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Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1715768	Transphorm Inc.	TGAN	()	4

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1081714	R Henry Kravis	30 Hudson Yards New York NY 10001	No	No	No	No
1081715	R George Roberts	2800 Sand Hill Road, Suite 200 Menlo Park CA 94025	No	No	No	No
1404912	Kkr & Co. Inc.	30 Hudson Yards New York NY 10001	No	No	No	No
1472694	Llp Management Kkr	30 Hudson Yards New York NY 10001	No	No	No	No
1472698	L.p. Partnership Group Kkr	30 Hudson Yards New York NY 10001	No	No	No	No
1743754	Kkr Group Holdings Corp.	30 Hudson Yards New York NY 10001	No	No	No	No
1806548	L.p. Investors Phorm Kkr	30 Hudson Yards New York NY 10001	No	No	No	No
1806572	Kkr Phorm Investors Gp Llc	30 Hudson Yards New York NY 10001	No	No	No	No
1932162	Kkr Group Co. Inc.	30 Hudson Yards New York NY 10001	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	2023-07-21	1,735,988	$3.30	24,411,968	No	4	P	Indirect	See footnotes

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	See footnotes

Footnotes

Shares of common stock, $0.0001 par value (the "Common Stock") of Transphorm, Inc. (the "Issuer") issued pursuant to a pro rata subscription rights offering (the "Rights Offering"), which entitled all holders of Common Stock to purchase 0.07655623 of a share of the Issuer's Common Stock, for every share of Common Stock held at a subscription price of $3.30 per whole share. The Rights Offering closed on July 21, 2023.
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.