Kravis Henry R's Form 4 filing
Transphorm, Inc. (TGAN) · filed Nov 8, 2021
- Accession no.
- 0001140361-21-036906
- Filed
- Nov 8, 2021, 6:17 AM ET
- Trade date
- Nov 5, 2021
- Filing delay
- 3 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 1 non-derivative transaction and 3 derivative transactions. Open-market purchases total $5.00M. It was filed 3 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Kravis Henry RCIK 0001081714 | 10% Owner |
| Roberts George RCIK 0001081715 | 10% Owner |
| KKR & Co. Inc.CIK 0001404912 | 10% Owner |
| KKR Management LLPCIK 0001472694 | 10% Owner |
| KKR Group Partnership L.P.CIK 0001472698 | 10% Owner |
| KKR Group Holdings Corp.CIK 0001743754 | 10% Owner |
| KKR Phorm Investors L.P.CIK 0001806548 | 10% Owner |
| KKR Phorm Investors GP LLCCIK 0001806572 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 5, 2021 | Common Stock | PPurchaseAcquired | +1,000,000 | $5.00F1 | +$5,000,000 | 22,175,980 | Indirect |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 5, 2021 | Common Stock | PPurchaseAcquired | +208,333 | –F1 | – | 208,333 | Indirect | |
| Nov 5, 2021 | Common Stock | PPurchaseAcquired | +500,000 | –F1 | – | 500,000 | Indirect | |
| Nov 5, 2021 | Common Stock | PPurchaseAcquired | +104,167 | –F1 | – | 104,167 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
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").
Referenced by the price of 1 transaction in Table I and 3 transactions in Table II.