Filing Details

Accession Number:
0001140361-20-005779
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-03-13 17:07:38
Reporting Period:
2020-02-12
Accepted Time:
2020-03-13 17:07:38
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1715768 Transphorm Inc. NONE () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1081714 R Henry Kravis C/o Kohlberg Kravis Roberts & Co. L.p.
9 West 57Th Street, Suite 4200
New York NY 10019
No No No No
1081715 R George Roberts C/o Kohlberg Kravis Roberts & Co. L.p.
2800 Sand Hill Road, Suite 200
Menlo Park CA 94025
No No No No
1404912 Kkr & Co. Inc. C/o Kohlberg Kravis Roberts & Co. L.p.
9 West 57Th Street, Suite 4200
New York NY 10019
No No No No
1472694 Llp Management Kkr C/o Kohlberg Kravis Roberts & Co. L.p.
9 West 57Th Street, Suite 4200
New York NY 10019
No No No No
1472698 L.p. Partnership Group Kkr C/o Kohlberg Kravis Roberts & Co. L.p.
9 West 57Th Street, Suite 4200
New York NY 10019
No No No No
1743754 Kkr Group Holdings Corp. C/o Kohlberg Kravis Roberts & Co. L.p.
9 West 57Th Street, Suite 4200
New York NY 10019
No No No No
1806548 L.p. Investors Phorm Kkr C/o Kohlberg Kravis Roberts & Co. L.p.
9 West 57Th Street, Suite 4200
New York NY 10019
No No No No
1806572 Kkr Phorm Investors Gp Llc C/o Kohlberg Kravis Roberts & Co. L.p.
9 West 57Th Street, Suite 4200
New York NY 10019
No No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2020-02-12 1,250,000 $4.00 21,175,980 No 4 P Indirect See footnotes
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect See footnotes
Footnotes
  1. 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 Class B common stockholder of KKR & Co. Inc., and Messrs. Henry R. Kravis and George R. Roberts are the founding partners of KKR Management LLP.
  2. 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.