Smales Kelly — SEC Form 4 filings
SEC reporting owner CIK 1862728. 8 Form 4 filings on record with FilingPulse; latest filed 2024-06-20.
Transaction summary — filings shown
Covers all 8 filings on record, filed 2024-01-23 to 2024-06-20. Counts and totals are arithmetic on values as filed — descriptive data, not a recommendation.
- Open-market purchases (code P, non-derivative): none reported.
- Open-market sales (code S, non-derivative): 5 legs across 5 filings — 9,704 shares, $47,101 total (shares × price as filed).
- Other reported legs (grants, option exercises, tax withholding, gifts, derivative-security transactions, …): 4.
- Largest priced transaction: sale of 3,996 shares @ $4.89 ($19,548) in Transphorm, Inc., filed 2024-05-24.
By issuer — same filings
Open-market purchase/sale legs on non-derivative securities, grouped by issuer. Role is as filed on the newest filing for that issuer. Dollar totals cover priced legs only (shares × price as filed). Ordered by priced transaction value, largest first.
| Issuer | Role (as filed) | Filings | Purchases (P) | Sales (S) | Other legs |
|---|---|---|---|---|---|
| Transphorm, Inc. (TGAN) | Director | 8 | — | 5 legs · 9,704 sh · $47,101 | 4 |
Form 4 filings — Smales Kelly
| Filed | Form | Issuer | Reported transactions | Source |
|---|---|---|---|---|
| 2024-06-20 | 4 | Transphorm, Inc. (TGAN) | Disposition to issuer (D): 69,677 · Disposition to issuer (D): 55,000 (derivative) @ $0 | EDGAR |
| 2024-05-24 | 4 | Transphorm, Inc. (TGAN) | Sale (S): 3,996 @ $4.89 | EDGAR |
| 2024-04-26 | 4 | Transphorm, Inc. (TGAN) | Sale (S): 475 @ $4.85 | EDGAR |
| 2024-04-23 | 4 | Transphorm, Inc. (TGAN) | Grant/award (A): 1,356 @ $0 | EDGAR |
| 2024-04-05 | 4 | Transphorm, Inc. (TGAN) | Sale (S): 766 @ $4.90 | EDGAR |
| 2024-03-01 | 4 | Transphorm, Inc. (TGAN) | Sale (S): 3,996 @ $4.81 | EDGAR |
| 2024-01-26 | 4 | Transphorm, Inc. (TGAN) | Sale (S): 471 @ $4.82 | EDGAR |
| 2024-01-23 | 4 | Transphorm, Inc. (TGAN) | Grant/award (A): 1,345 @ $0 | EDGAR |
FilingPulse's Form 4 archive currently extends back to 2024-01-11 and is expanding backward through EDGAR history — earlier filings by this insider may not be indexed yet. Names and roles are shown as filed.
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