0001209191-21-070240.txt : 20211217 0001209191-21-070240.hdr.sgml : 20211217 20211217160748 ACCESSION NUMBER: 0001209191-21-070240 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211215 FILED AS OF DATE: 20211217 DATE AS OF CHANGE: 20211217 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RIVAS MARIO CENTRAL INDEX KEY: 0001382883 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-55832 FILM NUMBER: 211501571 MAIL ADDRESS: STREET 1: 141 MT. BETHEL ROAD CITY: WARREN STATE: NJ ZIP: 07059 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 X0306 4 2021-12-15 0 0001715768 Transphorm, Inc. TGAN 0001382883 RIVAS MARIO C/O TRANSPHORM, INC. 75 CASTILIAN DRIVE GOLETA CA 93117 1 1 0 0 Chief Executive Officer Common Stock 2021-12-15 4 A 0 28000 0.00 A 133620 D Stock Option (right to buy) 7.99 2021-12-15 4 A 0 42000 0.00 A 2022-11-15 2031-12-15 Common Stock 42000 42000 D Each share is represented by a Restricted Stock Unit ("RSU"). One third (1/3) of the RSUs will vest on each of November 15, 2022, November 15, 2023 and November 15, 2024, in each case subject to the Reporting Person's continued status as a Service Provider to the Issuer through each vesting date. One-third (1/3) of the shares subject to the option will vest on November 15, 2022, and the remaining shares vest in equal monthly installments over the following 24 months, subject to the Reporting Person's continued service as of each such vesting date. /s/ Cameron McAulay, Attorney-in-Fact 2021-12-17