Vault-13

KKR & CO INC KKR 6 09.15.23 C

6% MCONV PFD C · PUBLIC · CUSIP 48251W401

68 institutional holders +3 vs Q3 2022
23,436,15723.4m shares reported held*
$1.2bnreported value*
11 new 21 added 27 reduced 7 sold out net sold ≈ $5.7m (-1.5m shares)

* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once. Holder counts are more reliable. Implied quarter-end price ≈ $51.14.

Trends to Q4 2022

Institutional holders

Managers reporting a position, each quarter

0255075Q3 22: 65Q4 22: 6868Q3 22Q4 22
Numbers
QuarterHolders
Q3 202265
Q4 202268

Biggest buyers

ADVENT CAPITAL MANAGEMENT /DE/ New +1,186,281+1.2m
TWO SIGMA INVESTMENTS, LP Added +772,837+772.8k
Capital International Investors Added +581,400+581.4k
Aequim Alternative Investments LP New +250,000+250.0k
VICTORY CAPITAL MANAGEMENT INC Added +211,755+211.8k
Sculptor Capital LP New +140,000+140.0k
CAMDEN ASSET MANAGEMENT L P /CA Added +125,000+125.0k
AEGON USA Investment Management, LLC Added +100,200+100.2k
D. E. Shaw & Co., Inc. New +100,000+100.0k
PIER 88 INVESTMENT PARTNERS LLC Added +92,400+92.4k

Biggest sellers

FRANKLIN RESOURCES INC Reduced -1,459,750-1.5m
ADVENT CAPITAL MANAGEMENT /DE/ Sold out -1,245,181-1.2m
Mirae Asset Global Investments Co., Ltd. Sold out -362,223-362.2k
Russell Investments Group, Ltd. Reduced -235,450-235.4k
WELLINGTON MANAGEMENT GROUP LLP Reduced -200,556-200.6k
MANUFACTURERS LIFE INSURANCE COMPANY, THE Reduced -188,281-188.3k
JANE STREET GROUP, LLC Reduced -148,690-148.7k
JPMORGAN CHASE & CO Reduced -143,036-143.0k
Invesco Ltd. Reduced -141,400-141.4k
BlackRock Inc. Reduced -112,195-112.2k

Holders, Q4 2022

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Russell Investments Group, Ltd. 0.01% of their portfolio Seattle, WA 3,914,9003.9m $4.5m $4.5m 0.01% Reduced -235.4k -235,450
2 Capital World Investors 0.03% of their portfolio LOS ANGELES, CA 2,353,1242.4m $134.7m $134.7m 0.03% Unchanged
3 VOYA INVESTMENT MANAGEMENT LLC 0.13% of their portfolio ATLANTA, GA 1,948,2101.9m $111.5m $111.5m 0.13% Added +41.9k +41,850
4 FRANKLIN RESOURCES INC 0.06% of their portfolio San Mateo, CA 1,904,2121.9m $109.0m $109.0m 0.06% Reduced -1.5m -1,459,750
5 Capital International Investors 0.03% of their portfolio Los Angeles, CA 1,845,3181.8m $105.6m $105.6m 0.03% Added +581.4k +581,400
6 BlackRock Inc. 0.00% of their portfolio New York, NY 1,738,7701.7m $99.5m $99.5m 0.00% Reduced -112.2k -112,195
7 VICTORY CAPITAL MANAGEMENT INC 0.10% of their portfolio San Antonio, TX 1,593,9811.6m $91.3m $91.3m 0.10% Added +211.8k +211,755
8 ADVENT CAPITAL MANAGEMENT /DE/ 1.22% of their portfolio NEW YORK, NY 1,186,2811.2m $68.3m $68.3m 1.22% New
9 TWO SIGMA INVESTMENTS, LP 0.20% of their portfolio NEW YORK, NY 1,056,3891.1m $60.5m $60.5m 0.20% Added +772.8k +772,837
10 CAMDEN ASSET MANAGEMENT L P /CA 1.34% of their portfolio Los Angeles, CA 725,000725.0k $41.6m $41.6m 1.34% Added +125.0k +125,000
11 MacKay Shields LLC 0.91% of their portfolio New York, NY 617,589617.6k $35.5m $35.5m 0.91% Reduced -6.1k -6,113
12 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 542,834542.8k $31.1m $31.1m 0.00% Reduced -143.0k -143,036
13 Calamos Advisors LLC 0.15% of their portfolio NAPERVILLE, IL 542,652542.7k $31.1m $31.1m 0.15% Reduced -1.1k -1,066
14 Clearbridge Investments, LLC 0.03% of their portfolio NEW YORK, NY 505,226505.2k $28.9m $28.9m 0.03% Added +25.8k +25,760
15 STATE STREET CORP 0.00% of their portfolio BOSTON, MA 439,149439.1k $25.1m $25.1m 0.00% Added +19.0k +19,000
16 Thrivent Financial for Lutherans 0.06% of their portfolio Minneapolis, MN 392,975393.0k $22.5m $22.5m 0.06% Added +9.9k +9,875
17 Alberta Investment Management Corp 0.14% of their portfolio EDMONTON, A0 275,000275.0k $15.7m $15.7m 0.14% Unchanged
18 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 270,883270.9k $15.5m $15.5m 0.00% Added +78.5k +78,478
19 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 253,175253.2k $14.5m $14.5m 0.00% Added +52.1k +52,064
20 Aequim Alternative Investments LP 0.39% of their portfolio MILL VALLEY, CA 250,000250.0k $14.3m $14.3m 0.39% New
21 PIER 88 INVESTMENT PARTNERS LLC 2.59% of their portfolio SAN FRANCISCO, CA 186,300186.3k $10.7m $10.7m 2.59% Added +92.4k +92,400
22 NEUBERGER BERMAN GROUP LLC 0.01% of their portfolio NEW YORK, NY 175,595175.6k $10.1m $10.1m 0.01% Reduced -10.0k -10,000
23 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 171,695171.7k $9.8m $9.8m 0.00% Added +8.9k +8,942
24 AEGON USA Investment Management, LLC 2.91% of their portfolio CEDAR RAPIDS, IA 170,400170.4k $9.8m $9.8m 2.91% Added +100.2k +100,200
25 PUTNAM INVESTMENTS LLC 0.02% of their portfolio BOSTON, MA 150,589150.6k $8.6m $8.6m 0.02% Reduced -15.4k -15,354
26 FMR LLC 0.00% of their portfolio BOSTON, MA 144,100144.1k $8.3m $8.3m 0.00% Unchanged
27 Sculptor Capital LP 0.15% of their portfolio New York, NY 140,000140.0k $8.0m $8.0m 0.15% New
28 Nicholas Investment Partners, LP 0.69% of their portfolio RANCHO SANTA FE, CA 136,790136.8k $7.8m $7.8m 0.69% Unchanged
29 SSI INVESTMENT MANAGEMENT LLC 0.46% of their portfolio Los Angeles, CA 125,472125.5k $7.2m $7.2m 0.46% Added +65.2k +65,190
30 D. E. Shaw & Co., Inc. 0.01% of their portfolio New York, NY 100,000100.0k $5.7m $5.7m 0.01% New
31 Invesco Ltd. 0.00% of their portfolio ATLANTA, GA 98,34198.3k $5.6m $5.6m 0.00% Reduced -141.4k -141,400
32 MANUFACTURERS LIFE INSURANCE COMPANY, THE 0.00% of their portfolio Toronto, A6 95,71995.7k $5.5m $5.5m 0.00% Reduced -188.3k -188,281
33 Penserra Capital Management LLC 0.11% of their portfolio ORINDA, CA 84,83584.8k $4.9m $4.9m 0.11% Added +8.9k +8,853
34 CSS LLC/IL 0.32% of their portfolio CHICAGO, IL 84,14784.1k $4.8m $4.8m 0.32% New
35 Shaolin Capital Management LLC 0.13% of their portfolio Miami, FL 75,00075.0k $4.3m $4.3m 0.13% New
36 PALISADE CAPITAL MANAGEMENT, LP 0.10% of their portfolio FORT LEE, NJ 63,57663.6k $3.6m $3.6m 0.10% Reduced -7.0k -7,000
37 LAFFER TENGLER INVESTMENTS, INC. 0.95% of their portfolio Scottsdale, AZ 57,52057.5k $3.3m $3.3m 0.95% Added +19.3k +19,328
38 Mariner, LLC 0.01% of their portfolio Overland Park, KS 40,05040.0k $2.3m $2.3m 0.01% New
39 BROWN ADVISORY INC 0.00% of their portfolio BALTIMORE, MD 38,78838.8k $2.2m $2.2m 0.00% Reduced -942 -942
40 FIRST MANHATTAN CO. LLC. 0.01% of their portfolio NEW YORK, NY 33,25533.3k $1.9m $1.9m 0.01% Reduced -1.8k -1,790
41 RATIONAL ADVISORS, INC. 0.14% of their portfolio San Juan, PR 28,90028.9k $1.7m $1.7m 0.14% Added +22.4k +22,400
42 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 25,12225.1k $1.4m $1.4m 0.00% Reduced -3.2k -3,172
43 BOOTHBAY FUND MANAGEMENT, LLC 0.04% of their portfolio NEW YORK, NY 23,95924.0k $1.4m $1.4m 0.04% Added +10.7k +10,694
44 WELLINGTON MANAGEMENT GROUP LLP 0.00% of their portfolio Boston, MA 22,31622.3k $1.3m $1.3m 0.00% Reduced -200.6k -200,556
45 MOODY LYNN LIEBERSON & WALKER, LLC 0.11% of their portfolio BOSTON, MA 20,65820.7k $1.2m $1.2m 0.11% Reduced -2.0k -2,011
46 CREDIT SUISSE AG/ 0.00% of their portfolio ZURICH, V8 20,00020.0k $1.1m $1.1m 0.00% Unchanged
47 SEI INVESTMENTS CO 0.00% of their portfolio OAKS, PA 15,52815.5k $889.2k $889.2k 0.00% Reduced -330 -330
48 BlueCrest Capital Management Ltd 0.10% of their portfolio ST HELIER, Y9 14,03714.0k $803.6k $803.6k 0.10% Reduced -44.1k -44,113
49 WOLVERINE ASSET MANAGEMENT LLC 0.01% of their portfolio CHICAGO, IL 12,03012.0k $690.1k $690.1k 0.01% Reduced -48.0k -48,048
50 Calamos Wealth Management LLC 0.04% of their portfolio NAPERVILLE, IL 9,8859.9k $565.9k $565.9k 0.04% Reduced -235 -235
51 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 8,1948.2k $469.4k $469.4k 0.00% Added +1.3k +1,309
52 BARCLAYS PLC 0.00% of their portfolio LONDON, X0 6,5526.6k $375.1k $375.1k 0.00% First filing
53 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 6,1246.1k $350.6k $350.6k 0.00% Reduced -1.4k -1,376
54 CITIGROUP INC 0.00% of their portfolio NEW YORK, NY 6,0336.0k $345.4k $345.4k 0.00% Reduced -3.4k -3,393
55 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 4,5344.5k $259.6k $259.6k 0.00% Reduced -148.7k -148,690
56 Alterity Financial Group, LLC 0.38% of their portfolio BANGOR, ME 4,0504.0k $231.9k $231.9k 0.38% New
57 US BANCORP \DE\ 0.00% of their portfolio MINNEAPOLIS, MN 1,1731.2k $67.2k $67.2k 0.00% Unchanged
58 Steward Partners Investment Advisory, LLC 0.00% of their portfolio STAMFORD, CT 1,1001.1k $63.0k $63.0k 0.00% Added +200 +200
59 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 886886 $50.0k $50.0k 0.00% Reduced -2.7k -2,737
60 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 331331 $19.0k $19.0k 0.00% Reduced -373 -373
61 PRIVATE TRUST CO NA 0.00% of their portfolio CLEVELAND, OH 325325 $19.0k $19.0k 0.00% New
62 UBS Group AG 0.00% of their portfolio ZURICH, V8 269269 $15.4k $15.4k 0.00% Added +250 +250
63 BANK OF MONTREAL /CAN/ 0.00% of their portfolio TORONTO, A6 188188 $10.8k $10.8k 0.00% New
64 IFP Advisors, Inc 0.00% of their portfolio TAMPA, FL 6565 $6.0k $6.0k 0.00% Reduced -28 -28
65 EverSource Wealth Advisors, LLC 0.00% of their portfolio BIRMINGHAM, AL 88 $458 $458 0.00% Unchanged
66 Advisory Services Network, LLC 0.00% of their portfolio ATLANTA, GA 77 $401 $401 0.00% New
67 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged
68 Parallel Advisors, LLC 0.00% of their portfolio SAN FRANCISCO, CA 00 $0 $0 0.00% Reduced -116 -116