0001209191-23-053454.txt : 20231024 0001209191-23-053454.hdr.sgml : 20231024 20231024161532 ACCESSION NUMBER: 0001209191-23-053454 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231020 FILED AS OF DATE: 20231024 DATE AS OF CHANGE: 20231024 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Smales Kelly CENTRAL INDEX KEY: 0001862728 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41295 FILM NUMBER: 231342865 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 2023-10-20 0 0001715768 Transphorm, Inc. TGAN 0001862728 Smales Kelly C/O TRANSPHORM, INC. 75 CASTILIAN DRIVE GOLETA CA 93117 1 0 0 0 0 Common Stock 2023-10-20 4 A 0 2708 0.00 A 87511 D Each share is represented by a Restricted Stock Unit ("RSU") that was fully vested as of the grant date. The RSUs were automatically granted to the Reporting Person pursuant to the Issuer's Outside Director Compensation Policy in lieu of cash fees for service during the quarter ended September 30, 2023. /s/ Cameron McAulay, Attorney-in-Fact 2023-10-24