This database was last updated in October 2019 and should only be used as a historical snapshot. There may be new information that is not included here.
Lewis Eisenberg
State (joined: Aug. 3, 2017)
Ambassador, Italy & San Marino | Financial Disclosure »
Former Positions Outside Government
- American Enterprise Institute National Council Chair
- DS Irrevocable Trust Agreement Trustee
- Georgica Close LLC Manager and President
- HRK 1996 Corporation President (S Corporation, 100% owned by The 2012 Discretionary Trust A)
- Hudson Farm Foundation Board Member
- Ironhill Foundation President
- Ironhill Investments, LLC Managing Partner
- K 2011 Investment Trust Trustee (Pursuant to Mr. Eisenberg’s confirmation as Ambassador to Italy and San Marino, he will resign his position as a Trustee of the above-referenced trusts. He will then be designated as an “Expert Advisor” to the beneficiaries of the trusts, a role which will be a solely advisory role, not a fiduciary role, and will not constitute employment by any party nor produce compensation from any party.)
- KKS 2015 Irrevocable Life Insurance Trust Co-Trustee (Pursuant to Mr. Eisenberg’s confirmation as Ambassador to Italy and San Marino, he will resign his position as a Trustee of the above-referenced trusts. He will then be designated as an “Expert Advisor” to the beneficiaries of the trusts, a role which will be a solely advisory role, not a fiduciary role, and will not constitute employment by any party nor produce compensation from any party.)
- KRK Designation Trust Trustee (Pursuant to Mr. Eisenberg’s confirmation as Ambassador to Italy and San Marino, he will resign his position as a Trustee of the above-referenced trusts. He will then be designated as an “Expert Advisor” to the beneficiaries of the trusts, a role which will be a solely advisory role, not a fiduciary role, and will not constitute employment by any party nor produce compensation from any party.)
- Kohlberg Kravis Roberts Senior Advisor
- LaLista II, LLC Managing Member
- LaLista LP Managing Partner
- Lewis M. Eisenberg Living Trust dtd 5/13/2009 Trustee
- NJRE I, LLC Managing Member
- RSK 2008 Revocable Trust Co-Trustee (Pursuant to Mr. Eisenberg’s confirmation as Ambassador to Italy and San Marino, he will resign his position as a Trustee of the above-referenced trusts. He will then be designated as an “Expert Advisor” to the beneficiaries of the trusts, a role which will be a solely advisory role, not a fiduciary role, and will not constitute employment by any party nor produce compensation from any party.)
- Republican Jewish Coalition Chairman of Nominating Committee
- Riverside Theatre Distinguished Lecturer Series Member
- SL Family Trust Co-Trustee
- Seymour Eisenberg Memorial Foundation Trustee
- The 2012 Discretionary Trust A Co-Trustee (Pursuant to Mr. Eisenberg’s confirmation as Ambassador to Italy and San Marino, he will resign his position as a Trustee of the above-referenced trusts. He will then be designated as an “Expert Advisor” to the beneficiaries of the trusts, a role which will be a solely advisory role, not a fiduciary role, and will not constitute employment by any party nor produce compensation from any party.)
- The 2012 KRK Discretionary Trust A Co-Trustee (Pursuant to Mr. Eisenberg’s confirmation as Ambassador to Italy and San Marino, he will resign his position as a Trustee of the above-referenced trusts. He will then be designated as an “Expert Advisor” to the beneficiaries of the trusts, a role which will be a solely advisory role, not a fiduciary role, and will not constitute employment by any party nor produce compensation from any party.)
- The 2012 KRK Restricted Trust B Trustee (Pursuant to Mr. Eisenberg’s confirmation as Ambassador to Italy and San Marino, he will resign his position as a Trustee of the above-referenced trusts. He will then be designated as an “Expert Advisor” to the beneficiaries of the trusts, a role which will be a solely advisory role, not a fiduciary role, and will not constitute employment by any party nor produce compensation from any party.)
- The 2012 RSK Discretionary Trust A Co-Trustee (Pursuant to Mr. Eisenberg’s confirmation as Ambassador to Italy and San Marino, he will resign his position as a Trustee of the above-referenced trusts. He will then be designated as an “Expert Advisor” to the beneficiaries of the trusts, a role which will be a solely advisory role, not a fiduciary role, and will not constitute employment by any party nor produce compensation from any party.)
- The 2012 RSK Restricted Trust B Trustee (Pursuant to Mr. Eisenberg’s confirmation as Ambassador to Italy and San Marino, he will resign his position as a Trustee of the above-referenced trusts. He will then be designated as an “Expert Advisor” to the beneficiaries of the trusts, a role which will be a solely advisory role, not a fiduciary role, and will not constitute employment by any party nor produce compensation from any party.)
- The 2012 Restricted Trust B Co-Trustee (Pursuant to Mr. Eisenberg’s confirmation as Ambassador to Italy and San Marino, he will resign his position as a Trustee of the above-referenced trusts. He will then be designated as an “Expert Advisor” to the beneficiaries of the trusts, a role which will be a solely advisory role, not a fiduciary role, and will not constitute employment by any party nor produce compensation from any party.)
- The HRK Family Trust Agreement Trustee (Pursuant to Mr. Eisenberg’s confirmation as Ambassador to Italy and San Marino, he will resign his position as a Trustee of the above-referenced trusts. He will then be designated as an “Expert Advisor” to the beneficiaries of the trusts, a role which will be a solely advisory role, not a fiduciary role, and will not constitute employment by any party nor produce compensation from any party.)
- The K 2014 Descendants Trust A Co-Trustee (Pursuant to Mr. Eisenberg’s confirmation as Ambassador to Italy and San Marino, he will resign his position as a Trustee of the above-referenced trusts. He will then be designated as an “Expert Advisor” to the beneficiaries of the trusts, a role which will be a solely advisory role, not a fiduciary role, and will not constitute employment by any party nor produce compensation from any party.)
- The K 2014 Descendants Trust B Trustee (Pursuant to Mr. Eisenberg’s confirmation as Ambassador to Italy and San Marino, he will resign his position as a Trustee of the above-referenced trusts. He will then be designated as an “Expert Advisor” to the beneficiaries of the trusts, a role which will be a solely advisory role, not a fiduciary role, and will not constitute employment by any party nor produce compensation from any party.)
- The KRK 2015 Residence Trust Trustee (Pursuant to Mr. Eisenberg’s confirmation as Ambassador to Italy and San Marino, he will resign his position as a Trustee of the above-referenced trusts. He will then be designated as an “Expert Advisor” to the beneficiaries of the trusts, a role which will be a solely advisory role, not a fiduciary role, and will not constitute employment by any party nor produce compensation from any party.)
- The Marie-Josee and Henry R. Kravis Foundation Director and Treasurer
- The RSK 2014 Residence Trust Trustee (Pursuant to Mr. Eisenberg’s confirmation as Ambassador to Italy and San Marino, he will resign his position as a Trustee of the above-referenced trusts. He will then be designated as an “Expert Advisor” to the beneficiaries of the trusts, a role which will be a solely advisory role, not a fiduciary role, and will not constitute employment by any party nor produce compensation from any party.)
- Trently Lane Property Company LLC Manager and President
- Tuft Family Foundation Co-Trustee
Former Compensation Sources
- Kohlberg Kravis Roberts & Co. Senior Advisor
Employment Assets
| Description | Value | Income |
|---|---|---|
| IRA | ||
| Neuberger Berman MLP Income Fund | $250,001 - $500,000 | $15,001 - $50,000 |
| Blackstone Group | $250,001 - $500,000 | $15,001 - $50,000 |
| Och Ziff Capital Management | $100,001 - $250,000 | $15,001 - $50,000 |
| U.S. Investment Account Cash | $50,001 - $100,000 | None (or less than $201) |
| Grand Canyon Education, Inc. - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| National Instruments Corp | $1,001 - $15,000 | $201 - $1,000 |
| SPS Comm Inc. | $1,001 - $15,000 | None (or less than $201) |
| PRA Group, Inc. - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| United Natural Foods, Inc. - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| Healthcare Services Group, Inc. - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| CoStar Group, Inc. - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| Proto Labs Inc. | $1,001 - $15,000 | None (or less than $201) |
| Ultimate Software Group Inc | $1,001 - $15,000 | None (or less than $201) |
| Chemed Corporation | $1,001 - $15,000 | None (or less than $201) |
| Gentex Corp | $1,001 - $15,000 | None (or less than $201) |
| Pegasystems Inc | $1,001 - $15,000 | None (or less than $201) |
| Athenahealth, Inc. - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| Heico Corporation | $1,001 - $15,000 | None (or less than $201) |
| Maximus Inc | $1,001 - $15,000 | None (or less than $201) |
| Five Below, Inc. - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| Ellie Mae Inc | $1,001 - $15,000 | None (or less than $201) |
| Veeva Systems Inc | $1,001 - $15,000 | None (or less than $201) |
| Bio-Techne Corp - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| Ritchie Bros Auctioneers | $1,001 - $15,000 | None (or less than $201) |
| Power Integrations, Inc. - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| ZELTIQ Aesthetics, Inc. - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| Financial Engines, Inc. - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| HealthStream, Inc. - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| Dorman Products, Inc. - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| Cognex Corp | $1,001 - $15,000 | None (or less than $201) |
| Beacon Roofing Supply, Inc. - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| The Advisory Board Company - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| Wageworks Inc | $1,001 - $15,000 | None (or less than $201) |
| Cass Information Systems, Inc - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| Tile Shop Holdings Inc | $1,001 - $15,000 | None (or less than $201) |
| The Cheesecake Factory Incorporated - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| U S Physical Therapy Inc | $1,001 - $15,000 | None (or less than $201) |
| ExlService Holdings, Inc. - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| Neogen Corp | $1,001 - $15,000 | None (or less than $201) |
| Exponent, Inc. - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| Pros Holdings, Inc - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| 2U, Inc. - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| Mobile Mini, Inc. - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| Verint Systems Inc. - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| U.S. Investment Account Cash | $1,001 - $15,000 | None (or less than $201) |
| Paylocity Holding Corporation - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| Freshpet, Inc. - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| Digi International Inc. - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| US bank account cash | $1,001 - $15,000 | None (or less than $201) |
| Calavo Growers, Inc. - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| Cabot Microelectronics Corporation - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| Stratasys, Ltd. - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| InnerWorkings, Inc. - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| Novadaq Technologies Inc - Common Shares | $1,001 - $15,000 | None (or less than $201) |
| Channeladvisor Corp | $1,001 - $15,000 | None (or less than $201) |
| Inovalon Holdings Inc | $1,001 - $15,000 | None (or less than $201) |
| Diplomat Pharmacy, Inc | $1,001 - $15,000 | None (or less than $201) |
| JP Morgan Cash Deposit | $15,001 - $50,000 | None (or less than $201) |
| Juniper Networks | $1,001 - $15,000 | None (or less than $201) |
| Time, Inc - Common Stock | $1,001 - $15,000 | $201 - $1,000 |
| Copa Holdings | $1,001 - $15,000 | $201 - $1,000 |
| Devry Education Group Inc | $1,001 - $15,000 | None (or less than $201) |
| Varian Medical Systems Inc | $1,001 - $15,000 | None (or less than $201) |
| Tegna Inc | $1,001 - $15,000 | $201 - $1,000 |
| New York Times Co - CL A | $1,001 - $15,000 | None (or less than $201) |
| Stericycle, Inc. - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| Teradata Corp | $1,001 - $15,000 | None (or less than $201) |
| Raymond James Financial Inc | $1,001 - $15,000 | None (or less than $201) |
| Gentex Corporation - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| FMC Corp | $1,001 - $15,000 | None (or less than $201) |
| Cree, Inc. - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| Office Depot, Inc. - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| Northern Trust Corporation - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| Jabil Circuit Inc | $1,001 - $15,000 | None (or less than $201) |
| Mattel Inc | $1,001 - $15,000 | $201 - $1,000 |
| TechnipFMC | $1,001 - $15,000 | None (or less than $201) |
| Akamai Technologies, Inc. - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| Mcdermott International Inc | $1,001 - $15,000 | None (or less than $201) |
| Agco Corp | $1,001 - $15,000 | None (or less than $201) |
| Domtar Corp | $1,001 - $15,000 | $201 - $1,000 |
| Lear Corporation | $1,001 - $15,000 | None (or less than $201) |
| Patterson Companies, Inc. - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| Arconic Inc | $1,001 - $15,000 | None (or less than $201) |
| Quest Diagnostics | $1,001 - $15,000 | None (or less than $201) |
| Cooper Tire & Rubber Co | $1,001 - $15,000 | None (or less than $201) |
| Lions Gate Entertainment Corp | $1,001 - $15,000 | None (or less than $201) |
| Werner Enterprises, Inc. - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| Itron, Inc. - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| Unisys Corporation | $1,001 - $15,000 | None (or less than $201) |
| Scholastic Corp | $1,001 - $15,000 | None (or less than $201) |
| Nuance Communications, Inc. - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| Borg Warner Automotive Inc | $1,001 - $15,000 | None (or less than $201) |
| Whirlpool Corp | $1,001 - $15,000 | None (or less than $201) |
| Lions Gate Entertainment Corp | $1,001 - $15,000 | None (or less than $201) |
| Gerdau SA-Sponsored ADR | $1,001 - $15,000 | None (or less than $201) |
| Chicago Bridge & Iron CO | $1,001 - $15,000 | None (or less than $201) |
| Transocean LTD | $1,001 - $15,000 | None (or less than $201) |
| Donaldson Co Inc | $1,001 - $15,000 | None (or less than $201) |
| Bunge | $1,001 - $15,000 | None (or less than $201) |
| Interpublic Group Cos | $1,001 - $15,000 | None (or less than $201) |
| Cincinnati Financial Corporation - Common Stock | $1,001 - $15,000 | None (or less than $201) |
| Clean Harbors Inc | $15,001 - $50,000 | None (or less than $201) |
| Darling Ingredients | $15,001 - $50,000 | None (or less than $201) |
| Western Union Co | $15,001 - $50,000 | $201 - $1,000 |
| Thor Industries Inc | $1,001 - $15,000 | None (or less than $201) |
| Centene Corp | $1,001 - $15,000 | None (or less than $201) |
| HanesBrands Inc | $1,001 - $15,000 | $201 - $1,000 |
| Trinity Industries Inc | $1,001 - $15,000 | $201 - $1,000 |
| Envision Healthcare Corporation - | $1,001 - $15,000 | None (or less than $201) |
| Polaris Industries Inc | $1,001 - $15,000 | $201 - $1,000 |
| Newfield Exploration Co | $1,001 - $15,000 | None (or less than $201) |
| Chicago Bridge & Iron Co | $1,001 - $15,000 | None (or less than $201) |
| Timken CO | $1,001 - $15,000 | $201 - $1,000 |
| OGE Energy Corp | $1,001 - $15,000 | $201 - $1,000 |
| Flowserve Cor | $1,001 - $15,000 | $201 - $1,000 |
| Idex Corp | $1,001 - $15,000 | None (or less than $201) |
| AGCO Corp | $1,001 - $15,000 | None (or less than $201) |
| U.S. Investment Account Cash | $1,001 - $15,000 | None (or less than $201) |
| Broadridge Financial Solutions Inc | $1,001 - $15,000 | $201 - $1,000 |
| Knowles Corporation | $1,001 - $15,000 | None (or less than $201) |
| Pentair PLC SHS | $1,001 - $15,000 | $201 - $1,000 |
| Westrock Company Com | $1,001 - $15,000 | $201 - $1,000 |
| Murphy USA Inc Com | None (or less than $1,001) | None (or less than $201) |
| Kohlberg Kravis Roberts, restricted stock units | $100,001 - $250,000 | None (or less than $201) |
| Kohlberg Kravis Roberts | $93,296 | |
| KKR Associates Holdings LP - Carried Interest | $100,001 - $1,000,000 | |
| Academy Ltd. (Retail - Sporting Goods) | $1,001 - $15,000 | |
| Accelerated Oil Technologies I L.P. (Oil Production) | None (or less than $1,001) | |
| Acteon Group Ltd. (subsea oil and gas) | None (or less than $1,001) | |
| Alliance Tire Group B.V. (Industrial Tire Producer) | None (or less than $1,001) | |
| Alliant Insurance Services (Insurance) | None (or less than $1,001) | |
| Ambea AB (Health/Social Care Services) | $1,001 - $15,000 | |
| Asia Dairy Holdings (Dairy) | None (or less than $1,001) | |
| BIS Industries Limited (Logistical Support - Steel Industry) | None (or less than $1,001) | |
| Capsugel (Pharmaceuticals) | $15,001 - $50,000 | |
| China Greenland Rundong (Auto Sales) | None (or less than $1,001) | |
| China International Capital Corporation (Investment Banking) | $1,001 - $15,000 | |
| China Outfitters Holdings Limited (Apparel - Retail) | None (or less than $1,001) | |
| Coffee Day Resorts Private Limited (Coffee Shops) | None (or less than $1,001) | |
| Cognita (Education Services) | $1,001 - $15,000 | |
| Dalmia Cement (Cement Manufacturing) | $1,001 - $15,000 | |
| Far East Horizon Limited (Financial Services) | None (or less than $1,001) | |
| GenesisCare (Specialty Health Care Services) | None (or less than $1,001) | |
| Go Daddy, Inc. (Domain Registrar/Web Hosting) | $15,001 - $50,000 | |
| Groupe SMCP S.A.S. (Retail - Apparel) | None (or less than $1,001) | |
| KESO (Dairy) | $1,001 - $15,000 | |
| KKR Asian Fund II L.P. | $1,001 - $15,000 | |
| KKR Associate Reserve LLC (2006) | $15,001 - $50,000 | |
| KKR Associate Reserve LLC (Asia) | $1,001 - $15,000 | |
| KKR Associate Reserve LLC (CGF) | None (or less than $1,001) | |
| KKR Associate Reserve LLC (Europe III) | $15,001 - $50,000 | |
| KKR Associate Reserve LLC (NAXI) | $1,001 - $15,000 | |
| KKR Associate Reserve LLC (REPA) | None (or less than $1,001) | |
| KKR Global Infrastructure Investors L.P. | $1,001 - $15,000 | |
| KKR Mezzanine Partners I Feeder L.P. | $1,001 - $15,000 | |
| KKR North America Fund XI SBS L.P. | $15,001 - $50,000 | |
| KKR Real Estate Partners Americas SBS L.P. | None (or less than $1,001) | |
| Laureate Education, Inc. (Education Services) | None (or less than $1,001) | |
| Maxeda (formerly Vendex KBB N.V.) (Home Improvement Retailer) | None (or less than $1,001) | |
| Northgate Information Solutions plc (Human Resources) | $1,001 - $15,000 | |
| Novo Holdco Limited (Retail - Apparel) | None (or less than $1,001) | |
| Pets At Home Limited (Retail - Pets) | $1,001 - $15,000 | |
| RigNet, Inc. (Network Provider) | None (or less than $1,001) | |
| Riverview Property Investment Platform (Real Estate) | None (or less than $1,001) | |
| Samson Resources (Oil & Gas) | None (or less than $1,001) | |
| Santanol Pty Ltd (Sandlewood Products) | None (or less than $1,001) | |
| Sonos (Consumer Electronics) | $1,001 - $15,000 | |
| Magma Fincorp Limited (Non-Banking Financial) | None (or less than $1,001) | |
| TVS Logistics Services Limited (Logistics/Warehousing Solutions) | $1,001 - $15,000 | |
| VATS Chain Liquor Store (Beverage) | None (or less than $1,001) | |
| Visma AS (Business Software Provider) | $15,001 - $50,000 | |
| Weld North (Education & Health) | None (or less than $1,001) | |
| WMF (Kitchenware Manufacturing) | None (or less than $1,001) | |
| KKR Associates Reserve LLC - Carried Interest | None (or less than $201) | |
| KKR Associate Reserve LLC (2006) | $15,001 - $50,000 | |
| KKR Associate Reserve LLC (Asia) | $1,001 - $15,000 | |
| KKR Associate Reserve LLC (CGF) | None (or less than $1,001) | |
| KKR Associate Reserve LLC (Europe III) | $15,001 - $50,000 | |
| KKR Associate Reserve LLC (NAXI) | $1,001 - $15,000 | |
| KKR Associate Reserve LLC (REPA) | None (or less than $1,001) |
Other Income/Assets
| Description | Value | Income |
|---|---|---|
| KKR 2006 Fund (Allstar) LP | ||
| LaLista, LP | ||
| U.S. Investment Account Cash | $500,001 - $1,000,000 | $2,501 - $5,000 |
| US bank account cash | $50,001 - $100,000 | None (or less than $201) |
| Xometry | ||
| Xometry Series A-1 (Custom Part Manufacturing for Technology) | $15,001 - $50,000 | None (or less than $201) |
| Xometry (Custom Part Manufacturing for Technology) | $50,001 - $100,000 | None (or less than $201) |
| Inspirit Group LLC (DBA Stopit) (Software/App) | $50,001 - $100,000 | None (or less than $201) |
| Indiastar Fund LP (Values for underlying assets not available) | $15,001 - $50,000 | $1,001 - $2,500 |
| Global Offshore (Oil & Gas Transportation) | ||
| IOL Chemicals & Pharmaceuticals (Pharmaceuticals) | ||
| Surana Industries (Manufacturing/Trading of Steel & Iron) | ||
| VNR Infrastructures (Infrastructure Development) | ||
| VNR Powertech (Infrastructure Development) | ||
| PT Kalimantan Pacific Coal (Coal Energy) | ||
| KKR Partners III LP (See 1.8 note Values for underlying assets not available) | ||
| Toys R Us, Inc. (Retail) | $1,001 - $15,000 | |
| KKR III GP LLC (See 1.8 note Income estimates by underlying fund were not available) | ||
| Go Daddy, Inc. (Domain Registrar/Web Hosting) | $15,001 - $50,000 | |
| Sonos (Consumer Electronics) | $15,001 - $50,000 | |
| Weld North | $1,001 - $15,000 | |
| Advancement Courses (Education) | ||
| Edgenuity (Education) | ||
| Generation Ready (Education) | ||
| Imagine Learning (Education) | ||
| Intellify Learning (Education) | ||
| Performance Matters (Educatuion) | ||
| Learning House (Education) | ||
| KKR Partners II (International) LP (Income amount includes income from 1.6 & 1.7 as well, given that KKR does not itemize income of all three investments. Income estimates by underlying fund were not available) | $100,001 - $1,000,000 | |
| Cognita (Independent Schools) | $15,001 - $50,000 | |
| GenesisCare (Healthcare) | $15,001 - $50,000 | |
| Groupe SMCP S.A.S. (Retail Apparel) | $1,001 - $15,000 | |
| Magma Fincorp Limited (Non-Banking Financial) | $1,001 - $15,000 | |
| RigNet, Inc. (Network Provider) | $1,001 - $15,000 | |
| Riverview Property Investment Platform (Residential Real Estate Development - China) | $1,001 - $15,000 | |
| Santanol Pty Ltd (Retail - Sandalwood Products) | $1,001 - $15,000 | |
| TVS Logistics Services Limited (Logistics/Warehousing Solutions) | $15,001 - $50,000 | |
| KKR 2006 Fund LP (Income estimates by underlying fund were not available) | None (or less than $201) | |
| First Data Corporation (Technology Solutions) | $50,001 - $100,000 | |
| HCA, Inc. (Healthcare) | $1,001 - $15,000 | |
| Sonos (Consumer Electronics) | $1,001 - $15,000 | |
| TASC, Inc./Engility Holdings, Inc. (Enterprise Systems) | $1,001 - $15,000 | |
| US Foods (Food/Food Services) | $15,001 - $50,000 | |
| Weld North | $1,001 - $15,000 | |
| Advancement Courses (Education) | ||
| Edgenuity (Education) | ||
| Generation Ready (Education) | ||
| Imagine Learning (Education) | ||
| Intellify Learning (Education) | ||
| Performance Matters (Educatuion) | ||
| Learning House (Education) | ||
| Academy Ltd. (Retail Sporting Goods) | $1,001 - $15,000 | None (or less than $201) |
| KKR 2006 Fund (GDG) LP | ||
| Go Daddy, Inc. (Domain Registrar/Web Hosting) | $15,001 - $50,000 | None (or less than $201) |
| KKR 2006 Fund (Overseas) LP (Income estimates by underlying fund were not available) | $15,001 - $50,000 | |
| Accelerated Oil Technologies I L.P. (Oil Exploration/Production) | None (or less than $1,001) | |
| Alliance Boots/Walgreens (Retail/Pharmaceutical) | $1,001 - $15,000 | |
| Capsugel (Healthcare/Pharmaceuticals) | $15,001 - $50,000 | |
| KKR Debt Investors 2006 S.a.r.I. (Investments) | $1,001 - $15,000 | |
| Advantage Sales & Marketing Inc (Commercial Services & Supplies) | ||
| Algeco Scotsman Global sarl (Home Building) | ||
| Ambea AB (Health Care Providers & Services) | ||
| Arch Coal Inc (Coal Producer) | ||
| ASG Technologies (IT Services) | ||
| BSN Medical GmbH & Co KG (Health Care Equipment & Supplies) | ||
| Cengage Learning, Inc (Digital Learning, Educational Digital Products, etc.) | ||
| CTLTC Real Estate, LLC (Health Care Providers & Services) | ||
| Eddie Bauer Holdings Inc (Specialty Retail) | ||
| Education Management Corp (Education Services) | ||
| Expro (Energy Equipment & Services) | ||
| Fortune Creek Investment Limited | ||
| Quicksilver Resources Inc. (Oil & Gas Producer) | ||
| General Healthcare Group Ltd (Health Care | ||
| Gruppo Argenta SpA (Vending Machines, Food Distributors) | ||
| Gymboree Corp (Specialty Retail) | ||
| Hilding Anders (Home Furnishings) | ||
| iPayment Investors LP (IT Services) | ||
| KKR MacKellar Partners LP (Receivables from investments 1.12.4.18.1 through 1.12.4.18.6) | ||
| Allco Finance Group Ltd (Financial Services) | ||
| Cashmere Capital Limited (Real Estate - Auckland New Zealand) | ||
| Geon Holdings Pty Ltd (Printing & Communications Services) | ||
| Geon Pty Ltd (Printing & Communications Services) | ||
| McColl's Group Holdings Pty Ltd (Trucking Company) | ||
| Pure Logistics SA Pty Ltd (Trucking & Transportation Services) | ||
| Longview Power LLC (Independent Power Producers & Energy Traders) | ||
| Marsico (Capital Markets) | ||
| New Omaha Holdings LP (Data Processing & Outsourced Services) | ||
| Novo Banco, S.A. (Commerical Banks) | ||
| P2 Energy Solutions, Inc. (Software) | ||
| PEAKS (Securitizing of Student Loans) | ||
| QMH Ltd (Hotels, Restaurants & Leisure) | ||
| Selecta Group HoldCo (Food & Staples Retailing) | ||
| SquareTwo Financial Corp (Diversified Financial | ||
| Theatre Hospitals NO 2 PLC (Financing for Health Care Facilities) | ||
| Towergate (Insurance) | ||
| Trade Finance Funding I Ltd (Securitizing of Finance Trade) | ||
| Uralita SA (Building Products) | ||
| Walter Energy Inc (Metals & Mining) | ||
| WINOA SA (Steel) | ||
| Laureate Education, Inc. (Education Services) | $1,001 - $15,000 | |
| Northgate Information Solutions Plc (Human Resources) | None (or less than $1,001) | |
| KKR 2006 Fund (Samson) LP | ||
| Samson Resources (Oil & Gas) | $1,001 - $15,000 | None (or less than $201) |
| KKR Asian Fund II (Income estimates by underlying fund were not available) | $201 - $1,000 | |
| Avendus Capital Private Limited (Financial Services/Wealth Management) | $1,001 - $15,000 | |
| COFCO Meat (Food Production) | $1,001 - $15,000 | |
| Emerald Media (Media/Entertainment) | $1,001 - $15,000 | |
| Gland Pharma (Pharmaceuticals) | $1,001 - $15,000 | |
| Go Jek (Transportation) | $1,001 - $15,000 | |
| Goodpack Limited (Packaging/Transportation) | $1,001 - $15,000 | |
| Joulon Holdings LP. (Oil & Gas) | None (or less than $1,001) | |
| Latitude Financial (Financial Services) | $1,001 - $15,000 | |
| Mandala Energy Ltd. (Oil & Gas) | None (or less than $1,001) | |
| Max Financial Services (Financial Services) | $1,001 - $15,000 | |
| Panasonic Healthcare Co., Ltd. (Healthcare) | $1,001 - $15,000 | |
| Pioneer DJ Co., Ltd. (Entertainment) | $1,001 - $15,000 | |
| Cash | $1,001 - $15,000 | |
| Project Banner (Healthcare) | $1,001 - $15,000 | |
| PT Japfa Comfeed Indonesia Tbk (Food/Beverage/Tobacco) | $1,001 - $15,000 | |
| Qingdao Haier (Consumer Electronics) | $1,001 - $15,000 | |
| SBI Life Insurance (Insurance) | $1,001 - $15,000 | |
| Sundrop Farms Holding Limited (Food) | $1,001 - $15,000 | |
| Sunner Development (Fast Food) | $1,001 - $15,000 | |
| Ticket Monster Inc. (Online Ticket Retail) | $1,001 - $15,000 | |
| Weststar Aviation Services (Helicopter Transportation) | $1,001 - $15,000 | |
| KKR China Growth Fund SBS (Income estimates by underlying fund were not available) | $1,001 - $2,500 | |
| 58 Daojia Inc (Home Care Provider) | $1,001 - $15,000 | |
| Asia Dairy Holdings (Food & Dairy) | $1,001 - $15,000 | |
| Beijing Capital Juda Limited (Real Estate Investments) | $1,001 - $15,000 | |
| China Greenland Rundong (Auto Sales) | $1,001 - $15,000 | |
| China Outfitters Holdings Limited (Retail Apparel & Accessories) | None (or less than $1,001) | |
| Gambol Pet Group (Pet Food) | $1,001 - $15,000 | |
| Project Yoyo (Dairy Farm) | $1,001 - $15,000 | |
| Qingdao Haier (Consumer Electronics) | $1,001 - $15,000 | |
| Shanghai Yiguo (e-commerce Fruits/Vegetables) | $1,001 - $15,000 | |
| Sunner Development (Fast Food) | $1,001 - $15,000 | |
| TarenaInternational,Inc. (IT Technology) | $1,001 - $15,000 | |
| Uxin Limited (Online Car Retailer) | $1,001 - $15,000 | |
| VATS Chain Liquor Store (Beverage) | $1,001 - $15,000 | |
| Wuhan Optics Valley Project (Residential/Office Development) | $1,001 - $15,000 | |
| Yuehai Feed Group Co. Ltd. (Aquatic Feed Products) | $1,001 - $15,000 | |
| KKR Energy Income & Growth Fund I SBS (Income estimates by underlying fund were not available) | None (or less than $201) | |
| Energy Income & Growth Fund (Energy Investment) | $15,001 - $50,000 | |
| Mineral Acquisition Company (Mineral Investing) | ||
| McMullen Eagle Ford Oil (Oil & Gas Development) | ||
| Raptor Petroleum (Oil & Gas Development) | ||
| Atascosa Eagle Ford Oil (Oil & Gas Development) | ||
| Zavala Eagle Ford Oil (Oil & Gas Development) | ||
| Nadel & Gussman (Oil & Gas Development) | ||
| Central Texas Loan (Oil & Gas Development) | ||
| DMA Mineral (Mineral Investments) | ||
| Bakken Oil (Oil & Gas Development) | ||
| Vine Joint Venture (Oil & Gas Development) | ||
| Eaglebine Oil (Oil & Gas Development) | ||
| Webb Eagle Ford Gas (Oil & Gas Development) | ||
| Haymaker Resources (Oil & Gas Development) | ||
| Eagle Ford Oil & Gas (Oil & Gas Development) | ||
| Cash | $1,001 - $15,000 | |
| KKR Health Care Strategic Growth (Income estimates by underlying fund were not available) | None (or less than $201) | |
| Cereve, Inc. (Specialty Health Services) | $1,001 - $15,000 | |
| Slayback Pharmaceuticals (Pharmaceuticals) | $1,001 - $15,000 | |
| KKR Next Generation Technology (Income estimates by underlying fund were not available) | None (or less than $201) | |
| Darktrace Limited (Cyber Security) | $1,001 - $15,000 | |
| Get Your Guide (Tourism) | $1,001 - $15,000 | |
| Jitterbit, Inc. (Integration Solutions) | $1,001 - $15,000 | |
| Optimal+ (Integration Solutions) | $1,001 - $15,000 | |
| Cash | $1,001 - $15,000 | |
| KKR North America Fund XI SBS LP (Income estimates by underlying fund were not available) | $15,001 - $50,000 | |
| Air Medical Group Holdings, Inc. (Medical Services for Aviation) | $1,001 - $15,000 | |
| Alliant Insurance Services (Insurance) | $1,001 - $15,000 | |
| Arbor Pharmaceuticals, Inc. (Pharmaceuticals) | $1,001 - $15,000 | |
| BrightView (fka Brickman Group) (Landscaping/Snow Services) | $1,001 - $15,000 | |
| Calabria, Inc. (Supermarkets) | $1,001 - $15,000 | |
| Cardenas Markets, Inc. (Supermarkets) | $1,001 - $15,000 | |
| Channel Control Merchants (Secondary Market Inventories Retailer) | $1,001 - $15,000 | |
| CHI Overhead Doors, Inc. (Residential Fixtures) | $1,001 - $15,000 | |
| Crosby and Acco Material Handling Solutions (Oil & Gas Equipment) | $1,001 - $15,000 | |
| Epicor Software Corporation (Enterprise Resource Planning) | $1,001 - $15,000 | |
| Gardner Denver, Inc. (Mining Equipment) | $1,001 - $15,000 | |
| Internet Brands, Inc. (Media/Data Solutions) | $1,001 - $15,000 | |
| Mills Fleet Farm (Outdoor Merchandise Retail) | $1,001 - $15,000 | |
| Mitchell International (Software for Insurance) | $1,001 - $15,000 | |
| National Vision, Inc. (Optometry) | $1,001 - $15,000 | |
| Cash | $1,001 - $15,000 | |
| PRA Health Sciences (Health Services) | $1,001 - $15,000 | |
| Privilege Underwriters, Inc. (Insurance) | $1,001 - $15,000 | |
| Resource Environmental Solutions, LLC (Land Preservation/Ecological Solutions) | $1,001 - $15,000 | |
| Savant Systems (Home Automation Technologies) | None (or less than $1,001) | |
| Sedgwick Claims Management Services (Insurance) | $1,001 - $15,000 | |
| Torq Energy Logistics (Oil Transportation) | None (or less than $1,001) | |
| Ultimate Fighting Championship (Entertainment) | $1,001 - $15,000 | |
| Westbrick Energy Ltd. (Oil & Gas Production) | $1,001 - $15,000 | |
| KKR Real Estate Partners Americas SBS LP (Income estimates by underlying fund were not available) | $5,001 - $15,000 | |
| Birch 2 (Multifamily Units - Houston, Texas) | $1,001 - $15,000 | |
| Broadway Mall (Retail Mall - Hicksville, NY) | $1,001 - $15,000 | |
| Castel Portfolio (Retail Shops - Paris, France) | $1,001 - $15,000 | |
| Cloud Portfolio (Technical & Office Assets - France | $1,001 - $15,000 | |
| Colonie Center (Retail Shops - Albany, NY) | $1,001 - $15,000 | |
| Crossbeam (Multifamily Properties - Bethesda, Maryland) | None (or less than $1,001) | |
| Del Monte Center (Office Building - Pittsburgh, PA) | $1,001 - $15,000 | |
| Cash | None (or less than $1,001) | |
| Doubletree Houston Galleria (Hotel - Houston, Texas) | None (or less than $1,001) | |
| Harvest Hills (Multifamily/Residential Units - Williston, North Dakota) | None (or less than $1,001) | |
| Junction 9 (Retail Shops - Birmingham, UK) | $1,001 - $15,000 | |
| Legends (Retail Shops - Kansas City, Kansas) | None (or less than $1,001) | |
| Leon Site (Land - Midland, Texas) | None (or less than $1,001) | |
| Pelican Bay (Residential - Naples, Florida) | $1,001 - $15,000 | |
| Cash | $1,001 - $15,000 | |
| Radisson Blu Minneapolis (Hotel - Minneapolis, Minnesota) | $1,001 - $15,000 | |
| Radisson Blu Philadelphia (Hotel - Philadelphia, Pennsylvania) | $1,001 - $15,000 | |
| River Plaza (Office Building - Chicago, Illinois) | $1,001 - $15,000 | |
| Sentio Healthcare Properties (Senior Living Properties - Various US Cities) | $1,001 - $15,000 | |
| Sullivan Center (Office Building - Chicago, Illinois) | $1,001 - $15,000 | |
| Tuscany (Retail Assets - Glasgow & Sunderland, UK) | $1,001 - $15,000 | |
| Waikiki Trade Center (Hotel - Waikiki, Hawaii) | $1,001 - $15,000 | |
| Wauseon Bay (Independent Living Community - Stuart, Florida) | $1,001 - $15,000 | |
| Yorktown Center (Retail - Lombard, Illinois) | $1,001 - $15,000 | |
| KKR Special Situations (Domestic) Feeder I LP (Values for underlying assets not available) | $15,001 - $50,000 | $1,001 - $2,500 |
| Cortland Investors S.a.r.l | ||
| Grupo Alfonso Gallardo SL - Cement/Paper (Building Products) | ||
| Grupo Alfonso Gallardo SL Steel (Steel) | ||
| Gruppo Argenta SpA (Vending Machines, Food Distributors) | ||
| Hertha Berlin BSC (German Football Club) | ||
| Hilding Anders (Home Furnishings) | ||
| Proserv Acquisition LLC (Oil & Gas Equipment & Services) | ||
| Team Tankers International Ltd (Chemical Tankers) | ||
| Uralita SA (Building Products) | ||
| WINOA SA (Steel) | ||
| Fillmore Investors Limited | ||
| Longview Power LLC (Independent Power Producers & Energy Traders) | ||
| Powell Investors L.P. | ||
| Bay Aggregator Limited | ||
| China Huarong Asset Management Co Ltd (Asset Management) | ||
| Cengage Learning, Inc (Digital Learning, Educational Digital Products, etc.) | ||
| Echo Holdings L.P. | ||
| Ambac Assurance Corp (Insurance) | ||
| Cumulus Media Inc (Media) | ||
| Euramax Holdings Inc (Building Products) | ||
| Greatwide Logistics Services (Freight Transporting and Logistics) | ||
| Johnny Appleseed's Inc (Apparel, Accessories & Luxury Goods) | ||
| Mesa Air Group Inc (Airlines) | ||
| Metro-Goldwyn-Mayer Inc (Hotels, Restaurants & Leisure) | ||
| Five Point Holdings (Real Estate Development) (Per KKR, Five Points develops residential, commercial, and industrial properties in California.) | ||
| PMI Group Inc (Thrifts & Mortgage Finance) | ||
| Reader's Digest Association Inc/The (Publishing) | ||
| Verso Corp (Paper & Forest Products) | ||
| Awal Bank BSC (Regional Banks) | ||
| Cattles Ltd (Consumer Finance) | ||
| Lehman Brothers Holdings Inc (Capital Markets) | ||
| MF Global Finance (Consumer Finance) | ||
| Orion Cable GmbH (Cable & Satellite) | ||
| Aventas Group Ltd (Industrial Conglomerates) | ||
| Lehman Brothers Holdings Capital Trust V (Investment banking Brokerage) | ||
| Lehman Brothers Holdings Capital Trust VII (Investment banking Brokerage) | ||
| Lehman Brothers Holdings E-Capital Trust I (Investment banking Brokerage) | ||
| Lehman Brothers Treasury Co BV (Investment Banking and Brokerage) | ||
| Lehman Brothers UK Capital Funding III LP (Investment Banking and Brokerage) | ||
| Lehman Brothers UK Capital Funding IV LP (Investment Banking and Brokerage) | ||
| Lehman Brothers UK Capital Funding LP (Investment Banking and Brokerage) | ||
| Ownit Mortgage Trust 2006-OT1 (Specialized Finance) | ||
| Belvedere SA (Beverages) | ||
| Catalyst Paper Corp (Paper & Forest Products) | ||
| Cengage Learning, Inc (Digital Learning, Educational Digital Products, etc.) | ||
| Postmedia Network Inc (Media) | ||
| Select Staffing (Professional Services) | ||
| Crescent Communities LLC (Real Estate Development) (Development of single family, multifamily, and commercial communities in AZ, TX, VA, NC, SC, GA, FL and TN.) | ||
| Crescent Investments, LLC (Asset Management and Custody Banks) | ||
| Embarcadero Maritime II LLC (Fleet of Containerships and Dry and Liquid Cargo Vessels) | ||
| Embarcadero Maritime LLC (Fleet of Containerships and Liquid Cargo Vessels) | ||
| Findex Australia Pty Ltd (Asset Management & Custody Banks) | ||
| Longview Power LLC (Independent Power Producers & Energy Traders) | ||
| Expro (Oil & Gas Equpment & Services) | ||
| Preferred Proppants LLC (Oil & Gas Equipment & Services) | ||
| Selecta Group HoldCo (Food Retail) | ||
| Tiga Pilar Sejahtera Food Tbk (Food Distributors) | ||
| Walter Energy Inc (Diversified Metals & Mining) | ||
| Spruce Investors Limited | ||
| Algeco Scotsman Global Sarl (Homebuilding) | ||
| Amedisys Inc (Healthcare Facilities) | ||
| Arch Coal Inc (Coal & Consumable Fuels) | ||
| Chembulk Group (Marine Tankers) | ||
| Education Management Corp (Education Services) | ||
| Findex Australia Pty Ltd (Asset Management & Custody Banks) | ||
| Hilding Anders (Home Furnishings) | ||
| iPayment Investors LP (Data Processing & Outsourced Services) | ||
| KKR Jupiter Aggregator LP (Manufacturer of Polyester Products) | ||
| Longview Power LLC (Independent Power Producers & Energy Traders) | ||
| Millennium Health LLC (Health Care Services) | ||
| Novo Banco, S.A. (Diversified Banks) | ||
| Oro Negro Drilling Pte Ltd (Oil & Gas Drilling) | ||
| Selecta Group HoldCo (Food Retail) | ||
| SunEdison Inc (Global Renewable Energy) | ||
| Telepizza SAU (Restaurants) | ||
| Tiga Pilar Sejahtera Food Tbk (Food Distributors) | ||
| Trophy Investors I Ltd. (Food Distributors) | ||
| Tiga Pilar Sejahtera Food Tbk (Food Distributors) | ||
| Weight Watchers International Inc (Specialized Consumer Services) | ||
| WINOA SA (Steel) | ||
| EUR foreign currency exchange forward contracts (open/closed positions) with the following counterparties: Deutsche Bank, Goldman Sachs, Morgan Stanley, and Wells Fargo | ||
| AUD foreign currency exchange forward contracts (open/closed positions) with the following counterparties: Goldman Sachs, Morgan Stanley, and Wells Fargo | ||
| CNH foreign currency exchange forward contracts (open/closed positions) with the following counterparties: Goldman Sachs, and Wells Fargo | ||
| IDR foreign currency exchange option contracts (open/closed positions) with the following counterparty: Goldman Sachs | ||
| INR foreign currency exchange option contracts (open/closed positions) with the following counterparty: Deutsche Bank | ||
| CNH foreign currency exchange option contracts (open/closed positions) with the following counterparty: Wells Fargo and Goldman Sachs | ||
| KKR Special Situations (Domestic) Feeder II LP (Values for underlying assets not available) | $15,001 - $50,000 | $201 - $1,000 |
| Cortland Investors S.a.r.l | ||
| Abengoa SA (Construction & Engineering) | ||
| Alvogen Pharma US Inc (Pharmaceuticals) | ||
| BARTEC Top Holding GmbH (Oil & Gas Equpiment & Services) | ||
| Jack Wolfskin GmbH & Co KG (Apparel, Accessories & Luxury Goods) | ||
| KKR Dublin Property Investments SARL (LuxCo) (Residential Real Estate Developer Financing - Dublin, Ireland) | ||
| Proserv Acquisition LLC (Oil & Gas Equpment & Services) | ||
| Prosil Acquisition SA (Oil & Gas Equpment & Services) | ||
| Team Tankers International Ltd (Chemical Tankers) | ||
| Powell Investors L.P. | ||
| Cengage Learning, Inc (Digital Learning, Educational Digital Products, etc.) | ||
| Embarcadero Maritime III LLC (Fleet of Containerships and Dry Cargo Vessels) | ||
| JC Penney Corp Inc (Department Stores) | ||
| Longview Power LLC (Independent Power Producers & Energy Traders) | ||
| Quorum Health Corp (Health Care Facilities) | ||
| Telepizza SAU (Restaurants) | ||
| Walter Energy Inc (Diversified Metals & Mining) | ||
| Spruce Investors Limited | ||
| Abengoa SA (Construction & Engineering) | ||
| Arch Coal Inc (Coal & Consumable Fuels) | ||
| Chembulk Group (Marine Tankers) | ||
| CHS/Community Health Systems, Inc. (Health Care Facilities) | ||
| Gibson Brands Inc. (Music Instruments) | ||
| KAG Europe SCS | ||
| Pillarstone Europe LLP (Asset Manager) | ||
| KAG Holdco Limited | ||
| Pillarstone Europe LLP (Asset Manager) | ||
| KKR EnerGas Aggregator L.P. (Electric Utilities) | ||
| KKR Jupiter Aggregator LP (Manufacturer of Polyester Products) | ||
| Longview Power LLC (Independent Power Producers & Energy Traders) | ||
| Millennium Health LLC (Health Care Services) | ||
| Nesco (Kitchen Appliances) | ||
| Nine West Holdings (Apparel, Accessories & Luxury Goods) | ||
| Novo Banco, S.A. (Diversified Banks) | ||
| Oro Negro Drilling Pte Ltd (Oil & Gas Drilling) | ||
| OVH GROUPE (Technology Hardware, Storage & Peripherals) | ||
| Quorum Health Corp (Health Care Facilities) | ||
| Savers Inc (Specialty Stores) | ||
| SunEdison Inc (Global Renewable Energy) | ||
| Telepizza SAU (Restaurants) | ||
| Valeant Pharmaceuticals International Inc (Pharmaceuticals) | ||
| Walter Energy Inc (Diversified Metals & Mining) | ||
| Weight Watchers International Inc (Specialized Consumer Services) | ||
| EUR foreign currency exchange forward contracts (open/closed positions) with the following counterparties: Bank of America, Barclays, Goldman Sachs, JPMorgan, Morgan Stanley, and Wells Fargo | ||
| AUD foreign currency exchange forward contracts (open/closed positions) with the following counterparty: JPMorgan | ||
| CNY foreign currency exchange option contracts (open/closed positions) with the following counterparties: Goldman Sachs and Wells Fargo. | ||
| INR foreign currency exchange option contracts (open/closed positions) with the following counterparty: Deutsche Bank | ||
| Fiddler On the Roof (Produced musical) | $1,001 - $15,000 | None (or less than $201) |
| GTI Capital Group Limited (Values for underlying assets not available) | $50,001 - $100,000 | None (or less than $201) |
| Future Supply Chain Solutions Limited (Logistics) | ||
| Sandhar Technologies Limited (Auto Component Supplier) | ||
| Air Works India (Engineering) Pvt Ltd (Aviation Service Providers) | ||
| National Stock Exchange of India (Stock Exchange) | ||
| SAMHI Hotels Private Limited (Hotel Assets) | ||
| Webklipper Technologies Private Limited (Business Software) | ||
| Lalista II, LLC | ||
| LaLista, LP (See LaLista) (LaLista II, LLC has a .3016% interest in LaLista, LP. Therefore, all holdings will be .664% of the amount disclosed under Lew lines 1.1 through 1.24.) | $1,001 - $15,000 | None (or less than $201) |
| Ironhill Investments, LLC | ||
| Neuberger Berman MLP Income Fund (Investment Management) | $500,001 - $1,000,000 | $50,001 - $100,000 |
| PUT SPX / S & P 500 Index (Investment) | $250,001 - $500,000 | None (or less than $201) |
| Celgene Corp (Pharmaceuticals) | $250,001 - $500,000 | None (or less than $201) |
| Airgain Inc (Wireless Networks) | $100,001 - $250,000 | None (or less than $201) |
| US Checking Account Cash | $15,001 - $50,000 | None (or less than $201) |
| NJRE I, LLC | ||
| US Checking Account Cash | $1,001 - $15,000 | None (or less than $201) |
| Rental Property - Residential (Fairhaven, NJ) | $1,000,001 - $5,000,000 | None (or less than $201) |
| US Checking Account Cash | $500,001 - $1,000,000 | None (or less than $201) |
| JAE Financial Trust (Judith has a mandatory income right) | ||
| Goldman Sachs Brokerage | ||
| Apple Inc. - Common Stock (Technologies) | $100,001 - $250,000 | $2,501 - $5,000 |
| International Business Machines Corp (Information Technologies) | $100,001 - $250,000 | $5,001 - $15,000 |
| Vanguard Growth ETF (Mutual Fund) | $100,001 - $250,000 | $1,001 - $2,500 |
| Vanguard Value ETF (Mutual Fund) | $100,001 - $250,000 | $2,501 - $5,000 |
| US Investment Account Cash | $50,001 - $100,000 | $201 - $1,000 |
| Goldman Sachs Brokerage | ||
| US Investment Account Cash | $500,001 - $1,000,000 | $2,501 - $5,000 |
| Agenus Inc. - Common Stock (Health Services) | None (or less than $1,001) | None (or less than $201) |
| Airgain (Wireless Networks) | $250,001 - $500,000 | None (or less than $201) |
| Inspirit Group LLC (DBA Stopit) (Software/App) | $100,001 - $250,000 | None (or less than $201) |
| Sycamore Venture Capital LP (Values for underlying assets not available) | $100,001 - $250,000 | $5,001 - $15,000 |
| Apexigen, Inc (Pharmaceuticals) | ||
| Exclaim, Inc (Marketing/Creative Services) | ||
| Gogo, Inc (Entertainment For Aviation) | ||
| American Baseball Ventures LLC (Values for underlying assets not available) | $250,001 - $500,000 | None (or less than $201) |
| Lakewood BlueClaws (Minor League Baseball Team) | ||
| Cash Holding | ||
| Indiastar Fund LP (Values for underlying assets not available) | $100,001 - $250,000 | $1,001 - $2,500 |
| Global Offshore Services (Oil & Gas Transportation) | ||
| IOL Chemicals & Pharmaceuticals (Pharmaceuticals) | ||
| Surana Industries (Steel) | ||
| VNR Infrastructures (Infrastructure Development) | ||
| VNR Powertech (Infrastructure Development) | ||
| PT Kalimantan Pacific Coal (Energy) | ||
| ISB Investors LLC (Values for underlying assets not available) | $1,000,001 - $5,000,000 | $50,001 - $100,000 |
| Office Building (Little Rock, AR) (Real Estate) | ||
| Office Building (Little Rock, AR) (Real Estate) | ||
| Office Building (Little Rock, AR) (Real Estate) | ||
| Office Building (Little Rock, AR) (Real Estate) | ||
| Office Building (Little Rock, AR) (Real Estate) | ||
| Office Building (Little Rock, AR) (Real Estate) | ||
| Office Building (Little Rock, AR) (Real Estate) | ||
| Cash Holding | ||
| ISB Westlake LLC (Values for underlying assets not available) | $15,001 - $50,000 | None (or less than $201) |
| Office Building (Little Rock, AR) (Real Estate) | ||
| Office Building (Little Rock, AR) (Real Estate) | ||
| Cash | ||
| KKR Partners III LP (Income estimates by underlying fund were not available, see 17 for estimate) | ||
| Toys R Us (Retail) | $15,001 - $50,000 | |
| US Foods (Food) | $100,001 - $250,000 | |
| KKR III GP LLC (Income estimates by underlying fund were not available, see 17 for estimate) | ||
| TASC, Inc/Engility Holdings, Inc. (Private Defense) | $15,001 - $50,000 | |
| KKR Partners II LLP (Income estimates by underlying fund were not available, see 17 for estimate) | ||
| Dalmia Cement (Cement Manufacturing) | $15,001 - $50,000 | |
| First Data Corporation (Banking Security) | $250,001 - $500,000 | |
| HCA, Inc. (Health Care Facilities) | $50,001 - $100,000 | |
| Laureate Education, Inc. (Education Services) | $50,001 - $100,000 | |
| Magma Fincorp Limited (Non-Banking Financial) | $15,001 - $50,000 | |
| Maritime Finance Company (Financing to Maritime Industry) | $100,001 - $250,000 | |
| Oriental Brewery (Beverage) | $1,001 - $15,000 | |
| Weld North | $15,001 - $50,000 | |
| Advancement Courses (Education) | ||
| Edgenuity (Education) | ||
| Generation Ready (Education) | ||
| Imagine Learning (Education) | ||
| Intellify Learning (Education) | ||
| Performance Matters (Educatuion) | ||
| Learning House (Education) | ||
| KKR Partners II (International) LP (Includes income estimates for 14 through 16 as well. KKR was unable to provide a breakdown by each fund) | $100,001 - $1,000,000 | |
| Accelerated Oil Technologies IL.P. (Oil Production) | $1,001 - $15,000 | |
| Ambea AB (Health/Social Care Services) | $15,001 - $50,000 | |
| Aricent Group (SemiConductor Products) | $1,001 - $15,000 | |
| Coffee Day Resorts Private Limited (Consumer Services) | $15,001 - $50,000 | |
| Pets At Home Limited (Retail - Pet Supplies) | $15,001 - $50,000 | |
| TVS Logistics Services Limited (Logistics/Warehousing Solutions) | $15,001 - $50,000 | |
| Visma AS (Business Software Provider) | $15,001 - $50,000 | |
| KKR Holdings LP (KKR Holdings is a limited partnership that invests in the consolidated operations of Kohlberg Kravis Roberts & Co.’s capital markets and asset management business. KKR ‘s proprietary balance sheet includes limited partnership interests in KKR Associates Holdings as well as direct interest in KKR sponsored investments in assets across its various business lines. Assets of KKR Holdings LP exactly mirror the publicly held KKR and Co. LP. Please refer to the Kohlberg Kravis & Roberts 2016 10-K for further detail.) | $5,000,001 - $25,000,000 | $100,001 - $1,000,000 |
| KKR China Growth Fund SBS (Income estimates by underlying fund were not available) | $5,001 - $15,000 | |
| 58 Daojia Inc (Home Care) | $1,001 - $15,000 | |
| Asia Dairy Holdings (Food & Dairy) | $15,001 - $50,000 | |
| China Greenland Rundong (Auto Sales) | $15,001 - $50,000 | |
| China Outfitters Holdings Limited (Apparel & Accessories) | $1,001 - $15,000 | |
| Gambol Pet Group (Pet Food) | $1,001 - $15,000 | |
| Project Yoyo (Dairy Farm) | $1,001 - $15,000 | |
| Qingdao Haier (Retail - Household Appliances) | $15,001 - $50,000 | |
| Shanghai Yiguo (e-commerce Fruits & Vegetables) | $1,001 - $15,000 | |
| Sunner Development (Fast Food) | $15,001 - $50,000 | |
| Tarena International, Inc. (IT Technology) | $15,001 - $50,000 | |
| Uxin Limited (Online Car Retailer) | $1,001 - $15,000 | |
| VATS Chain Liquor Store (Beverage) | $15,001 - $50,000 | |
| Wuhan Optics Valley Project (Residential/Office Development) | $1,001 - $15,000 | |
| Yuehai Feed Group Co. Ltd. (Aquatic Feed Products) | $15,001 - $50,000 | |
| Beijing Capital Juda Limited (Real Estate Investments) | $15,001 - $50,000 | |
| KKR Credit Relative Value Private Investors LP (Values for underlying assets not available) | $100,001 - $250,000 | None (or less than $201) |
| Algeco Scotsman Global Sarl (Home Building) | ||
| Bay Aggregator Limited | ||
| China Huarong Asset Management Co Ltd (Asset Management) | ||
| Echo Holdings L.P. | ||
| Ambac Assurance Corp (Insurance) | ||
| Cumulus Media Inc (Media) | ||
| Euramax Holdings Inc (Building Products) | ||
| Greatwide Logistics Services (Freight Transporting and Logistics) | ||
| Johnny Appleseed's Inc (Apparel, Accessories & Luxury Goods) | ||
| Mesa Air Group Inc (Airlines) | ||
| Metro-Goldwyn-Mayer Inc (Hotels, Restaurants & Leisure) | ||
| Newhall Holding Company, LLC (Real Estate Development) | ||
| PMI Group Inc (Thrifts & Mortgage Finance) | ||
| Reader's Digest Association Inc/The (Publishing) | ||
| Verso Corp (Paper & Forest Products) | ||
| Awal Bank BSC (Regional Banks) | ||
| Cattles Ltd (Consumer Finance) | ||
| Lehman Brothers Holdings Inc (Capital Markets) | ||
| MF Global Finance (Consumer Finance) | ||
| Orion Cable GmbH (Cable & Satellite) | ||
| Aventas Group Ltd (Industrial Conglomerates) | ||
| Lehman Brothers Holdings Capital Trust V (Investment banking Brokerage) | ||
| Lehman Brothers Holdings Capital Trust VII (Investment banking Brokerage) | ||
| Lehman Brothers Holdings E-Capital Trust I (Investment banking Brokerage) | ||
| Lehman Brothers Treasury Co BV (Investment Banking and Brokerage) | ||
| Lehman Brothers UK Capital Funding III LP (Investment Banking and Brokerage) | ||
| Lehman Brothers UK Capital Funding IV LP (Investment Banking and Brokerage) | ||
| Lehman Brothers UK Capital Funding LP (Investment Banking and Brokerage) | ||
| Ownit Mortgage Trust 2006-OT1 (Specialized Finance) | ||
| Belvedere SA (Beverages) | ||
| Catalyst Paper Corp (Paper & Forest Products) | ||
| Cengage Learning, Inc (Digital Learning, Educational Digital Products, etc.) | ||
| Postmedia Network Inc (Media) | ||
| Select Staffing (Professional Services) | ||
| Crescent Communities LLC (Real Estate Development) | ||
| Crescent Investments, LLC (Asset Management and Custody Banks) | ||
| Education Management Corp (Education Services) | ||
| Hilding Anders (Home Furnishings) | ||
| iPayment Investors LP (Data Processing & Outsourced Services) | ||
| Longview Power LLC (Independent Power Producers & Energy Traders) | ||
| SquareTwo Financial Corp (Financial Services) | ||
| Towergate (Insurance) | ||
| WINOA SA (Steel) | ||
| EUR foreign currency exchange forward contracts (open/closed positions) with the following counterparties: JP Morgan | ||
| GPB foreign currency exchange forward contracts (open/closed positions) with the following counterparty: JP Morgan | ||
| KKR Energy Income & Growth Fund I SBS LP (Income estimates by underlying fund were not available) | $201 - $1,000 | |
| Energy Income and Growth Fund | $15,001 - $50,000 | |
| Mineral Acquisition Company (Mineral Investments) | ||
| McMullen Eagle Ford Oil (Oil & Gas Development) | ||
| Raptor Petroleum (Oil & Gas Development) | ||
| Atascosa Eagle Ford Oil (Oil & Gas Development) | ||
| Zavala Eagle Ford Oil (Oil & Gas Development) | ||
| Nadel & Gussman (Oil & Gas Development) | ||
| Central Texas Loan (Oil & Gas Development) | ||
| DMA Mineral (Mineral Investments) | ||
| Bakken Oil (Oil & Gas Development) | ||
| Vine Joint Venture (Oil & Gas Development) | ||
| Eaglebine Oil (Oil & Gas Development) | ||
| Webb Eagle Ford Gas (Oil & Gas Development) | ||
| Haymaker Resources (Oil & Gas Development) | ||
| Eagle Ford Oil & Gas (Oil & Gas Development) | ||
| Cash | $1,001 - $15,000 | |
| KKR Global Infrastructure Investors SBS LP (Income estimates by underlying fund were not available) | $15,001 - $50,000 | |
| A2A Coriance S.A.S. (Energy Production) | None (or less than $1,001) | |
| Acciona Energia Internacional, S.A. (Renewable Energy) | $1,001 - $15,000 | |
| Associated Partners (Wireless Telecom) | $1,001 - $15,000 | |
| Bayonne Water Joint Venture LLC (Water/Sewage) | $1,001 - $15,000 | |
| ELL Group (European Locomotive Leasing) | $1,001 - $15,000 | |
| Middletown Water Joint Venture LLC (Water/Sewage) | $1,001 - $15,000 | |
| Renvico France (fka Sorgenia) (Renewable Energy) | $1,001 - $15,000 | |
| Saba Infraestructuras, S.A. (Business Logistics) | $1,001 - $15,000 | |
| South Staffordshire Plc (Water Services/Utility) | $1,001 - $15,000 | |
| SSM Solar (Renewable Energy) | None (or less than $1,001) | |
| SunTap Energy RE LLC (Renewable Energy) | $1,001 - $15,000 | |
| SunTap II (Pearl) (Renewable Energy) | $1,001 - $15,000 | |
| T-Solar (Renewable Energy) | $1,001 - $15,000 | |
| KKR Lending Partners Europe (USD) Feeder LP (Values for underlying assets not available) | $50,001 - $100,000 | None (or less than $201) |
| Amtek Global Technology Pte Ltd (Auto Parts & Equipment) | ||
| Cabovisao-Televisao Por Cabo SA (Telecommunications Operator) | ||
| Casual Dining Group Ltd (Restaurants) | ||
| Corialis Group (Construction Materials) | ||
| Dentix (Health Care Services) | ||
| Exterion Media UK Ltd (Advertising) | ||
| Farrow & Ball Ltd (Home Furnishings) | ||
| Kurt Geiger Ltd (Footwear) | ||
| Mater Private Healthcare Group (Health Care Services) | ||
| Petainer PLC (Metal & Glass Containers) | ||
| Roompot Holding BV (Leisure Facilities) | ||
| Sarquavitae Servicios A LA Dependencia SL (Managed Health Care) | ||
| Valeo Foods Group Ltd (Packaged Foods & Meats) | ||
| Vistra Group Ltd (Specialized Finance) | ||
| KKR Lending Partners Feeder LP (Values for underlying assets not available) | $500,001 - $1,000,000 | $100,001 - $1,000,000 |
| American Freight, Inc. (Furniture Retailer) | ||
| Amtek Global Technology Pte Ltd (Auto Components) | ||
| Backoffice Associates LLC (IT Services) | ||
| BeyondTrust Software Inc (Software) | ||
| Dutch LLC (Textiles, Apparel & Luxury Goods) | ||
| Education Management Corp (Education Services) | ||
| Greystone & Co Inc (Diversified Financial Services) | ||
| Jacuzzi Brands Inc (Building Products) | ||
| KeyPoint Government Solutions Inc (Aerospace & Defense) | ||
| Louisiana Public Facilities Authority (Bonds for Wood Pellet Manufacturing) | ||
| Marshall Retail Group LLC (Specialty Retail) | ||
| MAST Industries Inc (Textiles, Apparel & Luxury Goods) | ||
| MCS AMS Sub-Holdings LLC (Diversified Financial Services) | ||
| OAG Holdings LLC (Oil, Gas & Consumable Fuels) | ||
| Pacific Union Financial LLC (Consumer Finance) | ||
| Petroplex Acidizing Inc (Energy Equipment & Services) | ||
| Sportsman's Warehouse Inc (Sporting Goods) | ||
| Things Remembered Inc (Personalized Gift Retail) | ||
| Waste Pro USA Inc (Waste Collection) | ||
| Willbros Group Inc (Energy Equipment & Services) | ||
| Z Gallerie LLC (Interior Design Retail) | ||
| KKR Mezzanine Partners I Feeder LP (Values for underlying assets not available) | $100,001 - $250,000 | $15,001 - $50,000 |
| Algeco Scotsman Global Sarl (Homebuilding) | ||
| BSN Medical GmbH & Co KG (Health Care Supplies) | ||
| Excelitas Technologies Corp (Electronic Equpment & Instruments) | ||
| Genesys Telecommunications Laboratories Inc (Communications Equipment) | ||
| Gruppo Argenta SpA (Vending Machines, Food Distributors) | ||
| Hilding Anders (Home Furnishings) | ||
| Nine West Holdings (FKA Jones Group Inc) (Apparel, Accessories & Luxury Goods) | ||
| Keystone Australia Holdings Pty Limited (Restaurants) | ||
| Mast Industries Inc (Apparel, Accessories & Luxury Goods) | ||
| OpenLink Financial Inc (Application Software) | ||
| Orchard Marine Limited (Ship owner and operator) | ||
| Selecta Group HoldCo (Food Retail) | ||
| TIBCO Software Inc (Application Software) | ||
| Uralita SA (Building Products) | ||
| WorldPay Ltd (Data Processing & Outsourced Service) | ||
| KKR Natural Resources SBS QP LP (Income estimates by underlying fund were not available) | None (or less than $201) | |
| KKR Natural Resource Holdings LP | $250,001 - $500,000 | |
| West Texas Oil and Mississippi Gas (Oil & Gas Development) | None (or less than $201) | |
| Wyoming CO2 Flood Assets (Oil & Gas Development) | ||
| KKR Natural Resource Trinity Holdings LLC | $15,001 - $50,000 | |
| Trinity River Energy Co. (Drilling) | ||
| KKR Special Situations (Domestic) Feeder II LP | $50,001 - $100,000 | $1,001 - $2,500 |
| Cortland Investors S.a.r.l | ||
| Abengoa SA (Construction & Engineering) | ||
| Alvogen Pharma US Inc (Pharmaceuticals) | ||
| BARTEC Top Holding GmbH (Oil & Gas Equipment & Services) | ||
| Jack Wolfskin GmbH & Co KG (Apparel, Accessories & Luxury Goods) | ||
| KKR Dublin Property Investments SARL (LuxCo) (Residential Real Estate Developer Financing - Dublin, Ireland) | ||
| Proserv Acquisition LLC (Oil & Gas Equipment & Services) | ||
| Prosil Acquisition SA (Oil & Gas Equipment & Services) | ||
| Team Tankers International Ltd (Chemical Tankers) | ||
| Powell Investors L.P. | ||
| Cengage Learning, Inc (Digital Learning, Educational Digital Products, etc.) | ||
| Embarcadero Maritime III LLC (Fleet of Containerships and Dry Cargo Vessels) | ||
| JC Penney Corp Inc (Department Stores) | ||
| Longview Power LLC (Independent Power Producers & Energy Traders) | ||
| Quorum Health Corp (Health Care Facilities) | ||
| Telepizza SAU (Restaurants) | ||
| Walter Energy Inc (Diversified Metals & Mining) | ||
| Spruce Investors Limited | ||
| Abengoa SA (Construction & Engineering) | ||
| Arch Coal Inc (Coal & Consumable Fuels) | ||
| Chembulk Group (Marine Tankers) | ||
| CHS/Community Health Systems, Inc. (Health Care Facilities) | ||
| Expro (Oil & Gas Equipment & Services) | ||
| Gibson Brands Inc. (Music Instruments) | ||
| KAG Europe SCS | ||
| Pillarstone Europe LLP (Asset Manager) | ||
| KAG Holdco Limited | ||
| Pillarstone Europe LLP (Asset Manager) | ||
| KKR EnerGas Aggregator L.P. (Electric Utilities) | ||
| KKR Jupiter Aggregator LP (Manufacturer of Polyester Products) | ||
| Longview Power LLC (Independent Power Producers & Energy Traders) | ||
| Millennium Health LLC (Health Care Services) | ||
| Nesco (Kitchen Appliances) | ||
| Nine West Holdings (Apparel, Accessories & Luxury Goods) | ||
| Novo Banco, S.A. (Diversified Banks) | ||
| Oro Negro Drilling Pte Ltd (Oil & Gas Drilling) | ||
| OVH GROUPE (Technology Hardware, Storage & Peripherals) | ||
| Quorum Health Corp (Health Care Facilities) | ||
| Savers Inc (Specialty Stores) | ||
| SunEdison Inc (Global Renewable Energy) | ||
| Telepizza SAU (Restaurants) | ||
| Valeant Pharmaceuticals International Inc (Pharmaceuticals) | ||
| Walter Energy Inc (Diversified Metals & Mining) | ||
| Weight Watchers International Inc (Specialized Consumer Services) | ||
| EUR foreign currency exchange forward contracts (open/closed positions) with the following counterparties: Bank of America, Barclays, Goldman Sachs, JPMorgan, Morgan Stanley, and Wells Fargo | ||
| AUD foreign currency exchange forward contracts (open/closed positions) with the following counterparty: JPMorgan | ||
| CNY foreign currency exchange option contracts (open/closed positions) with the following counterparties: Goldman Sachs and Wells Fargo. | ||
| INR foreign currency exchange option contracts (open/closed positions) with the following counterparty: Deutsche Bank | ||
| Paramax Productions Inc. (Per the fund, Paramax does not have any holdings currently) | $1,001 - $15,000 | None (or less than $201) |
| Blueprint Ventures I Liquidating Trust (Values for underlying assets not available) | $1,001 - $15,000 | $201 - $1,000 |
| Mojo Networks (WiFi Provider) | ||
| WiSpry (Network Provider) | ||
| GTI Capital Group Limited (Values for underlying assets not available) | $100,001 - $250,000 | None (or less than $201) |
| Future Supply Chain Solutions Limited (Logistics) | ||
| Sandhar Technologies Limited (Auto Component Suppliers) | ||
| Air Works India (Engineering) Pvt Ltd (Aviation Services) | ||
| National Stock Exchange of India (Stock Exchange) | ||
| SAMHI Hotels Private Limited (Hotel Assets) | ||
| Webklipper Technologies Private Limited (Business Software) | ||
| BioVentures, Inc (Laboratory Tools Manufacturer) | $1,001 - $15,000 | None (or less than $201) |
| Groxis (Technology/Software) | $50,001 - $100,000 | None (or less than $201) |
| Artwork Held for Investment | $5,000,001 - $25,000,000 | None (or less than $201) |
| American EPAY (Human Resources Technology) | $50,001 - $100,000 | $1,001 - $2,500 |
| Northwestern Mutual (Insurance) (Universal life insurance cash value) | $15,001 - $50,000 | $1,001 - $2,500 |
| Survivor Trust (Intentionally Defective Grantor Trust) | ||
| Axa Equitable (Insurance) (Whole life insurance cash value) | $500,001 - $1,000,000 | $15,001 - $50,000 |
| Axa Equitable (Insurance) (Whole life insurance cash value) | $100,001 - $250,000 | $15,001 - $50,000 |
| Guardian (Insurance) (Whole life insurance cash value) | $500,001 - $1,000,000 | $15,001 - $50,000 |
| Axa Equitable (Insurance) (Whole life insurance cash value) | $15,001 - $50,000 | $201 - $1,000 |
Employment Agreements and Arrangements
| Employer or Party | City, State | Status and Terms | Date |
|---|---|---|---|
| Kohlberg Kravis Roberts & Co. LP ("KKR Associates Holdings, LP" - Per KKR 2016 10-K: The timing of receipt of carried interest is only after all of the following are met: (i) a realization event has occurred, (ii) the vehicle has achieved positive overall investment returns since its inception, in excess of performance hurdles where applicable, and (iii) with respect to investments with a fair value below cost, cost has been returned to fund investors in an amount sufficient to reduce remaining cost to the investments' fair value.) | New York, New York | Per KKR, each private equity fund's general partner is entitled to carried interest. See footnote for further detail. | Feb. 15, 2009 |
| Kohlberg Kravis Roberts & Co. LP ("KKR Associates Reserve LLC" - Per KKR 2016 10-K: The timing of receipt of carried interest is only after all of the following are met: (i) a realization event has occurred, (ii) the vehicle has achieved positive overall investment returns since its inception, in excess of performance hurdles where applicable, and (iii) with respect to investments with a fair value below cost, cost has been returned to fund investors in an amount sufficient to reduce remaining cost to the investments' fair value.) | New York, New York | Per KKR, each private equity fund's general partner is entitled to carried interest. See footnote for further detail. | Feb. 15, 2009 |
| Kohlberg Kravis Roberts & Co. LP | New York, New York | Pursuant to the company's compensation plan, the units of KKR common stock vest in April 2017 and April 2018. At that time, shares of KKR common stock will be received. Vesting will be accelerated. | Feb. 15, 2009 |
Liabilities
| Creditor Name | Creditor Type | Amount | Rate | Year Incurred |
|---|---|---|---|---|
| Goldman Sachs Bank | Line of Credit (Partially Exercised) | $1,000,001 - $5,000,000 | 4.03% | 2015 |
| Goldman Sachs Bank | Mortgage (investment/ren tal property) | $1,000,001 - $5,000,000 | 3.25% | 2015 |
| Goldman Sachs Bank | Mortgage on Personal Residence | $5,000,001 - $25,000,000 | 2.875% | 2013 |
| Goldman Sachs Bank | Mortgage on Personal Residence | $1,000,001 - $5,000,000 | 2.875% | 2013 |
| Bank of America | Mortgage on Personal Residence | $1,000,001 - $5,000,000 | 3.00% | 2013 |
| JP Morgan | Margin | $500,001 - $1,000,000 | 3.12% | 2016 |
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