0001970051-24-000011.txt : 20240125 0001970051-24-000011.hdr.sgml : 20240125 20240125145119 ACCESSION NUMBER: 0001970051-24-000011 CONFORMED SUBMISSION TYPE: 144 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20240125 DATE AS OF CHANGE: 20240125 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: 144 SEC ACT: 1933 Act SEC FILE NUMBER: 001-41295 FILM NUMBER: 24561539 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 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: MCFARLAND KATHARINA G. CENTRAL INDEX KEY: 0001711062 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 144 MAIL ADDRESS: STREET 1: 4803 STONECROFT BOULEVARD CITY: CHANTILLY STATE: VA ZIP: 20151 144 1 primary_doc.xml 144 0001711062 XXXXXXXX LIVE 0001715768 Transphorm, Inc. 001-41295 75 CASTILIAN DRIVE GOLETA CA 93117 805-456-1300 MCFARLAND KATHARINA G. Director COMMON STOCK MAXIM GROUP

300 PARK AVE 16TH FLOOR NEW YORK NY 10010

833 4015.06 61960000 01/24/2024 NASDAQ Common Stock 10/11/2023 RSU Common Stock TRANSPHORM, INC. N 833 10/11/2023 COMPENSATORY PAYMENT N Katharina McFarland

75 CASTILIAN DRIVE GOLETA CA 93117

COMMON STOCK 11/20/2023 3515 10545.00 Katharina McFarland

75 CASTILIAN DRIVE GOLETA CA 93117

Common Stock 11/22/2023 3995 10786.50 01/24/2024 08/17/2023 KATHARINA G. MCFARLAND