Comparable stake leader
Mario Rivas
SEC ownership of Transphorm, Inc.
Top holders, 13D/G large-stake signals, insider positions, and transaction flow tied to CIK 0001715768.
Disclosed value leader
Mario Rivas
Comparable rows
0/1
Latest evidence
01 Jan 2023
- Parsed ownership sources
- 3/4/5
- Largest SEC-reported holder
- Mario Rivas
- Latest parsed ownership date
- 01 Jan 2023
- Issuer CIK
- 0001715768
- Issuer location
- Goleta, CA
Ownership snapshot
CIK-linked ownership evidence from parsed SEC filings.
1 signal
Issuer
Names, identifiers, and filing context for this profile.
2 identity fields
Ownership snapshot
Top shareholders of Transphorm, Inc. (13F + 13D/G + 3/4/5)
Grouped by holder across the latest SEC ownership disclosures. Start with comparable ownership when available, then verify the linked 13F, 13D/G, or 3/4/5 evidence.
Comparable stake leader
Mario Rivas
Disclosed value leader
Mario Rivas
Comparable rows
0/1
Latest evidence
01 Jan 2023
3/4/5
Highest disclosed value: $476,631
1 rows are not safely comparable across share classes.
Quick read
Mario Rivas has the largest disclosed position value at $476.6K.
0 of 1 rows have a safely comparable ownership percentage. Use this as a filing-backed starting point, then open the detailed table for source links, reporting role, position value, share count, and filing date.
Open SEC evidence
Opens Mario Rivas's linked filing trail.
Disclosed position value
Top 1
Mario Rivas
$476.6K
Value bars compare disclosed positions; verify each figure against the linked filing evidence.
Detailed SEC evidence table Showing 1-1 of 1 holder rows
| Holder | Evidence | Ownership % | Position | 12M Net Δ | As of |
|---|---|---|---|---|---|
| Mario Rivas |
3/4/5
Chief Executive Officer, Director
|
—
class O/S missing
|
$476,631
122,213 shares
|
— | 01 Jan 2023 |
How to read this table
Rows are grouped by holder and ranked first by SEC-reported ownership % when it is safely comparable, then by disclosed holdings value. — indicates unavailable or non-comparable values; "mixed-class rows" means the latest filing spans non-comparable classes.
Forms 3/4/5 flow
Insider trading overview
Insider buy and sell flow is broadly balanced over the last 12 months. No Buy or Sell transactions have been reported since 11 Jun 2025.
Buys
$0
Insiders: 0
Sells
$0
Insiders: 0
Net
$0
Shares: 0
Window
Last 12 months
4 rolling buckets
Buy value
Sell value
Shares: 0
Shares: 0
| Window (months) | Buy shares | Sell shares | Buy value | Sell value | Net value |
|---|---|---|---|---|---|
| 0-3 | 0 | 0 | $0 | $0 | $0 |
| 3-6 | 0 | 0 | $0 | $0 | $0 |
| 6-9 | 0 | 0 | $0 | $0 | $0 |
| 9-12 | 0 | 0 | $0 | $0 | $0 |
Reporting owners
Insider holders from Forms 3/4/5
Showing 1-9 of 9 reporting-owner rows connected to Transphorm, Inc.. Open a relationship link for the CIK-to-CIK filing trail.
Rows
9
Largest Forms 3/4/5 holder
Mario Rivas
Net 12M change
$0
Latest report
20 Jun 2024
| Name | Relationship | Holdings Value | Past Year Net Change | Change % | Valuation | Report Date |
|---|---|---|---|---|---|---|
| Mario Rivas | Chief Executive Officer, Director | $476,631 | Mixed | 01 Jan 2023 | ||
| Katharina G. Mcfarland | Director | $0 | Mixed | 20 Jun 2024 | ||
| Primit Parikh | PRESIDENT AND CEO, Director | $0 | Mixed | 20 Jun 2024 | ||
| Umesh Mishra | Chief Technology Officer, Director | $0 | Mixed | 20 Jun 2024 | ||
| Kelly Smales | Director | $0 | Mixed | 20 Jun 2024 | ||
| Cameron McAulay | Chief Financial Officer | $0 | Mixed | 20 Jun 2024 | ||
| Michael Julian Humphreys | Director | $0 | Mixed | 20 Jun 2024 | ||
| Cynthia J. Moreland | Director | $0 | Mixed | 20 Jun 2024 | ||
| KKR Phorm Investors L.P. | 10%+ Owner | $0 | Mixed | 20 Jun 2024 |
Recent insider transactions for Transphorm, Inc.
Showing up to 300 recent insider transactions from the last 12 months.
| Insider | Symbol | Class | Transaction | % | SEC-reported value | SEC-reported price | Shares | Shares owned | Date | Ownership |
|---|---|---|---|---|---|---|---|---|---|---|
| No insider transactions were found in the last 12 months for this issuer. | ||||||||||
* marks a reported price that did not pass the local price check.