KKR Financial Corp 3/A

Accession 0000898382-10-000013

CIK 0001301508operating

View on SEC.gov Company Profile

Filed

Feb 9, 7:00 PM ET

Accepted

Feb 10, 7:25 PM ET

Size

19.1 KB

Accession

0000898382-10-000013

Insider Transaction Report

Form 3/AAmended

Period: 2010-02-04

KKR Financial CorpKFN

COOPERMAN LEON G

10% Owner

Holdings

7.5% Convertible Senior Notes due 2017
(indirect: Watchung Road Associates)
Exercise: $31.00Exp: 2017-01-15→ Common Stock (322,581 underlying)
7.5% Convertible Senior Notes due 2017
(indirect: By Foundation)
Exercise: $31.00Exp: 2017-01-15→ Common Stock (19,355 underlying)
7.5% Convertible Senior Notes due 2017
(indirect: Managed Accounts)
Exercise: $31.00Exp: 2017-01-15→ Common Stock (41,161 underlying)
Common Stock
(indirect: Managed Accounts)
6,518,213
Common Stock
(indirect: By Foundation)
10,360
7% Convertible Senior Notes due 2012
Exercise: $8.18Exp: 2012-07-15→ Common Stock (611,023 underlying)
Common Stock
2,000,000
Common Stock
(indirect: By Foundation)
200,000
Common Stock
(indirect: Investment Entities)
6,967,354
7.5% Convertible Senior Notes due 2017
Exercise: $31.00Exp: 2017-01-15→ Common Stock (193,549 underlying)
7.5% Convertible Senior Notes due 2017
(indirect: Investment Entities)
Exercise: $31.00Exp: 2017-01-15→ Common Stock (69,001 underlying)
7.5% Convertible Senior Notes due 2017
(indirect: By Foundation)
Exercise: $31.00Exp: 2017-01-15→ Common Stock (12,903 underlying)

Footnotes (10)

[F1]The securities are held in the account of the Leon & Toby Cooperman Foundation over which the reporting person has investment discretion. The reporting person disclaims beneficial ownership of these securities, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose.
[F10]The securities are held in the account of the NJ Performing Arts Foundation over which the reporting person has investment discretion. The reporting person disclaims beneficial ownership of these securities, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose.
[F2]The securities are held in managed accounts over which the reporting person has investment discretion. The reporting person disclaims beneficial ownership except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose.
[F3]The securities are held in the accounts of private investment entities over which the reporting person has investment discretion. The reporting person disclaims beneficial ownership except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose.
[F4]The securities are held in the account of the JCF Metrowest Foundation over which the reporting person has investment discretion. The reporting person disclaims beneficial ownership of these securities, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose.
[F5]The notes are convertible (i) at any time prior to the close of business on the business day preceding any redemption of the notes, to the extent such notes are called for redemption, (ii) upon the satisfaction of certain market price or trading price conditions or the occurrence of certain specified transactions or (iii) at any time between June 15, 2012 and the close of business on the business day preceding the stated maturity date, July 15, 2012.
[F6]The notes are convertible at the Company's option either for the number of shares of common stock listed in Table II, for cash or for a combination thereof.
[F7]Subject to adjustment.
[F8]The notes are convertible at any time prior to the close of business on the business day preceding (i) any redemption of the notes, to the extent such notes are called for redemption, (ii) any termination of conversion rights or (iii) the stated maturity date, January 15, 2017.
[F9]The securities are held in the accounts of a family limited partnership over which the reporting person has investment discretion. The reporting person disclaims beneficial ownership except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose.

Documents

1 file

3
primary_doc.xml
PRIMARY DOCUMENT

Issuer

KKR Financial Corp

CIK 0001301508

→

Entity typeoperating

Related Parties

filerCIK 0001301508

Filing Metadata

Form type: 3/A
Filed: Feb 9, 7:00 PM ET
Accepted: Feb 10, 7:25 PM ET
Size: 19.1 KB

View on SEC.gov