0001140361-22-021814.txt : 20220603
0001140361-22-021814.hdr.sgml : 20220603
20220603163158
ACCESSION NUMBER: 0001140361-22-021814
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220601
FILED AS OF DATE: 20220603
DATE AS OF CHANGE: 20220603
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: 001-41295
FILM NUMBER: 22995007
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: 001-41295
FILM NUMBER: 22995006
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]
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-41295
FILM NUMBER: 22995009
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: 001-41295
FILM NUMBER: 22995008
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 Group Co. Inc.
CENTRAL INDEX KEY: 0001932162
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-41295
FILM NUMBER: 22995010
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: 212-750-8300
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: 001-41295
FILM NUMBER: 22995003
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: 001-41295
FILM NUMBER: 22995011
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: 001-41295
FILM NUMBER: 22995005
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 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: 001-41295
FILM NUMBER: 22995004
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
2022-06-01
0001715768
Transphorm, Inc.
TGAN
0001806548
KKR Phorm Investors L.P.
30 HUDSON YARDS
NEW YORK
NY
10001
true
0001806572
KKR Phorm Investors GP LLC
30 HUDSON YARDS
NEW YORK
NY
10001
true
0001472698
KKR Group Partnership L.P.
30 HUDSON YARDS
NEW YORK
NY
10001
true
0001743754
KKR Group Holdings Corp.
30 HUDSON YARDS
NEW YORK
NY
10001
true
0001932162
KKR Group Co. Inc.
30 HUDSON YARDS
NEW YORK
NY
10001
true
0001404912
KKR & Co. Inc.
30 HUDSON YARDS
NEW YORK
NY
10001
true
0001472694
KKR Management LLP
30 HUDSON YARDS
NEW YORK
NY
10001
true
0001081714
KRAVIS HENRY R
C/O KKR & CO. INC.
30 HUDSON YARDS
NEW YORK
NY
10001
true
0001081715
ROBERTS GEORGE R
C/O KKR & CO. INC.
2800 SAND HILL ROAD, SUITE 200
MENLO PARK
CA
94025
true
Common Stock
2022-06-01
4
X
0
500000
5
A
22675980
I
See footnotes
Contractual Right to Purchase
5
2022-06-01
4
X
0
500000
0
D
2022-06-03
Common Stock
500000
0
I
See footnotes
Contractual Right to Purchase Warrant (Right to Buy)
2022-06-01
4
X
0
104167
0
D
2022-06-03
Common Stock
104167
0
I
See footnotes
Warrant (Right to Buy)
6
2022-06-01
4
X
0
104167
A
2024-11-05
Common Stock
104167
312500
I
See footnotes
Pursuant to rights granted under a securities purchase agreement, KKR Phorm Investors L.P. exercised its right to purchase 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 purchase price of $2,500,000 (the "Second Closing Securities").
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 Group Co. Inc. is the sole shareholder of KKR Group Holdings Corp., KKR & Co. Inc. is the sole shareholder of KKR Group Co. Inc., 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/ Christopher Lee Name: Christopher Lee Title: Assistant Secretary
2022-06-03
KKR PHORM INVESTORS GP LLC By: /s/ Christopher Lee Name: Christopher Lee Title: Assistant Secretary
2022-06-03
KKR GROUP PARTNERSHIP L.P. By: KKR Group Holdings Corp., its general partner By: /s/ Christopher Lee Name: Christopher Lee Title: Assistant Secretary
2022-06-03
KKR GROUP HOLDINGS CORP. By: /s/ Christopher Lee Name: Christopher Lee Title: Assistant Secretary
2022-06-03
KKR GROUP CO. INC. By: /s/ Christopher Lee Name: Christopher Lee Title: Assistant Secretary
2022-06-03
KKR & CO. INC. By: /s/ Christopher Lee Name: Christopher Lee Title: Assistant Secretary
2022-06-03
KKR MANAGEMENT LLP By: /s/ Christopher Lee Name: Christopher Lee Title: Assistant Secretary
2022-06-03
HENRY R. KRAVIS By: /s/ Christopher Lee Name: Christopher Lee Title: Attorney-in-fact
2022-06-03
GEORGE R. ROBERTS By: /s/ Christopher Lee Name: Christopher Lee Title: Attorney-in-fact
2022-06-03