0001209191-21-014293.txt : 20210225 0001209191-21-014293.hdr.sgml : 20210225 20210225161001 ACCESSION NUMBER: 0001209191-21-014293 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210223 FILED AS OF DATE: 20210225 DATE AS OF CHANGE: 20210225 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Humphreys Michael Julian CENTRAL INDEX KEY: 0001828021 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-55832 FILM NUMBER: 21680390 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] IRS NUMBER: 821858829 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 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 2021-02-23 0 0001715768 Transphorm, Inc. TGAN 0001828021 Humphreys Michael Julian C/O TRANSPHORM, INC. 75 CASTILIAN DRIVE GOLETA CA 93117 1 0 0 0 Common Stock 2021-02-23 4 A 0 35000 0.00 A 35000 D Stock Option (right to buy) 6.50 2021-02-23 4 A 0 55000 0.00 A 2021-10-14 2031-02-23 Common Stock 55000 55000 D Each share is represented by a Restricted Stock Unit ("RSU"). One-fourth (1/4) of the RSUs will vest on October 14, 2021, and the remaining shares will vest in equal quarterly installments over the following three years, subject to the Reporting Person's continued service as of each such vesting date. One-fourth (1/4) of the shares subject to the option will vest on October 14, 2021, and the remaining shares will vest in equal quarterly installments over the following three years, subject to the Reporting Person's continued service as of each such vesting date. /s/ Cameron McAulay, Attorney-in-Fact 2021-02-25