Dec 6, 2004 21:39 UTC	O-I Glass, Inc. /DE/ OI · Entity 4907	SaleCommon Stock	30,555,000	$22.98	$702,153,900.00	Disclosure SEC source: 0001209191-04-056143 · doc4.xml · nonDerivative · entry 1 KKR ASSOCIATES · CIK 0000901651 · 10% owner GILHULY EDWARD A · CIK 0001206780 · See Footnotes (2) - (6) ROBERTS GEORGE R · CIK 0001081715 · See Footnotes (2) - (6) GOLKIN PERRY · CIK 0001206581 · See Footnotes (2) - (6) RAETHER PAUL E · CIK 0001192062 · See Footnotes (2) - (6) KRAVIS HENRY R · CIK 0001081714 · See Footnotes (2) - (6) STUART SCOTT M · CIK 0001081716 · See Footnotes (2) - (6) KKR PARTNERS II LP · CIK 0000918992 · See Footnotes (3), (4), (5) OII Associates, L.P. · CIK 0001310721 · 10% owner OII Associates II, L.P. · CIK 0001310720 · See Footnores (3), (5), (6) Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,365,000 F1 · kind: Shares sold pursuant to a registered offering. F2 · ownership.nature: These shares are directly owned by OII Associates, L.P. ("OII"). KKR Associates, L.P. ("KKR Associates") is the general partner of OII and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by OII, but disclaims such beneficial ownership except to the extent of its economic interest. F3 · ownership.nature: Messrs. Henry R. Kravis, George R. Roberts, Paul E. Raether, Edward A. Gilhuly, Perry Golkin and Scott M. Stuart are general partners of KKR Associates, and in such capacity may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his econimic interest. Read SEC document
October 28, 2004 Filed Nov 1, 2004 17:00 UTC	WALTER INDUSTRIES INC /NEW/ WLT · Entity 17601	OtherCommon Stock	871,594	$16.16	$14,082,780.06	Disclosure SEC source: 0001209191-04-050462 · doc4.xml · nonDerivative · entry 8 KKR ASSOCIATES · CIK 0000901651 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner GOLKIN PERRY · CIK 0001206581 · Director · 10% owner STUART SCOTT M · CIK 0001081716 · 10% owner GILHULY EDWARD A · CIK 0001206780 · 10% owner MICHELSON MICHAEL W · CIK 0001182415 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Notes Disclosed balance after: 0 F4 · kind: Shares sold to the Issuer pursuant to a Stock Repurchase Agreement dated October 28, 2004. F3 · ownership.nature: Messrs. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stuart and Edward A. Gilhuly are the general partners of KKR Associates, and in such capacity, may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his economic interest. F7 · ownership.nature: These shares are directly owned by Channel One Associates, L.P. ("Channel One"). KKR Associates is the general partner of Channel One and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by Channel One, but disclaims such beneficial ownership, except to the extent of its economic interest. Read SEC document
October 28, 2004 Filed Nov 1, 2004 17:00 UTC	WALTER INDUSTRIES INC /NEW/ WLT · Entity 17601	SaleCommon Stock	3,490,206	$16.35	$57,064,868.10	Disclosure SEC source: 0001209191-04-050462 · doc4.xml · nonDerivative · entry 7 KKR ASSOCIATES · CIK 0000901651 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner GOLKIN PERRY · CIK 0001206581 · Director · 10% owner STUART SCOTT M · CIK 0001081716 · 10% owner GILHULY EDWARD A · CIK 0001206780 · 10% owner MICHELSON MICHAEL W · CIK 0001182415 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Notes Disclosed balance after: 871,594 F1 · kind: Shares sold pursuant to a registered offering. F3 · ownership.nature: Messrs. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stuart and Edward A. Gilhuly are the general partners of KKR Associates, and in such capacity, may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his economic interest. F7 · ownership.nature: These shares are directly owned by Channel One Associates, L.P. ("Channel One"). KKR Associates is the general partner of Channel One and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by Channel One, but disclaims such beneficial ownership, except to the extent of its economic interest. Read SEC document
October 28, 2004 Filed Nov 1, 2004 17:00 UTC	WALTER INDUSTRIES INC /NEW/ WLT · Entity 17601	OtherCommon Stock	26,484	$16.16	$427,915.23	Disclosure SEC source: 0001209191-04-050462 · doc4.xml · nonDerivative · entry 6 KKR ASSOCIATES · CIK 0000901651 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner GOLKIN PERRY · CIK 0001206581 · Director · 10% owner STUART SCOTT M · CIK 0001081716 · 10% owner GILHULY EDWARD A · CIK 0001206780 · 10% owner MICHELSON MICHAEL W · CIK 0001182415 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Notes Disclosed balance after: 0 F4 · kind: Shares sold to the Issuer pursuant to a Stock Repurchase Agreement dated October 28, 2004. F3 · ownership.nature: Messrs. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stuart and Edward A. Gilhuly are the general partners of KKR Associates, and in such capacity, may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his economic interest. F6 · ownership.nature: These shares are directly owned by KKR Partners II, L.P. ("KKR Partners"). KKR Associates is the general partner of KKR Partners and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by KKR Partners, but disclaims such beneficial ownership, except to the extent of its economic interest. Read SEC document
October 28, 2004 Filed Nov 1, 2004 17:00 UTC	WALTER INDUSTRIES INC /NEW/ WLT · Entity 17601	SaleCommon Stock	106,051	$16.35	$1,733,933.85	Disclosure SEC source: 0001209191-04-050462 · doc4.xml · nonDerivative · entry 5 KKR ASSOCIATES · CIK 0000901651 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner GOLKIN PERRY · CIK 0001206581 · Director · 10% owner STUART SCOTT M · CIK 0001081716 · 10% owner GILHULY EDWARD A · CIK 0001206780 · 10% owner MICHELSON MICHAEL W · CIK 0001182415 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Notes Disclosed balance after: 26,484 F1 · kind: Shares sold pursuant to a registered offering. F3 · ownership.nature: Messrs. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stuart and Edward A. Gilhuly are the general partners of KKR Associates, and in such capacity, may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his economic interest. F6 · ownership.nature: These shares are directly owned by KKR Partners II, L.P. ("KKR Partners"). KKR Associates is the general partner of KKR Partners and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by KKR Partners, but disclaims such beneficial ownership, except to the extent of its economic interest. Read SEC document
October 28, 2004 Filed Nov 1, 2004 17:00 UTC	WALTER INDUSTRIES INC /NEW/ WLT · Entity 17601	OtherCommon Stock	7,239	$16.16	$116,964.14	Disclosure SEC source: 0001209191-04-050462 · doc4.xml · nonDerivative · entry 4 KKR ASSOCIATES · CIK 0000901651 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner GOLKIN PERRY · CIK 0001206581 · Director · 10% owner STUART SCOTT M · CIK 0001081716 · 10% owner GILHULY EDWARD A · CIK 0001206780 · 10% owner MICHELSON MICHAEL W · CIK 0001182415 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Notes Disclosed balance after: 0 F4 · kind: Shares sold to the Issuer pursuant to a Stock Repurchase Agreement dated October 28, 2004. F3 · ownership.nature: Messrs. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stuart and Edward A. Gilhuly are the general partners of KKR Associates, and in such capacity, may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his economic interest. F5 · ownership.nature: These shares are directly owned by JWC Associates II, L.P. ("JWC II"). KKR Associates is the general partner of JWC II and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by JWC II, but disclaims such beneficial ownership, except to the extent of its economic interest. Read SEC document
October 28, 2004 Filed Nov 1, 2004 17:00 UTC	WALTER INDUSTRIES INC /NEW/ WLT · Entity 17601	SaleCommon Stock	28,988	$16.35	$473,953.80	Disclosure SEC source: 0001209191-04-050462 · doc4.xml · nonDerivative · entry 3 KKR ASSOCIATES · CIK 0000901651 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner GOLKIN PERRY · CIK 0001206581 · Director · 10% owner STUART SCOTT M · CIK 0001081716 · 10% owner GILHULY EDWARD A · CIK 0001206780 · 10% owner MICHELSON MICHAEL W · CIK 0001182415 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Notes Disclosed balance after: 7,239 F1 · kind: Shares sold pursuant to a registered offering. F3 · ownership.nature: Messrs. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stuart and Edward A. Gilhuly are the general partners of KKR Associates, and in such capacity, may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his economic interest. F5 · ownership.nature: These shares are directly owned by JWC Associates II, L.P. ("JWC II"). KKR Associates is the general partner of JWC II and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by JWC II, but disclaims such beneficial ownership, except to the extent of its economic interest. Read SEC document
October 28, 2004 Filed Nov 1, 2004 17:00 UTC	WALTER INDUSTRIES INC /NEW/ WLT · Entity 17601	OtherCommon Stock	1,092,488	$16.16	$17,651,874.86	Disclosure SEC source: 0001209191-04-050462 · doc4.xml · nonDerivative · entry 2 KKR ASSOCIATES · CIK 0000901651 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner GOLKIN PERRY · CIK 0001206581 · Director · 10% owner STUART SCOTT M · CIK 0001081716 · 10% owner GILHULY EDWARD A · CIK 0001206780 · 10% owner MICHELSON MICHAEL W · CIK 0001182415 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Notes Disclosed balance after: 0 F4 · kind: Shares sold to the Issuer pursuant to a Stock Repurchase Agreement dated October 28, 2004. F2 · ownership.nature: These shares are directly owned by JWC Associates, L.P. ("JWC"). KKR Associates, L.P. ("KKR Associates") is the general partner of JWC and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by JWC, but disclaims such beneficial ownership, except to the extent of its economic interest. F3 · ownership.nature: Messrs. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stuart and Edward A. Gilhuly are the general partners of KKR Associates, and in such capacity, may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his economic interest. Read SEC document
October 28, 2004 Filed Nov 1, 2004 17:00 UTC	WALTER INDUSTRIES INC /NEW/ WLT · Entity 17601	SaleCommon Stock	4,374,755	$16.35	$71,527,244.25	Disclosure SEC source: 0001209191-04-050462 · doc4.xml · nonDerivative · entry 1 KKR ASSOCIATES · CIK 0000901651 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner GOLKIN PERRY · CIK 0001206581 · Director · 10% owner STUART SCOTT M · CIK 0001081716 · 10% owner GILHULY EDWARD A · CIK 0001206780 · 10% owner MICHELSON MICHAEL W · CIK 0001182415 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Notes Disclosed balance after: 1,092,488 F1 · kind: Shares sold pursuant to a registered offering. F2 · ownership.nature: These shares are directly owned by JWC Associates, L.P. ("JWC"). KKR Associates, L.P. ("KKR Associates") is the general partner of JWC and in such capacity may be deemed to have beneficial ownership of the shares of common stock owned by JWC, but disclaims such beneficial ownership, except to the extent of its economic interest. F3 · ownership.nature: Messrs. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stuart and Edward A. Gilhuly are the general partners of KKR Associates, and in such capacity, may be deemed to have beneficial ownership of the shares of common stock that are owned or may be deemed to be owned by KKR Associates; however, each disclaims such beneficial ownership, except to the extent of his economic interest. Read SEC document
April 27, 2004 Filed Apr 29, 2004 17:54 UTC	WALTER INDUSTRIES INC /NEW/ WLT · Entity 17601	OtherCommon Stock, par value $.01 per share	47,031	$12.50	$587,887.50	Disclosure SEC source: 0001104659-04-011913 · a4.xml · nonDerivative · entry 3 ROBERTS GEORGE R · CIK 0001081715 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner MICHELSON MICHAEL W · CIK 0001182415 · 10% owner GILHULY EDWARD A · CIK 0001206780 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner STUART SCOTT M · CIK 0001081716 · 10% owner KKR ASSOCIATES · CIK 0000901651 · 10% owner GOLKIN PERRY · CIK 0001206581 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Notes Disclosed balance after: 132,535 F1 · kind: Sale to the Issuer pursuant to the Stock Repurchase Agreement, dated April 22, 2004. F4 · ownership.nature: These shares are directly owned by KKR Partners II, L.P. ("KKR Partners"). KKR Associates is the sole general partner of KKR Partners. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stewart and Edward A. Gilhuly are the general partners of KKR Associates. Therefore, each of KKR Associates, Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stewart and Edward A. Gilhuly may be deemed to beneficially own the Common Stock owned by KKR Partners. F6 · ownership.nature: Pursuant to Rule 16a-1(4) promulgated under the Securities Exchange Act of 1934, as amended, each of the Reporting Persons states that the reporting of beneficial ownership herein shall not be deemed an admission that he or it is the beneficial owner of any of the securities covered by this Statement. Each of KKR Associates, Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stewart and Edward A. Gilhuly disclaims beneficial ownership of the Common Stock directly owned by JWC, JWC II, KKR Partners and Channel One, except to the extent of his or its pecuniary interest. Read SEC document
April 27, 2004 Filed Apr 29, 2004 17:54 UTC	WALTER INDUSTRIES INC /NEW/ WLT · Entity 17601	OtherCommon Stock, par value $.01 per share	12,856	$12.50	$160,700.00	Disclosure SEC source: 0001104659-04-011913 · a4.xml · nonDerivative · entry 2 ROBERTS GEORGE R · CIK 0001081715 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner MICHELSON MICHAEL W · CIK 0001182415 · 10% owner GILHULY EDWARD A · CIK 0001206780 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner STUART SCOTT M · CIK 0001081716 · 10% owner KKR ASSOCIATES · CIK 0000901651 · 10% owner GOLKIN PERRY · CIK 0001206581 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Notes Disclosed balance after: 36,227 F1 · kind: Sale to the Issuer pursuant to the Stock Repurchase Agreement, dated April 22, 2004. F3 · ownership.nature: These shares are directly owned by JWC Associates II, L.P. ("JWC II"). KKR Associates is the sole general partner of JWC II. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stewart and Edward A. Gilhuly are the general partners of KKR Associates. Therefore, each of KKR Associates, Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stewart and Edward A. Gilhuly may be deemed to beneficially own the Common Stock owned by JWC II. F6 · ownership.nature: Pursuant to Rule 16a-1(4) promulgated under the Securities Exchange Act of 1934, as amended, each of the Reporting Persons states that the reporting of beneficial ownership herein shall not be deemed an admission that he or it is the beneficial owner of any of the securities covered by this Statement. Each of KKR Associates, Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stewart and Edward A. Gilhuly disclaims beneficial ownership of the Common Stock directly owned by JWC, JWC II, KKR Partners and Channel One, except to the extent of his or its pecuniary interest. Read SEC document
April 27, 2004 Filed Apr 29, 2004 17:54 UTC	WALTER INDUSTRIES INC /NEW/ WLT · Entity 17601	OtherCommon Stock, par value $.01 per share	1,940,113	$12.50	$24,251,412.50	Disclosure SEC source: 0001104659-04-011913 · a4.xml · nonDerivative · entry 1 ROBERTS GEORGE R · CIK 0001081715 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner MICHELSON MICHAEL W · CIK 0001182415 · 10% owner GILHULY EDWARD A · CIK 0001206780 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner STUART SCOTT M · CIK 0001081716 · 10% owner KKR ASSOCIATES · CIK 0000901651 · 10% owner GOLKIN PERRY · CIK 0001206581 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Notes Disclosed balance after: 5,467,243 F1 · kind: Sale to the Issuer pursuant to the Stock Repurchase Agreement, dated April 22, 2004. F2 · ownership.nature: These shares are directly owned by JWC Associates, L.P. ("JWC"). KKR Associates, L.P. ("KKR Associates") is the sole general partner of JWC. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stewart and Edward A. Gilhuly are the general partners of KKR Associates. Therefore, each of KKR Associates, Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stewart and Edward A. Gilhuly may be deemed to beneficially own the Common Stock owned by JWC. F6 · ownership.nature: Pursuant to Rule 16a-1(4) promulgated under the Securities Exchange Act of 1934, as amended, each of the Reporting Persons states that the reporting of beneficial ownership herein shall not be deemed an admission that he or it is the beneficial owner of any of the securities covered by this Statement. Each of KKR Associates, Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stewart and Edward A. Gilhuly disclaims beneficial ownership of the Common Stock directly owned by JWC, JWC II, KKR Partners and Channel One, except to the extent of his or its pecuniary interest. Read SEC document
April 20, 2004 Filed Apr 23, 2004 17:03 UTC	WALTER INDUSTRIES INC /NEW/ WLT · Entity 17601	OtherCommon Stock, par value $.01 per share	46,109	$12.75	$587,889.75	Disclosure SEC source: 0001104659-04-011129 · a4.xml · nonDerivative · entry 3 GOLKIN PERRY · CIK 0001206581 · Director · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner MICHELSON MICHAEL W · CIK 0001182415 · 10% owner GILHULY EDWARD A · CIK 0001206780 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner KKR ASSOCIATES · CIK 0000901651 · 10% owner STUART SCOTT M · CIK 0001081716 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Notes Disclosed balance after: 179,566 F1 · kind: Sale to the Issuer pursuant to the Stock Repurchase Agreement, dated April 13, 2004. F4 · ownership.nature: These shares are directly owned by KKR Partners II, L.P. ("KKR Partners"). KKR Associates is the sole general partner of KKR Partners. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stewart and Edward A. Gilhuly are the general partners of KKR Associates. Therefore, each of KKR Associates, Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stewart and Edward A. Gilhuly may be deemed to beneficially own the Common Stock owned by KKR Partners. F6 · ownership.nature: Pursuant to Rule 16a-1(4) promulgated under the Securities Exchange Act of 1934, as amended, each of the Reporting Persons states that the reporting of beneficial ownership herein shall not be deemed an admission that he or it is the beneficial owner of any of the securities covered by this Statement. Each of KKR Associates, Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stewart and Edward A. Gilhuly disclaims beneficial ownership of the Common Stock directly owned by JWC, JWC II, KKR Partners and Channel One, except to the extent of his or its pecuniary interest. Read SEC document
April 20, 2004 Filed Apr 23, 2004 17:03 UTC	WALTER INDUSTRIES INC /NEW/ WLT · Entity 17601	OtherCommon Stock, par value $.01 per share	12,604	$12.75	$160,701.00	Disclosure SEC source: 0001104659-04-011129 · a4.xml · nonDerivative · entry 2 GOLKIN PERRY · CIK 0001206581 · Director · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner MICHELSON MICHAEL W · CIK 0001182415 · 10% owner GILHULY EDWARD A · CIK 0001206780 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner KKR ASSOCIATES · CIK 0000901651 · 10% owner STUART SCOTT M · CIK 0001081716 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Notes Disclosed balance after: 49,083 F1 · kind: Sale to the Issuer pursuant to the Stock Repurchase Agreement, dated April 13, 2004. F3 · ownership.nature: These shares are directly owned by JWC Associates II, L.P. ("JWC II"). KKR Associates is the sole general partner of JWC II. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stewart and Edward A. Gilhuly are the general partners of KKR Associates. Therefore, each of KKR Associates, Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stewart and Edward A. Gilhuly may be deemed to beneficially own the Common Stock owned by JWC II. F6 · ownership.nature: Pursuant to Rule 16a-1(4) promulgated under the Securities Exchange Act of 1934, as amended, each of the Reporting Persons states that the reporting of beneficial ownership herein shall not be deemed an admission that he or it is the beneficial owner of any of the securities covered by this Statement. Each of KKR Associates, Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stewart and Edward A. Gilhuly disclaims beneficial ownership of the Common Stock directly owned by JWC, JWC II, KKR Partners and Channel One, except to the extent of his or its pecuniary interest. Read SEC document
April 20, 2004 Filed Apr 23, 2004 17:03 UTC	WALTER INDUSTRIES INC /NEW/ WLT · Entity 17601	OtherCommon Stock, par value $.01 per share	1,902,071	$12.75	$24,251,405.25	Disclosure SEC source: 0001104659-04-011129 · a4.xml · nonDerivative · entry 1 GOLKIN PERRY · CIK 0001206581 · Director · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner MICHELSON MICHAEL W · CIK 0001182415 · 10% owner GILHULY EDWARD A · CIK 0001206780 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner KKR ASSOCIATES · CIK 0000901651 · 10% owner STUART SCOTT M · CIK 0001081716 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Notes Disclosed balance after: 7,407,356 F1 · kind: Sale to the Issuer pursuant to the Stock Repurchase Agreement, dated April 13, 2004. F2 · ownership.nature: These shares are directly owned by JWC Associates, L.P. ("JWC"). KKR Associates, L.P. ("KKR Associates") is the sole general partner of JWC. Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stewart and Edward A. Gilhuly are the general partners of KKR Associates. Therefore, each of KKR Associates, Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stewart and Edward A. Gilhuly may be deemed to beneficially own the Common Stock owned by JWC. F6 · ownership.nature: Pursuant to Rule 16a-1(4) promulgated under the Securities Exchange Act of 1934, as amended, each of the Reporting Persons states that the reporting of beneficial ownership herein shall not be deemed an admission that he or it is the beneficial owner of any of the securities covered by this Statement. Each of KKR Associates, Henry R. Kravis, George R. Roberts, Michael W. Michelson, Paul E. Raether, James H. Greene, Jr., Perry Golkin, Scott M. Stewart and Edward A. Gilhuly disclaims beneficial ownership of the Common Stock directly owned by JWC, JWC II, KKR Partners and Channel One, except to the extent of his or its pecuniary interest. Read SEC document
February 23, 2004 Filed Feb 26, 2004 02:44 UTC	AMPHENOL CORP /DE/ APH · Entity 2846	OtherClass A Common Stock	7,560,000	$60.00	$453,600,000.00	Disclosure SEC source: 0001104659-04-005749 · a4.xml · nonDerivative · entry 1 RAETHER PAUL E · CIK 0001192062 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 4,350,628 F1 · kind: Sale of shares in a registered underwritten secondary offering. The underwriting agreement was entered into on February 23, 2004; the sale is expected to be consummated on February 27, 2004. The reported price of $60.00 per share does not reflect an underwriting discount of $2.10 per share. The Reporting Person received $57.90 per share. F2 · ownership.nature: As a member of KKR 1996 GP L.L.C., which is the sole general partner of KKR Associates 1996 L.P., which is the sole general partner of KKR 1996 Fund L.P.; as a member of Strata L.L.C., which is the sole general partner of KKR Associates (Strata) L.P., which is a general partner of KKR Partners II L.P.; and as a member of KKR-NXS L.L.C., which is the sole general partner of KKR Associates (NXS) L.P., which is the sole general partner of NXS Associates L.P., the Reporting Person may be deemed, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), to be a "ten percent beneficial owner" of shares of Class A Common Stock directly held by KKR 1996 Fund L.P., NXS Associates L.P. and KKR Partners II, L.P. However, pursuant to Rule 16a-1(a)(2) promulgated under the Act, the Reporting Person disclaims that it is the beneficial owner of such Class A Common Stock. Read SEC document
February 12, 2004 Filed Feb 17, 2004 14:33 UTC	BRISTOL WEST HOLDINGS INC BRW · Entity 17267	SaleCommon Stock, par value $0.01 per share	9,907,232	$20.00	$198,144,640.00	Disclosure SEC source: 0001104659-04-004742 · a4.xml · nonDerivative · entry 1 KKR 1996 GP LLC · CIK 0001031667 · 10% owner KKR ASSOCIATES 1996 L P · CIK 0001031666 · 10% owner KKR 1996 FUND L P · CIK 0001031665 · 10% owner BRISTOL WEST ASSOCIATES LLC · CIK 0001279116 · 10% owner KRAVIS HENRY R · CIK 0001081714 · 10% owner ROBERTS GEORGE R · CIK 0001081715 · 10% owner RAETHER PAUL E · CIK 0001192062 · 10% owner GREENE JAMES H JR · CIK 0001205970 · 10% owner GILHULY EDWARD A · CIK 0001206780 · 10% owner STUART SCOTT M · CIK 0001081716 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 12,257,368 F1 · kind: Sold pursuant to a registered offering. F2 · ownership.nature: See attached joint filer information. Information with respect to Messrs. Golkin, Huth, Navab, Fisher and Michelson may be found on a corresponding Form 4 filed on the date hereof. Read SEC document
November 13, 2003 Filed Nov 17, 2003 21:09 UTC	ZTI MERGER SUBSIDIARY III INC NONE · Entity 17727	ConversionSeries AA Preferred Stock · Derivative	19,062,500	Not disclosed Strike: $4.00	Not disclosed	Disclosure SEC source: 0001181431-03-031503 · rrd22724.xml · derivative · entry 3 KKR 1996 GP LLC · CIK 0001031667 · See footnote (1) below. KKR ASSOCIATES 1996 L P · CIK 0001031666 · See footnote (1) below. KKR 1996 FUND L P · CIK 0001031665 · See footnote (1) below KKR ZT LLC · CIK 0001260224 · See footnote (1) below. NAVAB ALEXANDAR JR · CIK 0001205612 · See footnote (1) below. RAETHER PAUL E · CIK 0001192062 · See footnote (1) below. RICHARRDSON NEIL A · CIK 0001207213 · See footnote (1) below. STUART SCOTT M · CIK 0001081716 · See footnote (1) below. KRAVIS HENRY R · CIK 0001081714 · See footnote (1) below. Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See below. Disclosed balance after: 0 Underlying: Common Stock · 19,062,500 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 · price: See the attached Joint Filer information. F2 · derivative.exercise_date: Not applicable. F2 · derivative.expiration_date: Not applicable. F1 · ownership.nature: See the attached Joint Filer information. Read SEC document
November 13, 2003 Filed Nov 17, 2003 21:09 UTC	ZTI MERGER SUBSIDIARY III INC NONE · Entity 17727	OtherCommon Stock	19,062,500	$0.00	$0.00	Disclosure SEC source: 0001181431-03-031503 · rrd22724.xml · nonDerivative · entry 2 KKR 1996 GP LLC · CIK 0001031667 · See footnote (1) below. KKR ASSOCIATES 1996 L P · CIK 0001031666 · See footnote (1) below. KKR 1996 FUND L P · CIK 0001031665 · See footnote (1) below KKR ZT LLC · CIK 0001260224 · See footnote (1) below. NAVAB ALEXANDAR JR · CIK 0001205612 · See footnote (1) below. RAETHER PAUL E · CIK 0001192062 · See footnote (1) below. RICHARRDSON NEIL A · CIK 0001207213 · See footnote (1) below. STUART SCOTT M · CIK 0001081716 · See footnote (1) below. KRAVIS HENRY R · CIK 0001081714 · See footnote (1) below. Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See below. Disclosed balance after: 0 F1 · price: See the attached Joint Filer information. F1 · ownership.nature: See the attached Joint Filer information. Read SEC document
November 13, 2003 Filed Nov 17, 2003 21:09 UTC	ZTI MERGER SUBSIDIARY III INC NONE · Entity 17727	ConversionCommon Stock	19,062,500	$4.00	$76,250,000.00	Disclosure SEC source: 0001181431-03-031503 · rrd22724.xml · nonDerivative · entry 1 KKR 1996 GP LLC · CIK 0001031667 · See footnote (1) below. KKR ASSOCIATES 1996 L P · CIK 0001031666 · See footnote (1) below. KKR 1996 FUND L P · CIK 0001031665 · See footnote (1) below KKR ZT LLC · CIK 0001260224 · See footnote (1) below. NAVAB ALEXANDAR JR · CIK 0001205612 · See footnote (1) below. RAETHER PAUL E · CIK 0001192062 · See footnote (1) below. RICHARRDSON NEIL A · CIK 0001207213 · See footnote (1) below. STUART SCOTT M · CIK 0001081716 · See footnote (1) below. KRAVIS HENRY R · CIK 0001081714 · See footnote (1) below. Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See below. Disclosed balance after: 19,062,500 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 · ownership.nature: See the attached Joint Filer information. Read SEC document
August 15, 2003 Filed Aug 20, 2003 01:45 UTC	AMPHENOL CORP /DE/ APH · Entity 2846	OtherClass A Common Stock	8,970,722	$50.00	$448,536,100.00	Disclosure SEC source: 0001104659-03-019228 · a4.xml · nonDerivative · entry 1 RAETHER PAUL E · CIK 0001192062 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 11,910,628 F1 · kind: Sale of shares in a registered underwritten secondary offering. The underwriting agreement was entered into on August 15, 2003; the sale is expected to be consummated on August 20, 2003. The reported price of $50.00 per share does not reflect an underwriting discount of $1.98 per share. The Reporting Person received $48.02 per share. F2 · ownership.nature: As a member of KKR 1996 GP L.L.C., which is the sole general partner of KKR Associates 1996 L.P., which is the sole general partner of KKR 1996 Fund L.P.; as a member of Strata L.L.C., which is the sole general partner of KKR Associates (Strata) L.P., which is a general partner of KKR Partners II L.P.; and as a member of KKR-NXS L.L.C., which is the sole general partner of KKR Associates (NXS) L.P., which is the sole general partner of NXS Associates L.P., the Reporting Person may be deemed, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), to be a "ten percent beneficial owner" of shares of Class A Common Stock directly held by KKR 1996 Fund L.P., NXS Associates L.P. and KKR Partners II, L.P. However, pursuant to Rule 16a-1(a)(2) promulgated under the Act, the Reporting Person disclaims that it is the beneficial owner of such Class A Common Stock. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.