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Kravis Henry R's Form 4 filing

OneStream, Inc. (OS) · filed Jul 29, 2024

Accession no.
0001140361-24-034746
Filed
Jul 29, 2024, 6:33 PM ET
Trade date
Jul 25, 2024
Filing delay
4 days
Rule 10b5-1 plan
Not checked

This filing lists 20 non-derivative transactions and 11 derivative transactions. Open-market sales total $48.2M. It was filed 4 days after the trade.

Reporting owners

A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.

Reporting owners on this filing
OwnerRelationship to the company
Kravis Henry RCIK 000108171410% Owner
Roberts George RCIK 000108171510% Owner
Kohlberg Kravis Roberts & Co. L.P.CIK 000139977010% Owner
KKR & Co. Inc.CIK 000140491210% Owner
KKR Management LLPCIK 000147269410% Owner
KKR Group Partnership L.P.CIK 000147269810% Owner
KKR Group Holdings Corp.CIK 000174375410% Owner
KKR & Co. GP LLCCIK 000180124910% Owner
KKR Holdco LLCCIK 000180160010% Owner
KKR Group Co. Inc.CIK 000193216210% Owner

Non-derivative securities (Table I)

Acquisitions and disposals of common stock and similar shares, one row per line on the filing.

Non-derivative transactions
Trade dateSecurityTransactionSharesPriceValueShares afterOwnershipFlags
Jul 25, 2024Class A Common StockCConversionAcquired+1,375,132–F2–1,375,132IndirectDuplicate filing
Jul 25, 2024Class A Common StockSSaleDisposed−1,375,132$18.85F18−$25,921,238.20IndirectDuplicate filing
Jul 25, 2024Class A Common StockCConversionAcquired+170,996–F2–170,996IndirectDuplicate filing
Jul 25, 2024Class A Common StockSSaleDisposed−170,996$18.85F18−$3,223,274.60IndirectDuplicate filing
Jul 25, 2024Class A Common StockCConversionAcquired+4,551–F2–4,551IndirectDuplicate filing
Jul 25, 2024Class A Common StockSSaleDisposed−4,551$18.85F18−$85,786.350IndirectDuplicate filing
Jul 25, 2024Class A Common StockCConversionAcquired+115,193–F2–115,193IndirectDuplicate filing
Jul 25, 2024Class A Common StockSSaleDisposed−115,193$18.85F18−$2,171,388.050IndirectDuplicate filing
Jul 25, 2024Class A Common StockCConversionAcquired+81,838–F2–81,838IndirectDuplicate filing
Jul 25, 2024Class A Common StockSSaleDisposed−81,838$18.85F18−$1,542,646.30IndirectDuplicate filing
Jul 25, 2024Class A Common StockCConversionAcquired+39,720–F2–39,720IndirectDuplicate filing
Jul 25, 2024Class A Common StockSSaleDisposed−39,720$18.85F18−$748,7220IndirectDuplicate filing
Jul 25, 2024Class A Common StockCConversionAcquired+278,043–F2–278,043IndirectDuplicate filing
Jul 25, 2024Class A Common StockSSaleDisposed−278,043$18.85F18−$5,241,110.550IndirectDuplicate filing
Jul 25, 2024Class A Common StockCConversionAcquired+373,599–F2–373,599IndirectDuplicate filing
Jul 25, 2024Class A Common StockSSaleDisposed−373,599$18.85F18−$7,042,341.150IndirectDuplicate filing
Jul 25, 2024Class A Common StockCConversionAcquired+55,990–F2–55,990IndirectDuplicate filing
Jul 25, 2024Class A Common StockSSaleDisposed−55,990$18.85F18−$1,055,411.50IndirectDuplicate filing
Jul 25, 2024Class A Common StockCConversionAcquired+59,582–F2–59,582IndirectDuplicate filing
Jul 25, 2024Class A Common StockSSaleDisposed−59,582$18.85F18−$1,123,120.70IndirectDuplicate filing

Derivative securities (Table II)

Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.

Derivative transactions
Trade dateSecurityTransactionUnderlying sharesUnit priceValueHeld afterOwnershipFlags
Jul 25, 2024Class D Common StockSSaleDisposed−2,401,060$18.85F19−$45,259,98152,687,425IndirectDuplicate filing
Jul 25, 2024Class A Common StockCConversionDisposed−1,375,132$0.00$030,175,083IndirectDuplicate filing
Jul 25, 2024Class A Common StockCConversionDisposed−170,996$0.00$03,752,240IndirectDuplicate filing
Jul 25, 2024Class A Common StockCConversionDisposed−4,551$0.00$099,864IndirectDuplicate filing
Jul 25, 2024Class A Common StockCConversionDisposed−115,193$0.00$02,527,740IndirectDuplicate filing
Jul 25, 2024Class A Common StockCConversionDisposed−81,838$0.00$01,795,818IndirectDuplicate filing
Jul 25, 2024Class A Common StockCConversionDisposed−39,720$0.00$0871,604IndirectDuplicate filing
Jul 25, 2024Class A Common StockCConversionDisposed−278,043$0.00$06,101,222IndirectDuplicate filing
Jul 25, 2024Class A Common StockCConversionDisposed−373,599$0.00$08,198,040IndirectDuplicate filing
Jul 25, 2024Class A Common StockCConversionDisposed−55,990$0.00$01,228,626IndirectDuplicate filing
Jul 25, 2024Class A Common StockCConversionDisposed−59,582$0.00$01,307,452IndirectDuplicate filing

Footnotes and remarks

Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.

F2

The Class D Common Stock is convertible at any time, at the holder's election, into Class A Common Stock on a one-for-one basis. Each outstanding share of Class D Common Stock will automatically convert into one share of the Issuer's Class A Common Stock on the first trading day following the seventh anniversary of the Issuer's initial public offering.

Referenced by the price of 10 transactions in Table I.

F18

This amount represents the $20.00 secondary public offering price per share of Class A Common Stock less the underwriting discount of $1.15 per share.

Referenced by the price of 10 transactions in Table I.

F19

The Issuer used a portion of the net proceeds from the closing of its initial public offering of Class A Common Stock to purchase Common Units from certain of the Issuer's pre-initial public offering equityholders, including KKR Dream Holdings LLC, at a price of $18.85 per Common Unit.

Referenced by the price of 1 transaction in Table II.

Remarks

Because no more than 10 reporting persons can file any one Form 4 through the Securities and Exchange Commission's EDGAR system, certain affiliates of the Reporting Persons have filed a separate Form 4.

Read the full filing on SEC EDGAR (opens in a new tab)