0001415889-24-010394.txt : 20240405 0001415889-24-010394.hdr.sgml : 20240405 20240405160511 ACCESSION NUMBER: 0001415889-24-010394 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240404 FILED AS OF DATE: 20240405 DATE AS OF CHANGE: 20240405 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Smales Kelly CENTRAL INDEX KEY: 0001862728 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41295 FILM NUMBER: 24826451 MAIL ADDRESS: STREET 1: 75 CASTILIAN DRIVE CITY: GOLETA STATE: CA ZIP: 93117 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Transphorm, Inc. CENTRAL INDEX KEY: 0001715768 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] ORGANIZATION NAME: 04 Manufacturing 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 form4-04052024_040402.xml X0508 4 2024-04-04 0001715768 Transphorm, Inc. TGAN 0001862728 Smales Kelly C/O TRANSPHORM, INC. 75 CASTILIAN DRIVE GOLETA CA 93117 true false false false 1 Common Stock 2024-04-04 4 S 0 766 4.9 D 72792 D These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 17, 2023. /s/ Cameron McAulay, Attorney-in-Fact 2024-04-05