0001209191-24-001082.txt : 20240105 0001209191-24-001082.hdr.sgml : 20240105 20240105195206 ACCESSION NUMBER: 0001209191-24-001082 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240104 FILED AS OF DATE: 20240105 DATE AS OF CHANGE: 20240105 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Smales Kelly CENTRAL INDEX KEY: 0001862728 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41295 FILM NUMBER: 24518014 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] ORGANIZATION NAME: 04 Manufacturing 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 2024-01-04 0 0001715768 Transphorm, Inc. TGAN 0001862728 Smales Kelly C/O TRANSPHORM, INC. 75 CASTILIAN DRIVE GOLETA CA 93117 1 0 0 0 1 Common Stock 2024-01-04 4 S 0 766 3.90 D 76680 D These sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 17, 2023. /s/ Cameron McAulay, Attorney-in-Fact 2024-01-05