KKR Financial 10-K/A 2016 FY Annual report (amended)

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 10-K/A

(Amendment No.1)

(Mark One)

ýANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

For the fiscal year ended December 31, 2016

or

oTRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

For the transition period from         to         

Commission file number: 001-33437

KKR FINANCIAL HOLDINGS LLC

(Exact name of registrant as specified in its charter) 

Delaware	11-3801844
(State or other jurisdiction of	(I.R.S. Employer
incorporation or organization)	Identification No.)
555 California Street, 50th Floor San Francisco, CA	94104
(Address of principal executive offices)	(Zip Code)

Registrant’s telephone number, including area code: (415) 315-3620

Securities registered pursuant to Section 12(b) of the Act:

Title of each class	Name of each exchange on which registered
7.375% Series A LLC Preferred Shares	New York Stock Exchange
7.500% Senior Notes due 2042	New York Stock Exchange

Securities registered pursuant to section 12(g) of the Act: None

Indicate by check mark if the registrant is a well‑known seasoned issuer, as defined in Rule 405 of the Securities Act. o Yes  ý No

Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act.  o Yes  ý No

Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. ý Yes  o No

Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S‑T (§ 232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files).  ý Yes  o No

Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S‑K (§ 229.405 of this chapter) is not contained herein, and will not be contained, to the best of registrant’s knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10‑K or any amendment to this Form 10‑K. o

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non‑accelerated filer, or a smaller reporting company. See the definitions of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b‑2 of the Exchange Act. (Check one):

Large accelerated filer o	Accelerated filer o
Non-accelerated filer x (Do not check if a smaller reporting company)	Smaller reporting company o

Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Act). o Yes  ý No

The aggregate market value of the common shares held by non‑affiliates of the registrant as of June 30, 2016 was $0.

The number of shares of the registrant’s common shares outstanding as of March 22, 2017 was 100.

DOCUMENTS INCORPORATED BY REFERENCE

None.

EXPLANATORY NOTE

KKR Financial Holdings LLC is filing this Amendment No. 1 (“Form 10-K/A”) to its Annual Report on Form 10-K for the fiscal year ended December 31, 2016 (“Form 10-K”), filed with the Securities and Exchange Commission on March 29, 2017, solely to correct the formatting of Exhibits 99.1, 99.3, 99.4, 99.5, 99.6, 99.7 and 99.8 filed with the Form 10-K.

Except as described above, no other changes have been made to the Form 10-K, and this Form 10-K/A does not modify, amend or update in any way any of the other information contained in the Form 10-K. This Form 10-K/A does not reflect events occurring after the date of the filing of the Form 10-K, nor does it amend, modify or otherwise update any other information in the Form 10-K.

PART IV

ITEM 15. EXHIBITS AND FINANCIAL STATEMENT SCHEDULES

DOCUMENTS FILED AS PART OF THIS REPORT:

Exhibit Index

The following exhibits are filed as part of this Annual Report on Form 10-K/A for the fiscal year ended December 31, 2016.

Exhibit Number	Exhibit Description	Filed Herewith
31.1	Certification pursuant to Rules 13a‑14(a) and 15d‑14(a) under the Securities Exchange Act of 1934, as amended	X
31.2	Certification pursuant to Rules 13a‑14(a) and 15d‑14(a) under the Securities Exchange Act of 1934, as amended	X
32	Certification pursuant to 18 U.S.C. Section 1350	X
99.1	KNR Trinity Holdings LLC Financial Statements as of and for the Years Ended December 31, 2016 and 2015 (Unaudited)	X
99.3	Trinity River Energy, LLC Consolidated Financial Statements as of and for the Year Ended December 31, 2016 (Unaudited)	X
99.4	Trinity River Energy, LLC Combined and Consolidated Financial Statements as of and for the Years Ended December 31, 2015 and 2014 (Audited)	X
99.5	Maritime Credit Corporation Ltd. Combined and Consolidated Financial Statements as of and for the Year Ended December 31, 2016 (Audited)	X
99.6	Maritime Finance Company Ltd. Consolidated Financial Statements as of and for the Years Ended December 31, 2015 and 2014 (Unaudited)	X
99.7	KKR Nautilus Aggregator Limited Financial Statements as of and for the Year Ended December 31, 2016 (Audited)	X
99.8	KKR Nautilus Aggregator Limited Financial Statements as of and for the Years Ended December 31, 2015 and 2014 (Unaudited)	X

SIGNATURES

Pursuant to the requirements of Section 13 of the Securities Exchange Act of 1934, the Registrant has duly caused this Amendment No. 1 to annual report on Form 10‑K/A for the fiscal year ended December 31, 2016, to be signed on its behalf by the undersigned, and in the capacities indicated, thereunto duly authorized, on March 31, 2017.

KKR Financial Holdings LLC (Registrant)
By:	/s/ Thomas N. Murphy
	Name:	Thomas N. Murphy
	Title:	Chief Financial Officer

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