0001209191-23-056730.txt : 20231127 0001209191-23-056730.hdr.sgml : 20231127 20231127202353 ACCESSION NUMBER: 0001209191-23-056730 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231122 FILED AS OF DATE: 20231127 DATE AS OF CHANGE: 20231127 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MCFARLAND KATHARINA G. CENTRAL INDEX KEY: 0001711062 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41295 FILM NUMBER: 231441664 MAIL ADDRESS: STREET 1: 4803 STONECROFT BOULEVARD CITY: CHANTILLY STATE: VA ZIP: 20151 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 doc4.xml FORM 4 SUBMISSION X0508 4 2023-11-22 0 0001715768 Transphorm, Inc. TGAN 0001711062 MCFARLAND KATHARINA G. C/O TRANSPHORM, INC. 75 CASTILIAN DRIVE GOLETA CA 93117 1 0 0 0 1 Common Stock 2023-11-22 4 S 0 3995 2.703 D 86208 D These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 17, 2023. This sale price represents the weighted average sale price of the shares sold ranging from $2.70 to $2.76 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. /s/ Cameron McAulay, Attorney-in-Fact 2023-11-27