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