Vault-13

KKR & CO INC KKR 6 09.15.23 C

6% MCONV PFD C · PUBLIC · CUSIP 48251W401

62 institutional holders -6 vs Q4 2022
23,327,18123.3m shares reported held*
$1.3bnreported value*
4 new 20 added 22 reduced 10 sold out net bought ≈ $15.5m (-109.0k 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 ≈ $57.56.

Trends to Q1 2023

Institutional holders

Managers reporting a position, each quarter

0255075Q3 22: 65Q4 22: 68Q1 23: 6262Q3 22Q4 22Q1 23
Numbers
QuarterHolders
Q3 202265
Q4 202268
Q1 202362

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
40040Q4 22: 32 bought or addedQ4 22: 34 cut or sold outQ4 22Q1 23: 24 bought or addedQ1 23: 32 cut or sold outQ1 23
Numbers
QuarterBought or addedCut or sold out
Q4 20223234
Q1 20232432

Biggest buyers

VOYA INVESTMENT MANAGEMENT LLC Added +1,400,000+1.4m
Shaolin Capital Management LLC Added +549,425+549.4k
FMR LLC Added +144,100+144.1k
TWO SIGMA INVESTMENTS, LP Added +130,320+130.3k
SSI INVESTMENT MANAGEMENT LLC Added +85,860+85.9k
MORGAN STANLEY Added +70,618+70.6k
CITIGROUP INC Added +40,380+40.4k
MIZUHO SECURITIES USA LLC New +25,000+25.0k
BlackRock Inc. Added +14,786+14.8k
AMERIPRISE FINANCIAL INC Added +8,458+8.5k

Biggest sellers

CAMDEN ASSET MANAGEMENT L P /CA Sold out -725,000-725.0k
Russell Investments Group, Ltd. Reduced -536,500-536.5k
JPMORGAN CHASE & CO Reduced -243,105-243.1k
ADVENT CAPITAL MANAGEMENT /DE/ Reduced -178,400-178.4k
WELLS FARGO & COMPANY/MN Reduced -172,852-172.9k
Sculptor Capital LP Sold out -140,000-140.0k
PIER 88 INVESTMENT PARTNERS LLC Reduced -108,600-108.6k
D. E. Shaw & Co., Inc. Sold out -100,000-100.0k
MANUFACTURERS LIFE INSURANCE COMPANY, THE Sold out -95,719-95.7k
Invesco Ltd. Reduced -91,213-91.2k

Holders, Q1 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Russell Investments Group, Ltd. 0.01% of their portfolio Seattle, WA 3,378,4003.4m $4.3m $4.3m 0.01% Reduced -536.5k -536,500
2 VOYA INVESTMENT MANAGEMENT LLC 0.23% of their portfolio ATLANTA, GA 3,348,2103.3m $212.4m $212.4m 0.23% Added +1.4m +1,400,000
3 Capital World Investors 0.03% of their portfolio LOS ANGELES, CA 2,353,1242.4m $149.3m $149.3m 0.03% Unchanged
4 FRANKLIN RESOURCES INC 0.06% of their portfolio San Mateo, CA 1,860,7121.9m $118.1m $118.1m 0.06% Reduced -43.5k -43,500
5 Capital International Investors 0.03% of their portfolio Los Angeles, CA 1,845,3181.8m $117.1m $117.1m 0.03% Unchanged
6 BlackRock Inc. 0.00% of their portfolio New York, NY 1,753,5561.8m $111.3m $111.3m 0.00% Added +14.8k +14,786
7 VICTORY CAPITAL MANAGEMENT INC 0.11% of their portfolio San Antonio, TX 1,507,8331.5m $95.7m $95.7m 0.11% Reduced -86.1k -86,148
8 TWO SIGMA INVESTMENTS, LP 0.22% of their portfolio NEW YORK, NY 1,186,7091.2m $75.3m $75.3m 0.22% Added +130.3k +130,320
9 ADVENT CAPITAL MANAGEMENT /DE/ 1.23% of their portfolio NEW YORK, NY 1,007,8811.0m $64.0m $64.0m 1.23% Reduced -178.4k -178,400
10 Shaolin Capital Management LLC 1.18% of their portfolio Miami, FL 624,425624.4k $39.6m $39.6m 1.18% Added +549.4k +549,425
11 MacKay Shields LLC 1.07% of their portfolio New York, NY 614,934614.9k $39.1m $39.1m 1.07% Reduced -2.7k -2,655
12 Calamos Advisors LLC 0.17% of their portfolio NAPERVILLE, IL 543,459543.5k $34.5m $34.5m 0.17% Added +807 +807
13 Clearbridge Investments, LLC 0.03% of their portfolio NEW YORK, NY 505,226505.2k $32.1m $32.1m 0.03% Unchanged
14 STATE STREET CORP 0.00% of their portfolio BOSTON, MA 397,647397.6k $25.2m $25.2m 0.00% Reduced -41.5k -41,502
15 Thrivent Financial for Lutherans 0.06% of their portfolio Minneapolis, MN 397,235397.2k $25.2m $25.2m 0.06% Added +4.3k +4,260
16 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 299,729299.7k $19.0m $19.0m 0.00% Reduced -243.1k -243,105
17 FMR LLC 0.00% of their portfolio BOSTON, MA 288,200288.2k $18.3m $18.3m 0.00% Added +144.1k +144,100
18 Alberta Investment Management Corp 0.17% of their portfolio EDMONTON, A0 275,000275.0k $17.4m $17.4m 0.17% Unchanged
19 Aequim Alternative Investments LP 0.50% of their portfolio MILL VALLEY, CA 250,000250.0k $15.9m $15.9m 0.50% Unchanged
20 SSI INVESTMENT MANAGEMENT LLC 0.94% of their portfolio Los Angeles, CA 211,332211.3k $13.4m $13.4m 0.94% Added +85.9k +85,860
21 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 196,044196.0k $12.4m $12.4m 0.00% Reduced -57.1k -57,131
22 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 180,153180.2k $11.4m $11.4m 0.00% Added +8.5k +8,458
23 AEGON USA Investment Management, LLC 3.06% of their portfolio CEDAR RAPIDS, IA 170,400170.4k $10.7m $10.7m 3.06% Unchanged
24 NEUBERGER BERMAN GROUP LLC 0.01% of their portfolio NEW YORK, NY 166,759166.8k $10.6m $10.6m 0.01% Reduced -8.8k -8,836
25 PUTNAM INVESTMENTS LLC 0.02% of their portfolio BOSTON, MA 152,913152.9k $9.7m $9.7m 0.02% Added +2.3k +2,324
26 Nicholas Investment Partners, LP 0.66% of their portfolio RANCHO SANTA FE, CA 136,790136.8k $8.7m $8.7m 0.66% Unchanged
27 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 98,03198.0k $6.2m $6.2m 0.00% Reduced -172.9k -172,852
28 Penserra Capital Management LLC 0.10% of their portfolio ORINDA, CA 79,08479.1k $5.0m $5.0m 0.10% Reduced -5.8k -5,751
29 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 78,81278.8k $5.0m $5.0m 0.00% Added +70.6k +70,618
30 PIER 88 INVESTMENT PARTNERS LLC 1.19% of their portfolio SAN FRANCISCO, CA 77,70077.7k $4.9m $4.9m 1.19% Reduced -108.6k -108,600
31 LAFFER TENGLER INVESTMENTS, INC. 0.98% of their portfolio Scottsdale, AZ 56,89056.9k $3.6m $3.6m 0.98% Reduced -630 -630
32 PALISADE CAPITAL MANAGEMENT, LP 0.08% of their portfolio FORT LEE, NJ 47,07647.1k $3.0m $3.0m 0.08% Reduced -16.5k -16,500
33 CITIGROUP INC 0.00% of their portfolio NEW YORK, NY 46,41346.4k $2.9m $2.9m 0.00% Added +40.4k +40,380
34 Mariner, LLC 0.01% of their portfolio Overland Park, KS 39,90039.9k $2.5m $2.5m 0.01% Reduced -150 -150
35 BROWN ADVISORY INC 0.00% of their portfolio BALTIMORE, MD 38,59738.6k $2.5m $2.5m 0.00% Reduced -191 -191
36 FIRST MANHATTAN CO. LLC. 0.01% of their portfolio NEW YORK, NY 33,25533.3k $2.1m $2.1m 0.01% Unchanged
37 BOOTHBAY FUND MANAGEMENT, LLC 0.05% of their portfolio NEW YORK, NY 31,48731.5k $2.0m $2.0m 0.05% Added +7.5k +7,528
38 MIZUHO SECURITIES USA LLC 0.09% of their portfolio NEW YORK, NY 25,00025.0k $1.5m $1.5m 0.09% New
39 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 24,49124.5k $1.6m $1.6m 0.00% Reduced -631 -631
40 BlueCrest Capital Management Ltd 0.15% of their portfolio ST HELIER, Y9 21,90221.9k $1.4m $1.4m 0.15% Added +7.9k +7,865
41 CREDIT SUISSE AG/ 0.00% of their portfolio ZURICH, V8 20,00020.0k $1.3m $1.3m 0.00% Unchanged
42 RATIONAL ADVISORS, INC. 0.09% of their portfolio San Juan, PR 17,10017.1k $1.1m $1.1m 0.09% Reduced -11.8k -11,800
43 SEI INVESTMENTS CO 0.00% of their portfolio OAKS, PA 16,10216.1k $1.0m $1.0m 0.00% Added +574 +574
44 MOODY LYNN LIEBERSON & WALKER, LLC 0.08% of their portfolio BOSTON, MA 13,59913.6k $862.9k $862.9k 0.08% Reduced -7.1k -7,059
45 Calamos Wealth Management LLC 0.05% of their portfolio NAPERVILLE, IL 9,7409.7k $618.0k $618.0k 0.05% Reduced -145 -145
46 BARCLAYS PLC 0.00% of their portfolio LONDON, X0 9,0279.0k $572.8k $572.8k 0.00% Added +2.5k +2,475
47 Skaana Management L.P. 0.30% of their portfolio BROOKLYN, NY 8,0018.0k $507.7k $507.7k 0.30% New
48 Invesco Ltd. 0.00% of their portfolio ATLANTA, GA 7,1287.1k $452.3k $452.3k 0.00% Reduced -91.2k -91,213
49 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 6,1036.1k $387.0k $387.0k 0.00% Added +5.2k +5,217
50 FIRST HAWAIIAN BANK 0.01% of their portfolio HONOLULU, HI 5,8405.8k $370.5k $370.5k 0.01% New
51 WOLVERINE ASSET MANAGEMENT LLC 0.01% of their portfolio CHICAGO, IL 5,2905.3k $335.1k $335.1k 0.01% Reduced -6.7k -6,740
52 Alterity Financial Group, LLC 0.38% of their portfolio BANGOR, ME 4,0504.0k $257.0k $257.0k 0.38% Unchanged
53 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 2,0152.0k $127.8k $127.8k 0.00% Added +1.7k +1,684
54 US BANCORP \DE\ 0.00% of their portfolio MINNEAPOLIS, MN 1,1731.2k $74.4k $74.4k 0.00% Unchanged
55 Steward Partners Investment Advisory, LLC 0.00% of their portfolio STAMFORD, CT 1,1001.1k $69.8k $69.8k 0.00% Unchanged
56 UBS Group AG 0.00% of their portfolio ZURICH, V8 409409 $26.0k $26.0k 0.00% Added +140 +140
57 PRIVATE TRUST CO NA 0.00% of their portfolio CLEVELAND, OH 378378 $24.0k $24.0k 0.00% Added +53 +53
58 BANK OF MONTREAL /CAN/ 0.00% of their portfolio TORONTO, A6 188188 $11.7k $11.7k 0.00% Unchanged
59 FIFTH THIRD BANCORP 0.00% of their portfolio CINCINNATI, OH 7070 $4.4k $4.4k 0.00% New
60 EverSource Wealth Advisors, LLC 0.00% of their portfolio BIRMINGHAM, AL 88 $508 $508 0.00% Unchanged
61 Advisory Services Network, LLC 0.00% of their portfolio ATLANTA, GA 77 $444 $444 0.00% Unchanged
62 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged