X0206 3 2020-02-12 0 0001715768 Transphorm, Inc. NONE 0001802707 Mishra Umesh C/O TRANSPHORM, INC. 75 CASTILIAN DRIVE GOLETA CA 93117 1 1 0 0 Chief Technology Officer Common Stock 82891 D Stock Option (right to buy) 12.43 2013-01-25 2022-01-24 Common Stock 24867 D Stock Option (right to buy) 4.34 2016-07-01 2026-11-29 Common Stock 127238 D Stock Option (right to buy) 4.34 2017-11-08 2026-11-29 Common Stock 272298 D Stock Option (right to buy) 3.14 2020-08-01 2029-06-05 Common Stock 6870 D The shares subject to the option are fully vested and exercisable. One-fourth (1/4) of the shares subject to the option vested on November 8, 2017, and the remaining shares vest in equal monthly installments over the following 36 months, subject to the Reporting Person's continued service as of each such vesting date. One-twelfth (1/12) of the shares subject to the option will vest each month beginning on August 1, 2020, subject to the Reporting Person's continued service as of each such vesting date. Exhibit List: Exhibit 24 - Power of Attorney /s/ Cameron McAulay, Attorney-in-Fact 2020-03-11