# EDGAR Filing Document

**Accession Number:** 0001715768
**File Stem:** 0001715768-23-000002
**Filing Date:** 2023-2
**Character Count:** 6877
**Document Hash:** 12a0b88990e116faac236590146a90ad
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001715768-23-000002.hdr.sgml**: 20230214

**ACCESSION NUMBER**: 0001715768-23-000002

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 14

**CONFORMED PERIOD OF REPORT**: 20230214

**ITEM INFORMATION**: Other Events

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20230214

**DATE AS OF CHANGE**: 20230214

**FILER**: 

**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

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-41295
- **FILM NUMBER:** 23622702

**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

?xml version="1.0" ? tgan-20230214

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

Washington, D.C. 20549

**FORM 8-K**

**CURRENT REPORT**

**Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934**

Date of Report (Date of earliest event reported): **February 14, 2023**

**Transphorm, Inc.**

(Exact name of registrant as specified in its charter)

---

| | | |
|:---|:---|:---|
| **Delaware** | **000-55832** | **82-1858829** |
| (State or Other Jurisdiction of Incorporation) | (Commission File Number) | (I.R.S. Employer Identification No.) |

---

**75 Castilian Drive**

**Goleta, CA 93117**

(Address of principal executive offices, including zip code)

**(805) 456-1300** 

(Registrant's telephone number, including area code)

**Not Applicable**

(Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐&nbsp;&nbsp;&nbsp;&nbsp;Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐&nbsp;&nbsp;&nbsp;&nbsp;Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐&nbsp;&nbsp;&nbsp;&nbsp;Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐&nbsp;&nbsp;&nbsp;&nbsp;Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

---

| | | |
|:---|:---|:---|
| **Title of each class** | **Trading Symbol(s)** | **Name of each exchange on which registered** |
| Common Stock, par value $0.0001 per share | TGAN | The Nasdaq Stock Market LLC |

---

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR§230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).

Emerging growth company ☒

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

------

**Item 8.01&nbsp;&nbsp;&nbsp;&nbsp;Other Events.**

On February 14, 2023, Transphorm, Inc. (the "Company") issued a press release announcing a delay in the release of the Company's financial results for the three and nine months ended December 31, 2022 and postponement of the related conference call. A copy of this press release is filed herewith as Exhibit 99.1 and incorporated herein by reference.

**Item 9.01&nbsp;&nbsp;&nbsp;&nbsp;Financial Statements and Exhibits.**

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(d) Exhibits.

---

| | |
|:---|:---|
| **Exhibit No.** | **Description** |
| 99.1 | <u>[Press release, dated February 14, 2023](tganex991earningsannouncem.htm)</u> |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |

---

------

**Signature**

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

---

| | | |
|:---|:---|:---|
| | **Transphorm, Inc.** | **Transphorm, Inc.** |
| Dated: February 14, 2023 | By: | /s/ Cameron McAulay |
|  |  | Cameron McAulay |
|  |  | Chief Financial Officer |

---

## Exhibit 99.1

![imagea.jpg](imagea.jpg)

**Exhibit 99.1**

**Transphorm to Reschedule Third Quarter 2023 Earnings News Release Date and Conference Call**

**GOLETA, Calif.—February 14, 2023—**Transphorm, Inc. (NASDAQ: TGAN)—a pioneer in and global supplier of high-reliability, high-performance gallium nitride (GaN) power conversion products, today announced that it will reschedule the release of its financial results for the third fiscal quarter ended December 31, 2022 and related conference call, both previously scheduled for today. Further details on the release of the third fiscal quarter financial results and conference call will be announced at a later date.

The rescheduling is a result of ongoing Company analysis and related discussions between the Company and its independent registered public accountants regarding treatment of an epiwafer inventory-related adjustment, which will not have any impact on previous or current quarter revenue or cash flow.

**About Transphorm**

Transphorm, Inc., a global leader in the GaN revolution, designs and manufactures high performance and high reliability GaN semiconductors for high voltage power conversion applications. Having one of the largest Power GaN IP portfolios of more than 1,000 owned or licensed patents, Transphorm produces the industry's first JEDEC and AEC-Q101 qualified high voltage GaN semiconductor devices. The Company's vertically integrated device business model allows for innovation at every development stage: design, fabrication, device, and application support. Transphorm's innovations are moving power electronics beyond the limitations of silicon to achieve over 99% efficiency, 40% more power density and 20% lower system cost. Transphorm is headquartered in Goleta, California and has manufacturing operations in Goleta and Aizu, Japan. For more information, please visit www.transphormusa.com. Follow us on Twitter @transphormusa and WeChat @ Transphorm_GaN.

**Investor Contacts:**

David Hanover or Jack Perkins

KCSA Strategic Communications

transphorm@kcsa.com

**Company Contact:**

Cameron McAulay

Chief Financial Officer

1-805-456-1300 ext. 140

cmcaulay@transphormusa.com

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