The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM D Notice of Exempt Offering of Securities |
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1. Issuer's Identity
CIK (Filer ID Number) | Previous Names |
| Entity Type | ||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
0001896269 |
an Ontario, Canada limited partnership | ||||||||||||||
Name of Issuer | |||||||||||||||
KKR North America Fund XIII Private Investors (Offshore) L.P. | |||||||||||||||
Jurisdiction of Incorporation/Organization | |||||||||||||||
ONTARIO, CANADA | |||||||||||||||
Year of Incorporation/Organization | |||||||||||||||
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2. Principal Place of Business and Contact Information
Name of Issuer | |||
---|---|---|---|
KKR North America Fund XIII Private Investors (Offshore) L.P. | |||
Street Address 1 | Street Address 2 | ||
KOHLBERG KRAVIS ROBERTS & CO. L.P. | 30 HUDSON YARDS, SUITE 7500 | ||
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
NEW YORK | NEW YORK | 10001 | 212-750-8300 |
3. Related Persons
Last Name | First Name | Middle Name |
---|---|---|
KKR North America XIII Private Investors GP LLC | - | |
Street Address 1 | Street Address 2 | |
c/o Kohlberg Kravis Roberts & Co. L.P. | 30 Hudson Yards, Suite 7500 | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10001 |
Relationship: | Executive Officer | Director | X | Promoter |
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Clarification of Response (if Necessary):
General Partner of the IssuerLast Name | First Name | Middle Name |
---|---|---|
Wood | Alisa | |
Street Address 1 | Street Address 2 | |
c/o Kohlberg Kravis Roberts & Co. L.P. | 30 Hudson Yards, Suite 7500 | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10001 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Executive Officer of the General PartnerLast Name | First Name | Middle Name |
---|---|---|
Kim | Philip | |
Street Address 1 | Street Address 2 | |
c/o Kohlberg Kravis Roberts & Co. L.P. | 30 Hudson Yards, Suite 7500 | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10001 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Executive Officer of the General PartnerLast Name | First Name | Middle Name |
---|---|---|
Husain | Hadi | |
Street Address 1 | Street Address 2 | |
c/o Kohlberg Kravis Roberts & Co. L.P. | 30 Hudson Yards, Suite 7500 | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10001 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Executive Officer of the General PartnerLast Name | First Name | Middle Name |
---|---|---|
Codispoti | Steven | |
Street Address 1 | Street Address 2 | |
c/o Kohlberg Kravis Roberts & Co. L.P. | 30 Hudson Yards, Suite 7500 | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10001 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Executive Officer of the General PartnerLast Name | First Name | Middle Name |
---|---|---|
Carss | Jason | |
Street Address 1 | Street Address 2 | |
c/o Kohlberg Kravis Roberts & Co. L.P. | 30 Hudson Yards, Suite 7500 | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10001 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Executive Officer of the General PartnerLast Name | First Name | Middle Name |
---|---|---|
Lee | Christopher | |
Street Address 1 | Street Address 2 | |
c/o Kohlberg Kravis Roberts & Co. L.P. | 30 Hudson Yards, Suite 7500 | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10001 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Executive Officer of the General PartnerLast Name | First Name | Middle Name |
---|---|---|
McGroarty | Jennifer | |
Street Address 1 | Street Address 2 | |
c/o Kohlberg Kravis Roberts & Co. L.P. | 30 Hudson Yards, Suite 7500 | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10001 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Executive Officer of the General PartnerLast Name | First Name | Middle Name |
---|---|---|
Shaw | Mary | |
Street Address 1 | Street Address 2 | |
c/o Kohlberg Kravis Roberts & Co. L.P. | 30 Hudson Yards, Suite 7500 | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10001 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Executive Officer of the General PartnerLast Name | First Name | Middle Name |
---|---|---|
Jordan | Stephen | |
Street Address 1 | Street Address 2 | |
c/o Kohlberg Kravis Roberts & Co. L.P. | 30 Hudson Yards, Suite 7500 | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10001 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Executive Officer of the General PartnerLast Name | First Name | Middle Name |
---|---|---|
Karnas | Scott | |
Street Address 1 | Street Address 2 | |
c/o Kohlberg Kravis Roberts & Co. L.P. | 30 Hudson Yards, Suite 7500 | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10001 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Executive Officer of the General PartnerLast Name | First Name | Middle Name |
---|---|---|
Longo | Michael | |
Street Address 1 | Street Address 2 | |
c/o Kohlberg Kravis Roberts & Co. L.P. | 30 Hudson Yards, Suite 7500 | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10001 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Executive Officer of the General PartnerLast Name | First Name | Middle Name |
---|---|---|
Valentino | Edward | |
Street Address 1 | Street Address 2 | |
c/o Kohlberg Kravis Roberts & Co. L.P. | 30 Hudson Yards, Suite 7500 | |
City | State/Province/Country | ZIP/PostalCode |
New York | NEW YORK | 10001 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Executive Officer of the General Partner4. Industry Group
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5. Issuer Size
Revenue Range | OR | Aggregate Net Asset Value Range | ||
---|---|---|---|---|
No Revenues | No Aggregate Net Asset Value | |||
$1 - $1,000,000 | $1 - $5,000,000 | |||
$1,000,001 - $5,000,000 | $5,000,001 - $25,000,000 | |||
$5,000,001 - $25,000,000 | $25,000,001 - $50,000,000 | |||
$25,000,001 - $100,000,000 | $50,000,001 - $100,000,000 | |||
Over $100,000,000 | Over $100,000,000 | |||
X | Decline to Disclose | Decline to Disclose | ||
Not Applicable | Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
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7. Type of Filing
X | New Notice | Date of First Sale | 2021-11-18 | First Sale Yet to Occur | |||||
Amendment |
8. Duration of Offering
Does the Issuer intend this offering to last more than one year? |
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9. Type(s) of Securities Offered (select all that apply)
Equity | X | Pooled Investment Fund Interests | |
Debt | Tenant-in-Common Securities | ||
Option, Warrant or Other Right to Acquire Another Security | Mineral Property Securities | ||
Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security | X | Other (describe) | |
Limited Partnership Interests |
10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
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Clarification of Response (if Necessary):
11. Minimum Investment
Minimum investment accepted from any outside investor | $0 | USD |
12. Sales Compensation
Recipient |
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Not Applicable | None | ||||||
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Merrill Lynch, Pierce, Fenner & Smith Incorporated | 7691 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
ONE BRYANT PARK | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
NEW YORK | NEW YORK | 10036 | |||||
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Recipient |
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Not Applicable | None | ||||||
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Hanwha Investment & Securities Co., Ltd. | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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23-5 YOUIDO-DONG | YOUNGDEUNGPO-GU | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
SEOUL | KOREA, REPUBLIC OF | 150-717 | |||||
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Recipient |
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Not Applicable | None | ||||||
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NH Investment & Securities Co Ltd | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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60 YEOUI-DAERO | YEONGDEUNGPO-GU | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
SEOUL | KOREA, REPUBLIC OF | 07325 | |||||
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Recipient |
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Not Applicable | None | ||||||
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PAS Advisory Services Pty Ltd T/A Principle Advisory Services | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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LEVEL 2, 175 MACQUARIE STREET | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
SYDNEY | AUSTRALIA | NSW 2000 | |||||
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Recipient |
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Not Applicable | None | ||||||
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Lyntone Capital Advisors Ltd. | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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AZRIELI CENTER, ROUND TOWER, 30TH FLOOR | 132, MENACHEM BEGIN RD. | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
TEL AVIV | ISRAEL | 6702101 | |||||
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Recipient |
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Not Applicable | None | ||||||
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Picton S.A. | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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AV. APOQUINDO 2929, 22ND FLOOR | LAS CONDES | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
SANTIAGO | CHILE | 00000 | |||||
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Recipient |
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Not Applicable | None | ||||||
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UBS Financial Services Inc. | 8174 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
1200 HARBOR BOULEVARD | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
WEEHAWKEN | NEW JERSEY | 07086 | |||||
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Recipient |
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Not Applicable | None | ||||||
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Moonfare GmbH | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
KARL-LIEBKNECHT-STR.34 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
BERLIN | GERMANY | 10178 | |||||
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Recipient |
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Not Applicable | None | ||||||
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Moonfare II S.a r.l. | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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121, AVENUE DE LA FAIENCERIE | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
LUXEMBOURG | LUXEMBOURG | L-1511 | |||||
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Recipient |
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Not Applicable | None | ||||||
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HSBC Management (Guernsey) Limited | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
ARNOLD HOUSE, ST. JULIAN'S AVENUE | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
ST. PETER PORT | GUERNSEY | GY1 3NF | |||||
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Recipient |
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Not Applicable | None | ||||||
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HSBC Investment Funds (Luxembourg), S.A. | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
16 BOULEVARD D'AVRANCHES | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
LUXEMBOURG | LUXEMBOURG | L-1160 | |||||
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Recipient |
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Not Applicable | None | ||||||
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Kvika Eignastyring hf. | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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C/O ASSET MANAGEMENT | BORGARTUN 25 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
REYKJAVIK | ICELAND | 105 | |||||
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Recipient |
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Not Applicable | None | ||||||
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SMBC Nikko Securities Inc. | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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3-3-1, MARUNOUCHI, CHIYODA-KU | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
TOKYO | JAPAN | 100-8325 | |||||
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Recipient |
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Not Applicable | None | ||||||
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ABN AMRO Bank NV | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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GUSTAV MAHLERLAAN 10 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
AMSTERDAM | NETHERLANDS | 1082 PP | |||||
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Recipient |
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Not Applicable | None | ||||||
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Raymond James & Associates, Inc. | 705 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
880 CARILLON PARKWAY | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
ST. PETERSBURG | FLORIDA | 33716 | |||||
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Recipient |
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Not Applicable | None | ||||||
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Raymond James Financial Services, Inc. | 6694 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
880 CARILLON PARKWAY | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
ST. PETERSBURG | FLORIDA | 33716 | |||||
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Recipient |
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Not Applicable | None | ||||||
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J.P. Morgan Securities LLC | 79 | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
383 MADISON AVENUE | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
NEW YORK | NEW YORK | 10179 | |||||
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13. Offering and Sales Amounts
Total Offering Amount | USD |
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Total Amount Sold | $53,110,000 | USD | ||||
Total Remaining to be Sold | USD |
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Clarification of Response (if Necessary):
14. Investors
Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering. | |||
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: |
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15. Sales Commissions & Finder's Fees Expenses
Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
Sales Commissions | $51,336,230 | USD |
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Finders' Fees | $0 | USD |
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Clarification of Response (if Necessary):
Placement agent fees reflect amounts that may be paid in connection with the fund and affiliated funds in the offering.16. Use of Proceeds
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
$0 | USD |
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Clarification of Response (if Necessary):
Signature and Submission
Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.
Terms of Submission
In submitting this notice, each issuer named above is: |
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Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.
For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.
Issuer | Signature | Name of Signer | Title | Date |
---|---|---|---|---|
KKR North America Fund XIII Private Investors (Offshore) L.P. | /s/ Jason Carss | Jason Carss | Assistant Secretary of the General Partner of the Issuer | 2021-12-03 |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.
* This undertaking does not affect any limits Section 102(a) of the National Securities Markets Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot routinely require offering materials under this undertaking or otherwise and can require offering materials only to the extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.