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4//SEC Filing

KRAVIS HENRY R 4

Accession 0001104659-11-027399

CIK 0001315695other
View on SEC.govCompany Profile

Filed

May 8, 8:00 PM ET

Accepted

May 9, 4:46 PM ET

Size

33.4 KB

Accession

0001104659-11-027399

Insider Transaction Report

Form 4
Period: 2011-05-05
Rockwood Holdings, Inc.ROC
KRAVIS HENRY R
10% Owner
Transactions
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−2,995,230$161,053,517→ 5,011,109 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−1,213,617$65,256,186→ 1,072,104 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−89,542$4,814,673→ 149,806 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−3,656,416$196,605,488→ 675,000 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−45,195$2,430,135→ 0 total(indirect: See Footnotes)
  • Other

    Common Stock, par value $0.01 per share

    2011-05-05−675,000→ 0 total(indirect: See Footnotes)
Holdings

  • Common Stock, par value $0.01 per share

    (indirect: See Footnotes)
    1,134,184

  • Common Stock, par value $0.01 per share

    (indirect: See Footnotes)
    89,771
ROBERTS GEORGE R
10% Owner
Transactions
  • Other

    Common Stock, par value $0.01 per share

    2011-05-05−675,000→ 0 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−45,195$2,430,135→ 0 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−89,542$4,814,673→ 149,806 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−1,213,617$65,256,186→ 1,072,104 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−3,656,416$196,605,488→ 675,000 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−2,995,230$161,053,517→ 5,011,109 total(indirect: See Footnotes)
Holdings

  • Common Stock, par value $0.01 per share

    (indirect: See Footnotes)
    1,134,184

  • Common Stock, par value $0.01 per share

    (indirect: See Footnotes)
    89,771
KKR ASSOCIATES STRATA LP
10% Owner
Transactions
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−3,656,416$196,605,488→ 675,000 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−89,542$4,814,673→ 149,806 total(indirect: See Footnotes)
  • Other

    Common Stock, par value $0.01 per share

    2011-05-05−675,000→ 0 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−45,195$2,430,135→ 0 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−1,213,617$65,256,186→ 1,072,104 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−2,995,230$161,053,517→ 5,011,109 total(indirect: See Footnotes)
Holdings

  • Common Stock, par value $0.01 per share

    (indirect: See Footnotes)
    89,771

  • Common Stock, par value $0.01 per share

    (indirect: See Footnotes)
    1,134,184
KKR ASSOCIATES
10% Owner
Transactions
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−89,542$4,814,673→ 149,806 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−3,656,416$196,605,488→ 675,000 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−45,195$2,430,135→ 0 total(indirect: See Footnotes)
  • Other

    Common Stock, par value $0.01 per share

    2011-05-05−675,000→ 0 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−2,995,230$161,053,517→ 5,011,109 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−1,213,617$65,256,186→ 1,072,104 total(indirect: See Footnotes)
Holdings

  • Common Stock, par value $0.01 per share

    (indirect: See Footnotes)
    1,134,184

  • Common Stock, par value $0.01 per share

    (indirect: See Footnotes)
    89,771
STRATA LLC
10% Owner
Transactions
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−45,195$2,430,135→ 0 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−3,656,416$196,605,488→ 675,000 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−1,213,617$65,256,186→ 1,072,104 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−2,995,230$161,053,517→ 5,011,109 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−89,542$4,814,673→ 149,806 total(indirect: See Footnotes)
  • Other

    Common Stock, par value $0.01 per share

    2011-05-05−675,000→ 0 total(indirect: See Footnotes)
Holdings

  • Common Stock, par value $0.01 per share

    (indirect: See Footnotes)
    1,134,184

  • Common Stock, par value $0.01 per share

    (indirect: See Footnotes)
    89,771
KKR 1996 FUND L P
10% Owner
Transactions
  • Other

    Common Stock, par value $0.01 per share

    2011-05-05−675,000→ 0 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−89,542$4,814,673→ 149,806 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−3,656,416$196,605,488→ 675,000 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−45,195$2,430,135→ 0 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−2,995,230$161,053,517→ 5,011,109 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−1,213,617$65,256,186→ 1,072,104 total(indirect: See Footnotes)
Holdings

  • Common Stock, par value $0.01 per share

    (indirect: See Footnotes)
    1,134,184

  • Common Stock, par value $0.01 per share

    (indirect: See Footnotes)
    89,771
KKR ASSOCIATES 1996 L P
10% Owner
Transactions
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−45,195$2,430,135→ 0 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−1,213,617$65,256,186→ 1,072,104 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−2,995,230$161,053,517→ 5,011,109 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−89,542$4,814,673→ 149,806 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−3,656,416$196,605,488→ 675,000 total(indirect: See Footnotes)
  • Other

    Common Stock, par value $0.01 per share

    2011-05-05−675,000→ 0 total(indirect: See Footnotes)
Holdings

  • Common Stock, par value $0.01 per share

    (indirect: See Footnotes)
    1,134,184

  • Common Stock, par value $0.01 per share

    (indirect: See Footnotes)
    89,771
KKR PARTNERS II LP
10% Owner
Transactions
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−45,195$2,430,135→ 0 total(indirect: See Footnotes)
  • Other

    Common Stock, par value $0.01 per share

    2011-05-05−675,000→ 0 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−89,542$4,814,673→ 149,806 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−3,656,416$196,605,488→ 675,000 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−1,213,617$65,256,186→ 1,072,104 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−2,995,230$161,053,517→ 5,011,109 total(indirect: See Footnotes)
Holdings

  • Common Stock, par value $0.01 per share

    (indirect: See Footnotes)
    1,134,184

  • Common Stock, par value $0.01 per share

    (indirect: See Footnotes)
    89,771
KKR 1996 GP LLC
10% Owner
Transactions
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−45,195$2,430,135→ 0 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−1,213,617$65,256,186→ 1,072,104 total(indirect: See Footnotes)
  • Other

    Common Stock, par value $0.01 per share

    2011-05-05−675,000→ 0 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−2,995,230$161,053,517→ 5,011,109 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−89,542$4,814,673→ 149,806 total(indirect: See Footnotes)
  • Sale

    Common Stock, par value $0.01 per share

    2011-05-05$53.77/sh−3,656,416$196,605,488→ 675,000 total(indirect: See Footnotes)
Holdings

  • Common Stock, par value $0.01 per share

    (indirect: See Footnotes)
    1,134,184

  • Common Stock, par value $0.01 per share

    (indirect: See Footnotes)
    89,771
Footnotes (13)
  • [F1]Represents the price paid by the underwriters pursuant to an underwritten offering.
  • [F10]Each of KKR Fund Holdings L.P. (as the designated member of KKR Millennium GP LLC and the sole shareholder of KKR Europe Limited); KKR Fund Holdings GP Limited (as a general partner of KKR Fund Holdings L.P.); KKR Group Holdings L.P. (as a general partner of KKR Fund Holdings L.P. and the sole shareholder of KKR Fund Holdings GP Limited); KKR Group Limited (as the sole general partner of KKR Group Holdings L.P.); KKR & Co. L.P. (as the sole shareholder of KKR Group Limited) and KKR Management LLC (as the sole general partner of KKR & Co. L.P.) may also be deemed to be the beneficial owner of the shares held by KKR Millennium Fund L.P. and KKR European Fund, Limited Partnership.
  • [F11]These shares are held by Aurora Investments II, LLC.
  • [F12]As the designated members of KKR Management LLC, the managers of KKR 1996 GP LLC, Strata L.L.C., KKR III GP LLC and Aurora Investments II, LLC, and members of the executive committee of KKR Associates, L.P., Henry R. Kravis and George R. Roberts may also be deemed to beneficially own the shares held by KKR Millennium Fund L.P., KKR European Fund, Limited Partnership, KKR 1996 Fund L.P., KKR Partners II, L.P., KKR Partners III, L.P. (Series F) and Aurora Investments II, LLC. Messrs. Kravis and Roberts have also been designated as managers of KKR Millennium GP LLC by KKR Fund Holdings L.P.
  • [F13]Each Reporting Person and each other person named in notes (2) through (12) above disclaims beneficial ownership of any securities reported herein, except to the extent of such 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, the Reporting Persons are the beneficial owners of any equity securities covered by this statement.
  • [F2]These shares are held 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 shares 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 shares held by KKR 1996 Fund L.P.
  • [F3]These shares are held 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 shares 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 shares held by KKR Partners II, L.P.
  • [F4]These shares are are held 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 shares 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 shares held by KKR European Fund, Limited Partnership.
  • [F5]These shares are held 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]These shares are held by KKR Partners III, L.P. (Series F). As the sole general partner of KKR Partners III, L.P. (Series F), KKR III GP LLC may be deemed to be the beneficial owner of such shares held by KKR Partners III, L.P. (Series F).
  • [F7]Distribution in kind from KKR 1996 Fund L.P. without consideration to KKR Associates 1996 L.P., its sole general partner.
  • [F8]This number includes 675,000 shares which were received by KKR Associates 1996 L.P. as a distribution in kind from KKR 1996 Fund L.P. on May 5, 2011.
  • [F9]These securities are held by KKR Associates 1996 L.P. As the sole general partner of KKR Associates 1996 L.P., KKR 1996 GP LLC may be deemed to be the beneficial owner of such shares held by KKR Associates 1996 L.P.

Documents

1 file

Issuer

Rockwood Holdings, Inc.

CIK 0001315695

→
Entity typeother

Related Parties

1
  • filerCIK 0001081714

Filing Metadata

Form type
4
Filed
May 8, 8:00 PM ET
Accepted
May 9, 4:46 PM ET
Size
33.4 KB
View on SEC.gov