SAMPLE K UNIT PURCHASE NOT A VALID K-1 KKR CO LP 9 WEST 57TH STREET SUITE 4200 NEW YORK, NY 10019

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1 SAMPLE K-1-1 UNIT PURCHASE NOT A VALID K-1 KKR CO LP 9 WEST 57TH STREET SUITE 42 NEW YORK, NY 119 Account Number:

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4 Schedule K-1 (Form 165) 217 Department of the Treasury Internal Revenue Service For calendar year 217, or tax year beginning / / 217 ending / / Partner s Share of Income, Deductions, Credits, etc. See back of form and separate instructions. A B C D E F G Part I Information About the Partnership Partnership s employer identification number Partnership s name, address, city, state, and ZIP code KKR & CO L.P. 6.75% SERIES A PREFERRED UNITS Final K-1 Amended K-1 IRS Center where partnership filed return 7 Royalties e-file 575 X Check if this is a publicly traded partnership (PTP) 8 Net short-term capital gain (loss) Part II Information About the Partner Partner s identifying number Partner s name, address, city, state, and ZIP code SAMPLE K-1-1 UNIT PURCHASE 9c Unrecaptured section 125 gain NOT A VALID K-1 KKR CO LP WEST 57TH STREET 1 Net section 1231 gain (loss) SUITE 42 NEW YORK, NY General partner or LLC X Limited partner or other LLC 11 Other income (loss) member-manager member H Domestic partner Foreign partner I1 I2 J K If this partner is a retirement plan (IRA/SEP/Keogh/etc.), check here Partner s share of profit, loss, and capital (see instructions): Beginning Ending Profit % % Loss % % Capital % % Partner s share of liabilities at year end: Nonrecourse $ Qualified nonrecourse financing. $ Recourse $ Part III OMB No Partner s Share of Current Year Income, Deductions, Credits, and Other Items 1 Ordinary business income (loss) 2 Net rental real estate income (loss) 3 Other net rental income (loss) 4 Guaranteed payments 5 Interest income 6a 9a 9b Ordinary dividends Net long-term capital gain (loss) Collectibles (28%) gain (loss) 14 Self-employment earnings (loss) 15 Credits 1,115 O 7 16 Foreign transactions 44 A VARIOUS B 16,666 4,831 C 8,229 9 WEST 57TH STREET SUITE 42 7,251 D 3,42 NEW YORK, NY 119 6b Qualified dividends 3,1 17 Alternative minimum tax (AMT) items D 2,2 18 Tax-exempt income and nondeductible expenses A A 12 X B 29 E 113 What type of entity is this partner? Individual F* 2,32 19 Distributions 12 Section 179 deduction A 16, Other deductions T* STMT Other information A 12,777 T* STMT V* STMT L M Partner s capital account analysis: Beginning capital account... $ 268,599 Capital contributed during the year $ Current year increase (decrease). $ 16,876 Withdrawals & distributions.. $ ( ) Ending capital account.... $ X Tax basis GAAP Section 74(b) book Other (explain) Did the partner contribute property with a built-in gain or loss? Yes X No If Yes, attach statement (see instructions) 16, ,6 * STMT *See attached statement for additional information. For IRS Use Only For Paperwork Reduction Act Notice, see Instructions for Form Cat. No R Schedule K-1 (Form 165) 217

5 Schedule K-1 (Form 165) 217 Page 2 This list identifies the codes used on Schedule K-1 for all partners and provides summarized reporting information for partners who file Form 14. For detailed reporting and filing information, see the separate Partner s Instructions for Schedule K-1 and the instructions for your income tax return. 1. Ordinary business income (loss). Determine whether the income (loss) is Code } Report on passive or nonpassive and enter on your return as follows. L Empowerment zone Report on employment credit Passive loss M Credit for increasing research Passive income Schedule E, line 28, column (g) activities Nonpassive loss See the Partner's Instructions N Credit for employer social Nonpassive income Schedule E, line 28, column (j) security and Medicare taxes 2. Net rental real estate income (loss) O Backup withholding 3. Other net rental income (loss) P Other credits Net income Schedule E, line 28, column (g) Net loss 4. Guaranteed payments Schedule E, line 28, column (j) 5. Interest income Form 14, line 8a 6a. Ordinary dividends Form 14, line 9a 6b. Qualified dividends Form 14, line 9b 7. Royalties Schedule E, line 4 8. Net short-term capital gain (loss) Schedule D, line 5 9a. Net long-term capital gain (loss) Schedule D, line 12 9b. Collectibles (28%) gain (loss) 28% Rate Gain Worksheet, line 4 (Schedule D instructions) 9c. Unrecaptured section 125 gain 1. Net section 1231 gain (loss) 11. Other income (loss) Code A Other portfolio income (loss) B Involuntary conversions C Sec contracts & straddles Form 6781, line 1 D Mining exploration costs recapture See Pub. 535 E Cancellation of debt Form 14, line 21 or Form 982 F Other income (loss) 12. Section 179 deduction 13. Other deductions A Cash contributions (5%) B Cash contributions (3%) C Noncash contributions (5%) D Noncash contributions (3%) }See the Partner s E Capital gain property to a 5% Instructions organization (3%) F Capital gain property (2%) G Contributions (1%) H Investment interest expense Form 4952, line 1 I Deductions royalty income Schedule E, line 19 J Section 59(e)(2) expenditures K Deductions portfolio (2% floor) Schedule A, line 23 L Deductions portfolio (other) Schedule A, line 28 M Amounts paid for medical insurance Schedule A, line 1 or Form 14, line 29 N Educational assistance benefits O Dependent care benefits Form 2441, line 12 P Preproductive period expenses Q Commercial revitalization deduction from rental real estate activities See Form 8582 instructions R Pensions and IRAs S Reforestation expense deduction T Domestic production activities information See Form 893 instructions U Qualified production activities income Form 893, line 7b V Employer s Form W-2 wages Form 893, line 17 W Other deductions 14. Self-employment earnings (loss) Note: If you have a section 179 deduction or any partner-level deductions, see the Partner s Instructions before completing Schedule SE. A Net earnings (loss) from self-employment Schedule SE, Section A or B B Gross farming or fishing income C Gross non-farm income } 15. Credits A Low-income housing credit (section 42(j)(5)) from pre-28 buildings B Low-income housing credit (other) from pre-28 buildings C Low-income housing credit (section 42(j)(5)) from post-27 buildings D Low-income housing credit (other) from post-27 buildings E Qualified rehabilitation expenditures (rental real estate) F Other rental real estate credits G Other rental credits H Undistributed capital gains credit Form 14, line 73; check box a I Biofuel producer credit J Work opportunity credit See the Partner's Instructions K Disabled access credit } 16. Foreign transactions A Name of country or U.S. possession B Gross income from all sources }Form 1116, Part I C Gross income sourced at partner level Foreign gross income sourced at partnership level D Passive category E General category Form 1116, Part I F Other } Deductions allocated and apportioned at partner level G Interest expense Form 1116, Part I H Other Form 1116, Part I Deductions allocated and apportioned at partnership level to foreign source income I Passive category J General category Form 1116, Part I K Other } Other information L Total foreign taxes paid Form 1116, Part II M Total foreign taxes accrued Form 1116, Part II N Reduction in taxes available for credit Form 1116, line 12 O Foreign trading gross receipts Form 8873 P Extraterritorial income exclusion Form 8873 Q Other foreign transactions 17. Alternative minimum tax (AMT) items } A Post-1986 depreciation adjustment B Adjusted gain or loss See the Partner s C Depletion (other than oil & gas) Instructions and D Oil, gas, & geothermal gross income the Instructions for E Oil, gas, & geothermal deductions Form 6251 F Other AMT items 18. Tax-exempt income and nondeductible expenses A Tax-exempt interest income Form 14, line 8b B Other tax-exempt income C Nondeductible expenses 19. Distributions A Cash and marketable securities B Distribution subject to section 737 C Other property } 2. Other information A Investment income Form 4952, line 4a B Investment expenses Form 4952, line 5 C Fuel tax credit information Form 4136 D Qualified rehabilitation expenditures (other than rental real estate) E Basis of energy property F Recapture of low-income housing credit (section 42(j)(5)) Form 8611, line 8 G Recapture of low-income housing credit (other) Form 8611, line 8 H Recapture of investment credit See Form 4255 I Recapture of other credits J Look-back interest completed long-term contracts See Form 8697 K Look-back interest income forecast method See Form 8866 L Dispositions of property with section 179 deductions M Recapture of section 179 deduction N Interest expense for corporate partners O Section 453(l)(3) information P Section 453A(c) information Q Section 126(b) information R Interest allocable to production expenditures S CCF nonqualified withdrawals T Depletion information oil and gas U Reserved V Unrelated business taxable income W Precontribution gain (loss) X Section 18(i) information Y Net investment income Z Other information }See the Partner s Instructions

6 SAMPLE K-1-1 UNIT PURCHASE Individual Line # Description KKR & Co. L.P. KKR Financial Holdings LLC 1 Ordinary Business Income/(Loss) 1,115 2 Rental Real Estate Income/(Loss) 7 3 Other Rental Income/(Loss) Interest Income 4, a Ordinary Dividends 5,624 1,627 6b Qualified Dividends 3,3 7 7 Royalties c Unrecaptured Sec. 125 Gain/(Loss) Section 1231 Gain/(Loss) a Other Portfolio Income/(Loss) e Cancellation of Debt f Other Income/(Loss) 1, t1 DPGR Gross Receipts - Oil Related 1, t3 Gross Receipts - All Sources 1,446 2,888 15o Other Backup Withholding 16b Gross Income from All Sources 13,638 3,28 16c Gross Income Sourced at Partner Level 7, d Passive Category Foreign Source Income 2, d Oil, Gas & Geothermal - Gross Income 1, a Tax-Exempt Interest Income 18b Other Tax-Exempt Income 29 2a Investment Income 1,432 2,345 2t1 Total Sustained Depletion - Working 162 2t2 Partner's Share of Production Quantity - Working 18 2t4 Percentage Depletion in Excess of Cost - Working 162 2t5 Percentage Depletion in Excess of Basis - Working 162 2t6 Total Sustained Depletion - Royalty 5 3 2t7 Partner's Share of Production Quantity - Royalty 1 3 2t9 Percentage Depletion in Excess of Cost - Royalty 5 3 2t1 Percentage Depletion in Excess of Basis - Royalty 5 3

7 1 SAMPLE K-1-1 UNIT PURCHASE Individual DESCRIPTION TRANSACTION DATE BROKER OR CERTIFICATE NUMBER UNITS AC BUY 8/1/216 MAN 1,. END OF YEAR UNITS 1,.

8 SAMPLE K-1-1 UNIT PURCHASE Individual KKR & Co. L.P. EIN STATE INFORMATION (Due to rounding and other federal and State differences, State totals may not agree to federal totals) (You may be required to file a tax return with the states listed below. Please consult your tax advisor.) STATE (1) ORDINARY INCOME OR LOSS (-) (2) RENTAL REAL ESTATE INCOME OR LOSS (-) (3) OTHER RENTAL INCOME OR LOSS (-) (4) ROYALTY INCOME OR LOSS (-) (5) DEPLETION INFORMATION AR CA CO GA IL KS KY LA MD MI MS MT ND NE NM NY OH OK OR PA UT VA WV

9 SAMPLE K-1-1 UNIT PURCHASE Individual KKR FINANCIAL HOLDINGS LLC EIN STATE INFORMATION (Due to rounding and other federal and State differences, State totals may not agree to federal totals) (You may be required to file a tax return with the states listed below. Please consult your tax advisor.) STATE (1) ORDINARY INCOME OR LOSS (-) (2) RENTAL REAL ESTATE INCOME OR LOSS (-) (3) OTHER RENTAL INCOME OR LOSS (-) (4) ROYALTY INCOME OR LOSS (-) (5) DEPLETION INFORMATION AR CA CO GA IL KS KY LA MD MI MS MT ND NE NM NY OH OK OR PA UT VA WV

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