SEC Info℠ | Home | Search | My Interests | Help | Sign In | Please Sign In | ||||||||||||||||||||
As Of Filer Filing For·On·As Docs:Size 2/19/21 KKR & Co. Inc. 10-K 12/31/20 122:26M |
Document/Exhibit Description Pages Size 1: 10-K Annual Report HTML 3.72M 14: EX-4.1 Instrument Defining the Rights of Security Holders HTML 130K 11: EX-10.31 Material Contract HTML 76K 12: EX-10.32 Material Contract HTML 116K 10: EX-10.33 Material Contract HTML 125K 13: EX-10.5 Material Contract HTML 84K 2: EX-21.1 Subsidiaries List HTML 184K 3: EX-23.1 Consent of Expert or Counsel HTML 31K 4: EX-31.1 Certification -- §302 - SOA'02 HTML 37K 5: EX-31.2 Certification -- §302 - SOA'02 HTML 37K 6: EX-31.3 Certification -- §302 - SOA'02 HTML 37K 7: EX-32.1 Certification -- §906 - SOA'02 HTML 34K 8: EX-32.2 Certification -- §906 - SOA'02 HTML 34K 9: EX-32.3 Certification -- §906 - SOA'02 HTML 34K 21: R1 Cover Page HTML 104K 22: R2 Consolidated Statements of Financial Condition HTML 135K 23: R3 Consolidated Statements of Financial Condition HTML 59K (Parenthetical) 24: R4 Consolidated Statements of Operations HTML 133K 25: R5 Consolidated Statements of Comprehensive Income HTML 58K (Loss) 26: R6 Consolidated Statements of Changes in Equity HTML 286K 27: R7 Consolidated Statements of Changes in Equity HTML 39K (Parenthetical) 28: R8 Consolidated Statements of Cash Flows (Unaudited) HTML 169K 29: R9 Organization HTML 54K 30: R10 Summary of Significant Accounting Policies HTML 194K 31: R11 Net Gains (Losses) From Investment Activities HTML 104K 32: R12 Investments HTML 69K 33: R13 Fair Value Measurements HTML 377K 34: R14 Fair Value Option HTML 154K 35: R15 Net Income (Loss) Attributable to Kkr & Co. Inc. HTML 78K Per Share of Common Stock 36: R16 Other Assets and Accounts Payable, Accrued HTML 80K Expenses and Other Liabilities 37: R17 Variable Interest Entities HTML 43K 38: R18 Debt Obligations HTML 198K 39: R19 Income Taxes HTML 111K 40: R20 Equity Based Compensation HTML 132K 41: R21 Related Party Transactions HTML 56K 42: R22 Segment Reporting HTML 37K 43: R23 Equity HTML 157K 44: R24 Commitments and Contingencies HTML 58K 45: R25 Subsequent Events HTML 36K 46: R26 Schedule II - Valuation and Qualifying Accounts HTML 47K 47: R27 Summary of Significant Accounting Policies HTML 257K (Policies) 48: R28 Organization, Consolidation and Presentation of HTML 44K Financial Statements (Tables) 49: R29 Summary of Significant Accounting Policies HTML 85K (Tables) 50: R30 Net Gains (Losses) From Investment Activities HTML 103K (Tables) 51: R31 Investments (Tables) HTML 67K 52: R32 Fair Value Measurements (Tables) HTML 381K 53: R33 Fair Value Option (Tables) HTML 151K 54: R34 Net Income (Loss) Attributable to Kkr & Co. Inc. HTML 77K Per Share of Common Stock (Tables) 55: R35 Other Assets and Accounts Payable, Accrued HTML 82K Expenses and Other Liabilities (Tables) 56: R36 Variable Interest Entities (Tables) HTML 43K 57: R37 Debt Obligations (Tables) HTML 150K 58: R38 Income Taxes (Tables) HTML 110K 59: R39 Equity Based Compensation (Tables) HTML 133K 60: R40 Related Party Transactions (Tables) HTML 46K 61: R41 Equity (Tables) HTML 137K 62: R42 Commitments and Contingencies (Tables) HTML 41K 63: R43 ORGANIZATION - Narrative (Details) HTML 51K 64: R44 ORGANIZATION - Effects of Changes in Ownership HTML 46K (Details) 65: R45 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES - Fair HTML 43K Value Measurement (Details) 66: R46 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES - HTML 71K Revenues (Details) 67: R47 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES - HTML 51K Management Fees (Details) 68: R48 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES - HTML 35K Incentive Fees (Details) 69: R49 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES - HTML 50K Capital Allocation Based Income (Details) 70: R50 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES - HTML 50K Compensation and Benefits (Details) 71: R51 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES - Fixed HTML 37K Assets, Depreciation and Amortization (Details) 72: R52 Net Gains (Losses) From Investment Activities HTML 70K (Details) 73: R53 INVESTMENTS - Summary of Investments (Details) HTML 49K 74: R54 INVESTMENTS - Narrative (Details) HTML 47K 75: R55 INVESTMENTS - Equity Method Investments (Details) HTML 73K 76: R56 FAIR VALUE MEASUREMENTS - Assets and Liabilities HTML 109K at Fair Value (Details) 77: R57 FAIR VALUE MEASUREMENTS - Changes in Level III HTML 100K Investments (Details) 78: R58 FAIR VALUE MEASUREMENTS - Changes in Level III HTML 59K Debt Obligations (Details) 79: R59 FAIR VALUE MEASUREMENTS - Valuation Methodologies HTML 253K and Significant Unobservable Inputs (Details) 80: R60 FAIR VALUE OPTION - Financial Instruments HTML 48K (Details) 81: R61 FAIR VALUE OPTION - Change in Fair Value (Details) HTML 66K 82: R62 Net Income (LOSS) ATTRIBUTABLE TO KKR & CO. INC. HTML 84K PER SHARE OF COMMON STOCK - Earnings Per Share (Details) 83: R63 Net Income (LOSS) ATTRIBUTABLE TO KKR & CO. INC. HTML 50K PER SHARE OF COMMON STOCK - Narrative (Details) 84: R64 Net Income (LOSS) ATTRIBUTABLE TO KKR & CO. INC. HTML 34K PER SHARE OF COMMON STOCK - Antidilutive Securities (Details) 85: R65 OTHER ASSETS AND ACCOUNTS PAYABLE, ACCRUED HTML 78K EXPENSES AND OTHER LIABILITIES - Other Assets (Details) 86: R66 OTHER ASSETS AND ACCOUNTS PAYABLE, ACCRUED HTML 81K EXPENSES AND OTHER LIABILITIES - Accounts Payable, Accrued Expenses and Other Liabilities (Details) 87: R67 VARIABLE INTEREST ENTITIES - Narrative (Details) HTML 35K 88: R68 VARIABLE INTEREST ENTITIES - Maximum Exposure to HTML 39K Loss (Details) 89: R69 DEBT OBLIGATIONS - KKR's Borrowings (Details) HTML 177K 90: R70 DEBT OBLIGATIONS - Corporate Credit Agreement HTML 52K (Details) 91: R71 DEBT OBLIGATIONS - KCM Credit Agreements (Details) HTML 61K 92: R72 DEBT OBLIGATIONS - Notes Issuance and Redemptions HTML 183K (Details) 93: R73 DEBT OBLIGATIONS - Other Debt Obligations HTML 60K (Details) 94: R74 DEBT OBLIGATIONS - Debt Covenants (Details) HTML 61K 95: R75 INCOME TAXES - Provision (Benefit) for Income HTML 63K Taxes (Details) 96: R76 INCOME TAXES - Narrative (Details) HTML 49K 97: R77 INCOME TAXES - Reconciliation of Effective Income HTML 54K Tax Rate to the U.S. Federal Statutory Tax Rate (Details) 98: R78 INCOME TAXES - Components of Deferred Tax Assets HTML 66K or Liabilities (Details) 99: R79 INCOME TAXES - Unrecognized Tax Benefits (Details) HTML 44K 100: R80 EQUITY BASED COMPENSATION - Expense (Details) HTML 44K 101: R81 EQUITY BASED COMPENSATION - Narrative (Details) HTML 126K 102: R82 EQUITY BASED COMPENSATION - Assumptions Used to HTML 48K Estimate Fair Value (Details) 103: R83 EQUITY BASED COMPENSATION - Market Condition HTML 57K Awards Vesting Schedule (Details) 104: R84 EQUITY BASED COMPENSATION - Estimated Unrecognized HTML 63K Expense (Details) 105: R85 EQUITY BASED COMPENSATION - Awards Rollforward HTML 70K (Details) 106: R86 EQUITY BASED COMPENSATION - Remaining Vesting HTML 68K Tranches (Details) 107: R87 Related Party Transactions (Details) HTML 47K 108: R88 Related Party Transactions - Narrative (Details) HTML 47K 109: R89 Segment Reporting (Details) HTML 36K 110: R90 EQUITY - Narrative (Details) HTML 82K 111: R91 EQUITY - Repurchase Program (Details) HTML 40K 112: R92 EQUITY - Noncontrolling Interests Held by KKR HTML 75K Holdings (Details) 113: R93 EQUITY - Net Income (Loss) Attributable To HTML 59K Noncontrolling Interests Held by KKR Holdings (Details) 114: R94 EQUITY - Redeemable Noncontrolling Interests HTML 43K (Details) 115: R95 COMMITMENTS AND CONTINGENCIES - Narrative HTML 52K (Details) 116: R96 COMMITMENTS AND CONTINGENCIES - Non-cancelable HTML 53K Operating Leases (Details) 117: R97 Subsequent Events (Details) HTML 48K 118: R98 Schedule II - Valuation and Qualifying Accounts HTML 39K (Details) 120: XML IDEA XML File -- Filing Summary XML 216K 20: XML XBRL Instance -- kkr-20201231_htm XML 6.61M 119: EXCEL IDEA Workbook of Financial Reports XLSX 211K 16: EX-101.CAL XBRL Calculations -- kkr-20201231_cal XML 329K 17: EX-101.DEF XBRL Definitions -- kkr-20201231_def XML 1.54M 18: EX-101.LAB XBRL Labels -- kkr-20201231_lab XML 2.95M 19: EX-101.PRE XBRL Presentations -- kkr-20201231_pre XML 1.88M 15: EX-101.SCH XBRL Schema -- kkr-20201231 XSD 360K 121: JSON XBRL Instance as JSON Data -- MetaLinks 588± 905K 122: ZIP XBRL Zipped Folder -- 0001404912-21-000008-xbrl Zip 1.58M
Grantee:
|
Participant Name
|
||
Grant Date:
|
Grant Date
|
||
Number of RSUs:
|
Number of Awards Granted
|
||
Vesting Schedule:
|
The following sets forth each applicable Service Vesting Date upon which the applicable percentage of RSUs granted hereunder shall become vested, subject to the Grantee’s continued Service through each such
date and other terms and conditions contained in the attached Restricted Stock Unit Grant Agreement.
|
||
Percentage of RSUs Vesting:
|
Applicable Service Vesting Date:
|
||
KKR & CO. INC.
|
GRANTEE
|
|
Electronic Signature
|
||
By:
|
Name: Participant Name
|
|
Title:
|
Grant Acceptance Date: Grant Acceptance Date
|
(a) |
Subject to the terms and conditions contained herein and in the Plan, the RSUs shall vest as provided in the RSU Grant Certificate and this Section 2.1.
|
(i) |
Subject to the Grantee’s continued service as a director of the Corporation (“Service”) through the Service Vesting Date(s) as specified in the RSU Grant Certificate, the RSUs shall become vested on
such date(s) as to the percentage(s) of RSUs set forth in the RSU Grant Certificate.
|
(ii) |
If, prior to the date the RSUs are vested as provided in Section 2.1(a)(i) above or otherwise terminate pursuant to Section 2.1(b) below: (A) the Grantee dies or experiences a Disability or (B) there occurs a Change in Control, then all
unvested RSUs shall be vested as a result thereof.
|
(iii) |
All RSUs that become vested under this Section 2.1(a) shall be Settled pursuant to Section 2.2 of this Agreement.
|
(b) |
If the Grantee’s Service terminates prior to an applicable Service Vesting Date for any reason other than due to the Grantee’s death or Disability, all then unvested RSUs shall immediately terminate and be forfeited without consideration,
and no shares of Common Stock shall be delivered hereunder.
|
(a) |
To the extent that an RSU becomes vested and the applicable Service Vesting Date has occurred, the applicable percentage of RSUs shall be Settled as soon as administratively practicable on or following the applicable Service Vesting Date.
The Settlement of RSUs that become vested upon (i) a termination of Service due to Grantee’s death or Disability, as applicable, in accordance with Section 2.1(a)(ii), shall not be accelerated such that any such RSUs shall be Settled as soon
as administratively practicable on or following the applicable Service Vesting Date as set forth on the RSU Grant Certificate that such RSUs would otherwise have become vested and (ii) a Change in Control shall be as soon as administratively
practicable on or following the date of the consummation of the Change in Control. The date on which any RSU is to be Settled hereunder is referred to as a “Delivery Date.”
|
(b) |
On any Delivery Date, each vested RSU being Settled shall be cancelled in exchange for the Corporation delivering to the Grantee the number of shares of Common Stock equal to the number of RSUs that are to be Settled on such Delivery Date
pursuant to Section 2.2(a). The foregoing deliveries shall in all instances be subject to Sections 4.4 and 4.6.
|
(c) |
Subject to the provisions of this Article II relating to the number of RSUs that are to be Settled on any applicable Delivery Date and solely to the extent permitted under Section 409A, if applicable, the Corporation may impose such other
conditions and procedures in relation to the Settlement of RSUs as it may reasonably determine, including with respect to the Transfer of shares of Common Stock received upon a Settlement.
|
(a) |
The Grantee may not Transfer all or any portion of the Grantee’s RSUs to any Person (including to any Permitted Transferee) without the prior written consent of the Administrator, which consent may be given or withheld, or made subject to
such conditions (including the receipt of such legal or tax opinions and other documents that the Corporation may require) as determined by the Administrator.
|
(b) |
Prior to a Transfer of any RSUs to any Person that the Administrator consents to, such Person must consent in writing to be bound by this Agreement and deliver such consent to the Administrator.
|
(c) |
Any purported Transfer of RSUs that is not in accordance with this Section 3.1 is null and void.
|
(a) |
The rights and remedies provided by this Agreement are cumulative and the use of any one right or remedy by any party shall not preclude or waive its right to use any or all other remedies. Said rights and remedies are given in addition
to any other rights the parties may have by Law or under the terms of any other applicable agreement.
|
(b) |
To the extent required or advisable, pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act and any rules promulgated thereunder and any other similar Laws including, as applicable, but not limited to the European
Directives 2011/61/EU, 2013/36/EU and 2014/91/EU, the Administrator may specify in any other document or a policy to be incorporated into this Agreement by reference, that the Grantee’s rights, payments, and benefits with respect to RSUs
awarded hereunder and/or Common Stock delivered to the Grantee in respect of RSUs awarded hereunder shall be subject to reduction, cancellation, forfeiture or recoupment.
|
(c) |
The Grantee further acknowledges and agrees that KKR Group shall have the right to clawback, forfeit, cancel, recoup, reduce or set-off any distribution or payment that is due or payable (or that the Administrator reasonably determines may
become due or payable) to the Grantee pursuant to any agreement with the KKR Group (including but not limited to partnership agreements of KKR Holdings L.P., KKR Holdings II L.P. and KKR Associates Holdings L.P.) or otherwise for the purpose
of fulfilling any present or future obligation or liability of whatever nature (whether matured or unmatured, absolute or contingent) that the Grantee has to make (or that the Administrator reasonably determines may become such an obligation
or liability to make) any payment or contribution to the KKR Group, regardless of whether the payment or contribution is currently due or payable, or may be due or payable in the future, whether in advance of or without adjudication (provided that the Administrator must act in good faith when determining any contribution or payment that may become due or payable as a result of damage to the KKR Group arising from a breach by Grantee of
any of Grantee’s agreements with the KKR Group or other wrongdoing), and notwithstanding any other agreements between the Grantee and the KKR Group entered into prior to the date hereof.
|
(a) |
This Agreement (including the RSU Grant Certificate and Appendices A and B attached hereto, as applicable) may be amended, supplemented, waived or modified only in accordance with Section 4(b) of the Plan or Section 13 of the Plan, as
applicable, or as may be required for purposes of compliance or enforceability with applicable local Law; provided, however, that the RSU Grant Certificate
shall be deemed amended from time to time to reflect any adjustments provided for under the Plan.
|
(b) |
No failure or delay by any party in exercising any right, power or privilege hereunder (other than a failure or delay beyond a period of time specified herein) shall operate as a waiver thereof nor shall any single or partial exercise
thereof preclude any other or further exercise thereof or the exercise of any other right, power or privilege.
|
(a) |
If to the Corporation, to:
|
(b) |
If to the Grantee, to the most recent address for the Grantee in the books and records of the Corporation.
|
(a) |
This Agreement constitutes the entire agreement among the parties hereto pertaining to the subject matter hereof and supersedes all prior agreements and understandings, whether oral or written, pertaining thereto. The Grantee acknowledges
that the grant of RSUs provided for under this Agreement is in full satisfaction of any and all grants of equity or equity-based awards that representatives of the Corporation or its Affiliates, on or prior to the date hereof, may have
informed the Grantee that such Grantee is entitled to receive.
|
(b) |
This Agreement shall terminate when the Grantee and all Permitted Transferees cease to hold any of the RSUs that have been granted hereunder. Notwithstanding anything to the contrary herein, this Article IV shall survive any termination of
this Agreement.
|
(a) |
This Section 4.13(a) applies to Grantees who are U.S. tax residents (such as, a U.S. citizen, green card holder or a U.S. tax resident under the substantial presence test) to the extent applicable. All references to any “separation from
service” or termination of Services to be provided by the Grantee shall be deemed to refer to a “separation from service” within the meaning of Section 409A, if applicable. Notwithstanding anything herein to the contrary, (i) if at the time
of the Grantee’s termination of Service the Grantee is a “specified employee” as defined in Section 409A of the Code and the deferral of the commencement of any payments or delivery of Common Stock otherwise payable or provided hereunder as a
result of such termination of Service is necessary in order to prevent any accelerated or additional tax under Section 409A, then, to the extent that Section 409A applies to the RSUs, the Corporation will defer the commencement of the payment
of any such payments or delivery hereunder (without any reduction in such payments or delivery of Common Stock ultimately paid or provided to the Grantee) until the date that is six months following the Grantee’s termination of Service (or
the earliest date as is permitted under Section 409A) and (ii) if any other payments or other deliveries due to the Grantee hereunder could cause the application of an accelerated or additional tax under Section 409A, such payments or other
deliveries shall be deferred if deferral will make such payment or other delivery compliant under Section 409A, or otherwise such payment or other delivery shall be restructured, to the extent possible, in a manner, determined by the
Administrator, that does not cause such an accelerated or additional tax. The Corporation shall use commercially reasonable efforts to implement the provisions of this Section 4.13(a) in good faith; provided
that none of the Corporation, the Administrator nor any of the Corporation’s or its affiliates’ employees, directors or representatives shall have any liability to the Grantee with respect to this
Section 4.13(a).
|
(b) |
Nothing in this Agreement shall be deemed to obligate the Corporation to employ the Grantee in any capacity whatsoever or to prohibit or restrict the Corporation from terminating the Grantee’s Service at any time or for any reason
whatsoever.
|
KKR & CO. INC.
|
||
By:
|
||
Name:
|
||
Title:
|
This ‘10-K’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed on: | 2/19/21 | 3, 4 | ||
For Period end: | 12/31/20 | 4, 5 | ||
List all Filings |
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/29/24 KKR & Co. Inc. 10-K 12/31/23 214:57M 2/27/23 KKR & Co. Inc. 10-K 12/31/22 211:55M 5/31/22 KKR & Co. Inc. S-8 POS 5/31/22 3:93K Broadridge Fin’l So… Inc 2/28/22 KKR & Co. Inc. 10-K 12/31/21 209:47M 10/12/21 KKR & Co. Inc. 8-K:1,3,5,710/08/21 13:704K Broadridge Fin’l So… Inc 6/25/21 KKR & Co. Inc. 8-K:5 6/22/21 11:214K Broadridge Fin’l So… Inc 3/26/21 KKR & Co. Inc. 424B5 1:1.2M Broadridge Fin’l So… Inc 3/24/21 KKR & Co. Inc. 424B5 1:1.2M Broadridge Fin’l So… Inc 3/23/21 KKR & Co. Inc. S-3ASR 3/23/21 8:1.4M Broadridge Fin’l So… Inc |