Mr. Cooper Group Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 24 rows, 24 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2021-08-02: Reporting owner KKR Group Holdings Corp. | KKR Group Partnership L.P. | Harrington Christopher J | ROBERTS GEORGE R | Greene Simon | KKR & Co. Inc. | KKR Management LLP | KRAVIS HENRY R; Form 4; Security Series A Convertible Preferred Stock; Transaction S Open market or private sale of non-derivative or derivative security.
- 2021-08-02: Reporting owner KKR Wand Investors L.P. | KKR Wand Holdings Corp | KKR Wand Investors Corp | KKR Wand GP LLC; Form 4; Security Series A Convertible Preferred Stock; Transaction S Open market or private sale of non-derivative or derivative security.
- 2020-11-20: Reporting owner Greene Simon; Form 3; Security Series A Convertible Preferred Stock; Transaction Holding.
- 2019-12-31: Reporting owner Livingston Jeffrey; Form 3; Security Series A Convertible Preferred Stock; Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2021-08-02 | KKR Group Holdings Corp. | KKR Group Partnership L.P. | Harrington Christopher J | ROBERTS GEORGE R | Greene Simon | KKR & Co. Inc. | KKR Management LLP | KRAVIS HENRY R 10% Owner | Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnotes | S Open market or private sale of non-derivative or derivative security | −1,000,000 0 owned after | $27.89 | 2021-08-03 | |
| 2021-08-02 | KKR Wand Investors L.P. | KKR Wand Holdings Corp | KKR Wand Investors Corp | KKR Wand GP LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnotes | S Open market or private sale of non-derivative or derivative security | −1,000,000 0 owned after | $27.89 | 2021-08-03 | |
| 2020-11-20 holding as of filing | Greene Simon 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnotes | Holding | $13.20 exercise price | 2020-11-20 | ||
| 2019-12-31 holding as of filing | Livingston Jeffrey 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnotes | Holding | $13.20 exercise price | 2019-12-31 | ||
| 2018-07-31 | KRAVIS HENRY R | KKR & Co. Inc. | Harrington Christopher J | ROBERTS GEORGE R | KKR Group Holdings Corp. | KKR Wand Holdings Corp | Olson Tagar | KKR Management LLC | KKR Fund Holdings GP Ltd | KKR Fund Holdings L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −200,000 0 owned after | $1.35 exercise price | 2018-08-02 | |
| 2018-07-02 holding as of filing | KKR Group Holdings Corp. 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnotes | Holding | $1.10 exercise price | 2018-07-02 | ||
| 2018-07-02 holding as of filing | KKR Group Holdings Corp. 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnotes | Holding | $1.35 exercise price | 2018-07-02 | ||
| 2018-07-01 | KKR Group Ltd | KKR Group Holdings L.P. 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | −10,065,629 0 owned after | $1.10 exercise price | 2018-07-02 | |
| 2018-07-01 | KKR Group Ltd | KKR Group Holdings L.P. 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | −200,000 0 owned after | $1.35 exercise price | 2018-07-02 | |
| 2018-02-15 holding as of filing | KKR Wand Holdings Corp 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | $1.10 exercise price | 2018-02-15 | ||
| 2018-01-05 | KKR Group Holdings L.P. | ROBERTS GEORGE R | KKR & Co. L.P. | KKR Management LLC | KKR Fund Holdings GP Ltd | KKR Group Ltd | KKR Fund Holdings L.P. | KRAVIS HENRY R 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | −200,000 0 owned after | $1,000.00 | 2018-01-09 | |
| 2018-01-05 | KKR Group Holdings L.P. | ROBERTS GEORGE R | KKR & Co. L.P. | KKR Management LLC | KKR Fund Holdings GP Ltd | KKR Group Ltd | KKR Fund Holdings L.P. | KRAVIS HENRY R 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnotes | J Other acquisition or disposition (describe transaction) | +200,000 200,000 owned after | $1,000.00 | 2018-01-09 | |
| 2015-01-07 holding as of filing | KKR Management LLC | KKR Fund Holdings GP Ltd | KRAVIS HENRY R | KKR Group Ltd | KKR Group Holdings L.P. | ROBERTS GEORGE R | KKR Fund Holdings L.P. | KKR & Co. L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnotes | Holding | $1.10 exercise price | 2015-01-07 | ||
| 2015-01-05 | KKR & Co. L.P. | KKR Management LLC | KKR Group Ltd | KRAVIS HENRY R | KKR Fund Holdings GP Ltd | KKR Fund Holdings L.P. | ROBERTS GEORGE R | KKR Group Holdings L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | 3% Series B Convertible Preferred Stock Derivative · Indirect · See Footnotes | P Open market or private purchase of non-derivative or derivative security | +200,000 200,000 owned after | $1,000.00 | 2015-01-07 | |
| 2008-07-02 holding as of filing | TPG Olympic Advisors, Inc. | COULTER JAMES G | TPG Advisors VI, Inc. 10% Owner | 10% Owner | 10% Owner | 3 | Series T Preferred Stock Derivative · Indirect · See Explanation of Responses | Holding | $8.75 exercise price | 2008-07-02 | ||
| 2008-07-02 holding as of filing | TPG Olympic Advisors, Inc. | COULTER JAMES G | TPG Advisors VI, Inc. 10% Owner | 10% Owner | 10% Owner | 3 | Series T Preferred Stock Derivative · Indirect · See Explanation of Responses | Holding | $8.75 exercise price | 2008-07-02 | ||
| 2008-06-30 | BONDERMAN DAVID Director, 10% Owner | 4 | Series T Preferred Stock Derivative · Indirect · See Explanation of Responses | C Conversion of derivative security | −28 19,900 owned after | $8.75 exercise price | 2008-07-02 | |
| 2008-06-30 | BONDERMAN DAVID Director, 10% Owner | 4 | Series T Preferred Stock Derivative · Indirect · See Explanation of Responses | C Conversion of derivative security | −19,900 0 owned after | $8.75 exercise price | 2008-07-02 | |
| 2008-06-30 | TPG Olympic Advisors, Inc. | COULTER JAMES G | TPG Advisors VI, Inc. 10% Owner | 10% Owner | 10% Owner | 4 | Series T Preferred Stock Derivative · Indirect · See Explanation of Responses | C Conversion of derivative security | −28 19,900 owned after | $8.75 exercise price | 2008-07-02 | |
| 2008-06-30 | TPG Olympic Advisors, Inc. | COULTER JAMES G | TPG Advisors VI, Inc. 10% Owner | 10% Owner | 10% Owner | 4 | Series T Preferred Stock Derivative · Indirect · See Explanation of Responses | C Conversion of derivative security | −19,900 0 owned after | $8.75 exercise price | 2008-07-02 | |
| 2008-06-24 | BONDERMAN DAVID Director, 10% Owner | 4 | Series T Preferred Stock Derivative · Indirect · See Explanation of Responses | J Other acquisition or disposition (describe transaction) | +28 28 owned after | $8.75 exercise price | 2008-06-26 | |
| 2008-06-24 | BONDERMAN DAVID Director, 10% Owner | 4 | Series T Preferred Stock Derivative · Indirect · See Explanation of Responses | J Other acquisition or disposition (describe transaction) | +19,900 19,928 owned after | $8.75 exercise price | 2008-06-26 | |
| 2008-04-23 holding as of filing | BONDERMAN DAVID Director | 3 | Series T Preferred Stock Non-derivative · Indirect · (m) | Holding | 28 owned after | no price filed | 2008-04-23 | |
| 2008-04-21 | BONDERMAN DAVID Director | 4 | Series T Preferred Stock Non-derivative · Indirect · See Explanation of Responses | P Open market or private purchase of non-derivative or derivative security | +19,900 19,928 owned after | $100,000.00 | 2008-04-23 |