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