0001209191-23-043341.txt : 20230725 0001209191-23-043341.hdr.sgml : 20230725 20230725182858 ACCESSION NUMBER: 0001209191-23-043341 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230721 FILED AS OF DATE: 20230725 DATE AS OF CHANGE: 20230725 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: 001-41295 FILM NUMBER: 231109696 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: 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 X0508 4 2023-07-21 0 0001715768 Transphorm, Inc. TGAN 0001828021 Humphreys Michael Julian C/O TRANSPHORM, INC. 75 CASTILIAN DRIVE GOLETA CA 93117 1 0 0 0 0 Common Stock 2023-07-21 4 M 0 1675 3.30 A 36675 D Subscription Rights (right to buy) 3.30 2023-07-21 4 M 0 21875 0.00 D 2023-06-25 2023-07-21 Common Stock 1675 0 D Represents Issuer common stock acquired by the reporting person following the exercise of non-transferable subscription rights distributed in connection with the Issuer's rights offering to stockholders of record on June 26, 2023, as described in the Issuer's prospectus supplement dated July 5, 2023 and the accompanying base prospectus. /s/ Cameron McAulay, Attorney-in-Fact 2023-07-25