KKR & Co. Inc 8-K, filed Mar 4, 2021
KKR & Co. Inc. (KKR)
8-K
2021-03-04
For: 2021-03-04
View Original
Added on
April 05, 2026
About this 8-K
KKR & Co. Inc filed this 8-K on March 4, 2021.
Items reported
- Item 5.02: Director or officer change, or executive pay
- Item 5.07: Shareholder vote results
- Item 7.01: Regulation FD disclosure
- Item 9.01: Financial statements and exhibits
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): March 4, 2021
(Exact name of registrant as specified in its charter)
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(State or other jurisdiction of incorporation)
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(Commission File Number)
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(IRS Employer Identification No.)
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, 10001
Telephone: (212 )
750-8300
(Address, zip code, and telephone number, including
area code, of registrant's principal executive office.)
NOT APPLICABLE
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the
following provisions (see General Instruction A.2. below):
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange
Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange
Act (17 CFR 240.13e-4(c))
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Securities registered pursuant to Section 12(b) of the Act:
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Title of each class
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Trading symbol(s)
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Name of each exchange on which registered
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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this
chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
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Emerging growth company
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☐
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If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period
for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.
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| Item 5.02 |
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
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On March 4, 2021, Arturo Gutiérrez and Dane Holmes were appointed to the Board of Directors of KKR & Co. Inc.
Mr. Gutiérrez and Mr. Holmes will both receive the customary cash retainer for non-executive directors, which prorated equals
$52,500. In addition, Mr. Gutiérrez and Mr. Holmes will both receive the customary equity grant for non-executive directors, which prorated equals $87,500 of restricted stock units under the Amended and Restated KKR & Co. Inc. 2019 Equity
Incentive Plan. Mr. Gutiérrez and Mr. Holmes also entered into KKR’s customary indemnification agreement for non-executive directors.
| Item 5.07 |
Submission of Matters to a Vote of Security Holders.
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On March 4, 2021, KKR Management LLP, by a written consent of the sole holder of the Series I preferred stock of KKR & Co.
Inc., approved the increase in the number of directors constituting the entire Board to thirteen directors and approved the appointment of Mr. Gutiérrez and Mr. Holmes to the Board.
| Item 7.01 |
Regulation FD Disclosure
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A copy of the press release announcing the appointment of Mr. Gutiérrez and Mr. Holmes to the Board of KKR is furnished as
Exhibit 99.1 to this Current Report on Form 8-K.
As provided in General Instruction B.2 of Form 8-K, the information in this Item 7.01 and the exhibit furnished by this Form 8-K
shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, nor shall they be deemed to be incorporated by reference in any filing under the Securities Act of 1933, as amended, except as shall be
expressly set forth by specific reference in such a filing.
| Item 9.01 |
Financial Statements and Exhibits.
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(d)
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Exhibits
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Exhibit
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Description
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Press release of KKR & Co. Inc., dated March 4, 2021, announcing the appointment of Arturo Gutiérrez and Dane Holmes as directors (this exhibit is furnished and not filed).
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Exhibit 104
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Cover Page Interactive Data File, formatted in Inline XBRL
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on
its behalf by the undersigned hereunto duly authorized.
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KKR & CO. INC.
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Date: March 4, 2021
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By:
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/s/ Christopher Lee
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Name:
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Christopher Lee
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Title:
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Assistant Secretary
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Exhibit 99.1
KKR Appoints Arturo Gutiérrez and Dane Holmes as New Independent Directors
NEW YORK, March 4, 2021 — KKR & Co. Inc. (NYSE: KKR) today announced that Arturo Gutiérrez and Dane Holmes have been appointed to the Board of Directors of KKR & Co. Inc. Their appointments will bring the number of
independent directors to nine out of a total of thirteen Board seats.
Mr. Gutiérrez is the Chief Executive Officer of Arca Continental, S.A.B. de C.V., one of the largest Coca-Cola bottlers in Latin America.
Mr. Holmes is the Chief Executive Officer and Co-Founder of Eskalera Inc. and the former head of Human Capital Management at Goldman Sachs Group, Inc. where he served as
a member of its Management Committee and Partnership Committee.
KKR’s other independent directors include Mary Dillon (Chief Executive Officer of Ulta Beauty, Inc.), Joseph Grundfest (Stanford Law Professor and former Commissioner of
the Securities and Exchange Commission), John Hess (Director and Chief Executive Officer of Hess Corporation), Xavier Niel (Deputy Chairman and Chief Strategy Officer of Iliad SA), Patricia Russo (former Chief Executive Officer of Alcatel-Lucent),
Thomas Schoewe (former Chief Financial Officer of Walmart) and Robert Scully (former member of the Office of the Chairman of Morgan Stanley).
About KKR
KKR is a leading global investment firm that offers alternative asset management and capital markets and insurance solutions. KKR aims to generate attractive investment
returns by following a patient and disciplined investment approach, employing world-class people, and supporting growth in its portfolio companies and communities. KKR sponsors investment funds that invest in private equity, credit and real assets
and has strategic partners that manage hedge funds. KKR’s insurance subsidiaries offer retirement, life and reinsurance products under the management of The Global Atlantic Financial Group. References to KKR’s investments may include the activities
of its sponsored funds and insurance subsidiaries. For additional information about KKR & Co. Inc. (NYSE: KKR), please visit KKR's website at www.kkr.com and on Twitter @KKR_Co.
CONTACT INFORMATION
Investor Relations:
Craig Larson
Tel: +1-877-610-4910 (U.S.) / +1-212-230-9410
investor-relations@kkr.com
Media:
Kristi Huller
Tel: +1-212-750-8300
media@kkr.com