0001140361-21-036906.txt : 20211108
0001140361-21-036906.hdr.sgml : 20211108
20211108061723
ACCESSION NUMBER: 0001140361-21-036906
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20211105
FILED AS OF DATE: 20211108
DATE AS OF CHANGE: 20211108
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: KRAVIS HENRY R
CENTRAL INDEX KEY: 0001081714
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-55832
FILM NUMBER: 211386407
MAIL ADDRESS:
STREET 1: C/O KOHLBERG KRAVIS ROBERTS & CO. L.P.
STREET 2: 30 HUDSON YARDS
CITY: NEW YORK
STATE: NY
ZIP: 10001
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ROBERTS GEORGE R
CENTRAL INDEX KEY: 0001081715
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-55832
FILM NUMBER: 211386406
MAIL ADDRESS:
STREET 1: C/O KOHLBERG KRAVIS ROBERTS & CO. L.P.
STREET 2: 2800 SAND HILL ROAD
CITY: MENLO PARK
STATE: CA
ZIP: 94025
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: KKR & Co. Inc.
CENTRAL INDEX KEY: 0001404912
STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282]
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-55832
FILM NUMBER: 211386409
BUSINESS ADDRESS:
STREET 1: 30 HUDSON YARDS
CITY: NEW YORK
STATE: NY
ZIP: 10001
BUSINESS PHONE: 212-750-8300
MAIL ADDRESS:
STREET 1: 30 HUDSON YARDS
CITY: NEW YORK
STATE: NY
ZIP: 10001
FORMER NAME:
FORMER CONFORMED NAME: KKR & Co. L.P.
DATE OF NAME CHANGE: 20070627
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: KKR Management LLP
CENTRAL INDEX KEY: 0001472694
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-55832
FILM NUMBER: 211386408
BUSINESS ADDRESS:
STREET 1: C/O KOHLBERG KRAVIS ROBERTS & CO. L.P.
STREET 2: 30 HUDSON YARDS
CITY: NEW YORK
STATE: NY
ZIP: 10001
BUSINESS PHONE: 212-230-9742
MAIL ADDRESS:
STREET 1: C/O KOHLBERG KRAVIS ROBERTS & CO. L.P.
STREET 2: 30 HUDSON YARDS
CITY: NEW YORK
STATE: NY
ZIP: 10001
FORMER NAME:
FORMER CONFORMED NAME: KKR Management LLC
DATE OF NAME CHANGE: 20090921
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: KKR Phorm Investors GP LLC
CENTRAL INDEX KEY: 0001806572
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-55832
FILM NUMBER: 211386412
BUSINESS ADDRESS:
STREET 1: C/O KOHLBERG KRAVIS ROBERTS & CO. L.P.
STREET 2: 30 HUDSON YARDS
CITY: NEW YORK
STATE: NY
ZIP: 10001
BUSINESS PHONE: 212-230-9742
MAIL ADDRESS:
STREET 1: C/O KOHLBERG KRAVIS ROBERTS & CO. L.P.
STREET 2: 30 HUDSON YARDS
CITY: NEW YORK
STATE: NY
ZIP: 10001
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: KKR Group Partnership L.P.
CENTRAL INDEX KEY: 0001472698
STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282]
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-55832
FILM NUMBER: 211386411
BUSINESS ADDRESS:
STREET 1: C/O KOHLBERG KRAVIS ROBERTS & CO. L.P.
STREET 2: 30 HUDSON YARDS
CITY: NEW YORK
STATE: NY
ZIP: 10001
BUSINESS PHONE: 212-230-9742
MAIL ADDRESS:
STREET 1: C/O KOHLBERG KRAVIS ROBERTS & CO. L.P.
STREET 2: 30 HUDSON YARDS
CITY: NEW YORK
STATE: NY
ZIP: 10001
FORMER NAME:
FORMER CONFORMED NAME: KKR Fund Holdings L.P.
DATE OF NAME CHANGE: 20090921
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: KKR Group Holdings Corp.
CENTRAL INDEX KEY: 0001743754
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-55832
FILM NUMBER: 211386410
BUSINESS ADDRESS:
STREET 1: C/O KOHLBERG KRAVIS ROBERTS & CO. L.P.
STREET 2: 30 HUDSON YARDS
CITY: NEW YORK
STATE: NY
ZIP: 10001
BUSINESS PHONE: 212-230-9742
MAIL ADDRESS:
STREET 1: C/O KOHLBERG KRAVIS ROBERTS & CO. L.P.
STREET 2: 30 HUDSON YARDS
CITY: NEW YORK
STATE: NY
ZIP: 10001
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: KKR Phorm Investors L.P.
CENTRAL INDEX KEY: 0001806548
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-55832
FILM NUMBER: 211386413
BUSINESS ADDRESS:
STREET 1: C/O KOHLBERG KRAVIS ROBERTS & CO. L.P.
STREET 2: 30 HUDSON YARDS
CITY: NEW YORK
STATE: NY
ZIP: 10001
BUSINESS PHONE: 212-230-9742
MAIL ADDRESS:
STREET 1: C/O KOHLBERG KRAVIS ROBERTS & CO. L.P.
STREET 2: 30 HUDSON YARDS
CITY: NEW YORK
STATE: NY
ZIP: 10001
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Transphorm, Inc.
CENTRAL INDEX KEY: 0001715768
STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674]
IRS NUMBER: 821858829
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0331
BUSINESS ADDRESS:
STREET 1: 75 CASTILIAN DRIVE
CITY: GOLETA
STATE: CA
ZIP: 93117
BUSINESS PHONE: 805-456-1300
MAIL ADDRESS:
STREET 1: 75 CASTILIAN DRIVE
CITY: GOLETA
STATE: CA
ZIP: 93117
FORMER COMPANY:
FORMER CONFORMED NAME: Peninsula Acquisition Corp
DATE OF NAME CHANGE: 20170829
4
1
form4.xml
FORM 4
X0306
4
2021-11-05
0001715768
Transphorm, Inc.
NONE
0001806548
KKR Phorm Investors L.P.
C/O KOHLBERG KRAVIS ROBERTS & CO. L.P.
30 HUDSON YARDS
NEW YORK
NY
10001
true
0001806572
KKR Phorm Investors GP LLC
C/O KOHLBERG KRAVIS ROBERTS & CO. L.P.
30 HUDSON YARDS
NEW YORK
NY
10001
true
0001472698
KKR Group Partnership L.P.
C/O KOHLBERG KRAVIS ROBERTS & CO. L.P.
30 HUDSON YARDS
NEW YORK
NY
10001
true
0001743754
KKR Group Holdings Corp.
C/O KOHLBERG KRAVIS ROBERTS & CO. L.P.
30 HUDSON YARDS
NEW YORK
NY
10001
true
0001404912
KKR & Co. Inc.
C/O KOHLBERG KRAVIS ROBERTS & CO. L.P.
30 HUDSON YARDS
NEW YORK
NY
10001
true
0001472694
KKR Management LLP
C/O KOHLBERG KRAVIS ROBERTS & CO. L.P.
30 HUDSON YARDS
NEW YORK
NY
10001
true
0001081714
KRAVIS HENRY R
C/O KOHLBERG KRAVIS ROBERTS & CO. L.P.
30 HUDSON YARDS
NEW YORK
NY
10001
true
0001081715
ROBERTS GEORGE R
C/O KOHLBERG KRAVIS ROBERTS & CO. L.P.
2800 SAND HILL ROAD, SUITE 200
MENLO PARK
CA
94025
true
Common Stock
2021-11-05
4
P
0
1000000
5
A
22175980
I
See footnotes
Warrant (Right to Buy)
6
2021-11-05
4
P
0
208333
A
2024-11-05
Common Stock
208333
208333
I
See footnotes
Contractual Right to Purchase
5
2021-11-05
4
P
0
500000
A
2024-11-05
Common Stock
500000
500000
I
See footnotes
Contractual Right to Purchase Warrant (Right to Buy)
2021-11-05
4
P
0
104167
A
2024-11-05
Common Stock
104167
104167
I
See footnotes
On November 5, 2021, KKR Phorm Investors L.P. entered into a securities purchase agreement (the "Agreement") with Transphorm, Inc. (the "Issuer") pursuant to which it (i) purchased 1,000,000 shares of Common Stock of the Issuer, and received a warrant to purchase 208,333 shares of Common Stock at an exercise price of $6.00 per share, for an aggregate purchase price of $5,000,000 (the "First Closing Securities"), and (ii) was granted the right to purchase an additional 500,000 shares of Common Stock and receive an additional warrant to purchase 104,167 shares of Common Stock at an exercise price of $6.00 per share, for an aggregate additional purchase price of $2,500,000 (the "Second Closing Securities").
The right to purchase the Second Closing Securities will expire on the earlier of (i) November 5, 2024, (ii) a Change in Control (as defined in the Securities Purchase Agreement), or (iii) the 90th day following the later of (A) the date on which a registration statement registering the resale of the shares of Common Stock purchased as part of the First Closing Securities is declared effective by the Securities and Exchange Commission, or (B) the date on which the Common Stock is first listed on Nasdaq.
The securities reported herein are held by KKR Phorm Investors L.P. KKR Phorm Investors GP LLC is the general partner of KKR Phorm Investors L.P., KKR Group Partnership L.P. is the sole member of KKR Phorm Investors GP LLC, KKR Group Holdings Corp. is the general partner of KKR Group Partnership L.P., KKR & Co. Inc. is the sole shareholder of KKR Group Holdings Corp., KKR Management LLP is the Series I preferred stockholder of KKR & Co. Inc., and Messrs. Henry R. Kravis and George R. Roberts are the founding partners of KKR Management LLP.
Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's pecuniary interest therein. The filing of this statement shall not be deemed to be an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of any securities reported herein.
KKR PHORM INVESTORS L.P. By: KKR Phorm Investors GP LLC, its general partner By: /s/ Terence P. Gallagher Name: Terence P. Gallagher Title: Vice President, Finance
2021-11-08
KKR PHORM INVESTORS GP LLC By: /s/ Terence P. Gallagher Name: Terence P. Gallagher Title: Vice President, Finance
2021-11-08
KKR GROUP PARTNERSHIP L.P. By: KKR Group Holdings Corp., its general partner By: /s/ Terence P. Gallagher Name: Terence P. Gallagher Title: Attorney-in-fact for Robert H. Lewin, Chief Financial Officer
2021-11-08
KKR GROUP HOLDINGS CORP. By: /s/ Terence P. Gallagher Name: Terence P. Gallagher Title: Attorney-in-fact for Robert H. Lewin, Chief Financial Officer
2021-11-08
KKR & CO. INC. By: /s/ Terence P. Gallagher Name: Terence P. Gallagher Title: Attorney-in-fact for Robert H. Lewin, Chief Financial Officer
2021-11-08
KKR MANAGEMENT LLP By: /s/ Terence P. Gallagher Name: Terence P. Gallagher Title: Attorney-in-fact for Robert H. Lewin, Chief Financial Officer
2021-11-08
HENRY R. KRAVIS By: /s/ Terence P. Gallagher Name: Terence P. Gallagher Title: Attorney-in-fact
2021-11-08
GEORGE R. ROBERTS By: /s/ Terence P. Gallagher Name: Terence P. Gallagher Title: Attorney-in-fact
2021-11-08