Kelly Smales - 21 Jul 2023 Form 4 Insider Report for Transphorm, Inc.

Reporting relationship: Director
Issuer ticker: N/A
Reported as of: 21 Jul 2023
Net transaction value: +$3,871
SEC form: 4
Accepted by SEC: 25 Jul 2023, 18:31:42 UTC
Prior SEC filing: 06 Jul 2021
Next SEC filing: 13 Oct 2023
Source filing: View source filing
Reporting owner signature: /s/ Cameron McAulay, Attorney-in-Fact

Key filing fact

Kelly Smales filed Form 4 for Transphorm, Inc. on 25 Jul 2023.

Key facts

This page summarizes Kelly Smales's Form 4 filing for Transphorm, Inc..
2 reported transactions and 1 derivative row are listed below.
Accepted by SEC: 25 Jul 2023, 18:31.

Change

Previous filing in this sequence was filed on 06 Jul 2021.
Current net transaction value: +$3,871.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

TGAN transaction

Common Stock

Options Exercise

Transaction value: $3,871
Shares: +1,173
Change %: +3.4%
Price: $3.30
Shares after: 36,173
Date: 21 Jul 2023
Ownership: Direct
Footnotes: F1

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

TGAN transaction Derivative

Subscription Rights (right to buy)

Options Exercise

Transaction value: $0
Shares: -15,312
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 21 Jul 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 1,173
Exercise price: $3.30

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 1 footnote

Footnote F1

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.