Sponsor Check › Person
Named as an officer, director or promoter on SEC Form D filings · CA · May 5, 2010 → Dec 29, 2023
Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:21 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET
Primit Parikh is listed as an executive officer, director, and promoter on 19 SEC Form D filings by 2 issuers between May 2010 and Dec 2023: Transphorm, Inc. (Goleta, CA — other technology — 2020–2023; $112.6M reported sold to 45 investors) and Transphorm, Inc. (Goleta, CA — other technology — 2010–2015; $40M reported sold to 9 investors).
What this means 2 separate companies raised money with this person listed as executive officer, director, and promoter, over about 13 years. Across those companies the filings report $152.6M sold in total.
Listed alongside Umesh Mishra (19 shared filings), Mark Allen (10 shared filings), Randy Komisar (10 shared filings), Richard Redelfs (10 shared filings), Eiji Yatagawa (9 shared filings) and 16 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Primit. Each name links to their own page.
All 2 issuers belong to the sponsor group Transphorm (2 issuers, $44.1M reported sold, 2010–2023).
What this means A sponsor group is one team that sets up a new company for each deal. Transphorm has 2 companies on file and $44.1M reported sold in total — the group page shows the whole track record in one place.
Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CO, CT, DC, DE, FINRA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, WA, WI, WV, WY) — none found.
What this means Nothing turned up where we looked (3 sources). That does not prove there is nothing — it means none was found in those sources on that date.
We compared 19 public filings for Primit Parikh and found 9 differences, 1 worth asking the sponsor about: Paid seller listed without a CRD number: Compound Semiconductor Electric Ltd; and more below.
What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.
Community search for Primit Parikh has not run yet — it is joining a line of 58,317 names; searches run around the clock at the hosts' allowed rate. Searched so far: 654 names.
Community comments are quoted as written by their authors. Sources searched: Bing (site:reddit.com / site:biggerpockets.com) and Reddit's own search, plus DuckDuckGo/Brave/BiggerPockets search when they are answering.
Five things investors ask first. Items still in human review are counted, not shown.
None found in sources searched — federal courts (CourtListener / RECAP), checked Oct 24, 2026
Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:21 AM ET.
State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.
None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: 48 regulators (FINRA, NASAA, 37 states) — crawled Oct 24, 2026, 8:48 AM ET
SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched Primit Parikh..
State securities regulators: Securities regulators searched (64,910 actions): FINRA (38,350 actions, 1995–2026), NASAA (31 actions, 2000–2026; listing starts 1997), AK Division of Banking and Securities (273 actions, 1971–2025), AL Securities Commission (880 actions, 2001–2026), AR Securities Department (1,305 actions, 1998–2026), AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002 — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), CO Division of Securities (731 actions, 2001–2026; older years from the Internet Archive (snapshot of 2026-05-02)), CT Department of Banking Securities Division (940 actions, 2006–2026; older years from the Internet Archive (snapshot of 2026-04-22)), DC DISB Securities Bureau (25 actions, 2012–2026), DE DOJ Investor Protection Unit (257 actions, 1987–2026), FL Office of Financial Regulation (49 actions, 2018–2026), GA Secretary of State Securities Division (65 actions, 2015–2026; listing starts 2012), HI DCCA Securities Enforcement Branch (26 actions, 2012–2026), ID Department of Finance Securities Bureau (663 actions, 1994–2026), IL Secretary of State Securities Department (4,122 actions, 2003–2023), KS Insurance Department Securities Division (58 actions), KY Department of Financial Institutions (342 actions, 2005–2026), LA Office of Financial Institutions Securities Division (13 actions, 2010–2025; listing starts 2008), MA Secretary of the Commonwealth Securities Division (125 actions, 2012–2025; live site blocks automated access — loaded from the Internet Archive snapshot of 2026-02-04), MD Attorney General Securities Division (1,054 actions, 2004–2026), ME Office of Securities (539 actions, 2000–2026), MI LARA Corporations, Securities & Commercial Licensing Bureau (201 actions), MO Secretary of State Securities Division (919 actions, 1998–2026), MS Secretary of State Securities Division (209 actions, 1995–2026), MT Commissioner of Securities and Insurance (597 actions, 2000–2026), NC Secretary of State Securities Division (265 actions, 2004–2024), ND Securities Department (711 actions, 1990–2026; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2026-01-06), NH Bureau of Securities Regulation (402 actions, 2002–2026), NM Regulation and Licensing Department Securities Division (90 actions, 2010–2025), NV Secretary of State Securities Division (118 actions, 2018–2026), NY Attorney General Investor Protection Bureau (44 actions, 2012–2026), OH Division of Securities (327 actions, 1993–2006), OK Department of Securities (2,531 actions, 1998–2026), OR Division of Financial Regulation (589 actions, 1988–2026), PA Department of Banking and Securities (1,448 actions, 2008–2024; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2024-08-09), RI DBR Securities Division (98 actions, 2005–2025), SC Attorney General Securities Division (540 actions, 2006–2026), SD Division of Insurance – Securities Regulation (106 actions, 2017–2026), TN Department of Commerce and Insurance Securities Division (405 actions, 1992–2026), TX State Securities Board (936 actions, 1999–2026), UT Division of Securities (772 actions, 2000–2026; older years from the Internet Archive (snapshot of 2010-05-27)), VT DFR Securities Division (137 actions, 2010–2026), WA DFI (2,039 actions, 2001–2026), WI DFI Division of Securities (1,072 actions, 1998–2026), WV Securities Commission (State Auditor) (64 actions), WY Secretary of State Compliance Division (6 actions, 2016–2024) — last crawled Oct 24, 2026, 8:48 AM ET. No machine-readable public listing today for IA, IN, MN, NE, NJ, VA (see docs/state-regulators.md).
None found in sources searched — federal bankruptcy courts (CourtListener / RECAP), checked Oct 24, 2026
Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:21 AM ET.
State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.
Comparisons cover issuers and sponsor groups — see the issuer pages under Deals
9 differences found between the filings for Primit Parikh — 1 worth asking about (compared 19 filings on Oct 24, 2026)
United States Bankruptcy Court, C.D. California docket "Pinho v. JP Morgan Chase Bank, NA" filed Jan 7, 2011, closed May 31, 2011. Mark Pinho (listed on the same filings) is listed as Plaintiff ("Pinho"). Our match estimate: 62%.
What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.
Compound Semiconductor Electric Ltd. is listed as receiving sales compensation on 1 filing (Dec 13, 2021) with no FINRA CRD number given.
What this means People paid to sell securities normally hold a FINRA registration with a CRD number. Without one we cannot look them up on BrokerCheck. Ask who they are and whether they are registered.
No amendment in the last 12 months on an offering that may still be open — Transphorm, Inc. (latest filing Feb 27, 2020) · No amendment in the last 12 months on an offering that may still be open — Transphorm, Inc. (latest filing Jun 16, 2015) · No amendment in the last 12 months on an offering that may still be open — Transphorm, Inc. (latest filing Jul 14, 2014) · No amendment in the last 12 months on an offering that may still be open — Transphorm, Inc. (latest filing Oct 9, 2012)
What this means SEC rules expect a yearly amendment while an offering is still going. Ask the sponsor which of these raises have closed.
The Apr 18, 2023 filing lists Primit Parikh as executive officer; the Dec 29, 2023 Form D lists executive officer, director.
What this means Roles on Form D are self-reported by the issuer. A change can mean a real change in who runs the company, or just a different box ticked. Ask who makes decisions today.
The Oct 6, 2014 filing lists Primit Parikh as executive officer, director; the Jun 16, 2015 Form D lists executive officer.
What this means Roles on Form D are self-reported by the issuer. A change can mean a real change in who runs the company, or just a different box ticked. Ask who makes decisions today.
The Oct 9, 2012 filing lists Primit Parikh as executive officer, director, promoter; the Dec 18, 2013 Form D lists executive officer, director.
What this means Roles on Form D are self-reported by the issuer. A change can mean a real change in who runs the company, or just a different box ticked. Ask who makes decisions today.
The Feb 6, 2014 filing says $15,000,001 offered; the Jul 14, 2014 Form D/A says $26,855,603.
What this means The target raise changed. Raising the cap is common when a deal grows; ask whether the extra money has the same terms and use.
The Dec 18, 2013 filing says $20,000,000 offered; the Jul 14, 2014 Form D/A says $26,000,000.
What this means The target raise changed. Raising the cap is common when a deal grows; ask whether the extra money has the same terms and use.
The Jun 16, 2011 filing says $30,000,002 offered; the Jan 3, 2012 Form D/A says $30,500,000.
What this means The target raise changed. Raising the cap is common when a deal grows; ask whether the extra money has the same terms and use.
What is compared: every Form D and D/A we hold for this subject, side by side — filing dates vs. first-sale dates (the 15-day rule), amendment timing on open offerings (the yearly-amendment expectation), amounts sold, investor counts, offering amounts and minimums across amendments, industry and size bands, addresses, how each person's name and role is written, paid sellers' CRD numbers, and (for groups) where the member companies were formed and sit. Everything is as filed by the issuer; the SEC does not check it. Differences are common and usually have ordinary explanations — we show both values, the dates, and the source so you can ask. As of Oct 24, 2026.
4 of 16 offerings report sales commissions totalling $2,800,000; 1 reports finder's fees totalling $156,000; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)
| Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it | Source |
|---|---|---|---|---|---|
| Dec 29, 2023 D Transphorm, Inc. File 021-501199 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Apr 18, 2023 D Transphorm, Inc. File 021-479225 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Dec 13, 2021 D Transphorm, Inc. File 021-424720 | $0 | $156,000 | $0 | Compound Semiconductor Electric Ltd. no CRD number reported | EDGAR ↗ |
| Nov 10, 2021 D Transphorm, Inc. File 021-420719 | $720,000 | $0 | $0 | Craig-Hallum Capital Group LLC BrokerCheck CRD 121395 ↗ | EDGAR ↗ |
| Apr 1, 2021 D Transphorm, Inc. File 021-394443 | $50,000 | $0 | $0 | B. Riley FBR, Inc. BrokerCheck CRD 25027 ↗ Craig-Hallum Capital Group LLC BrokerCheck CRD 121395 ↗ | EDGAR ↗ |
| Jan 6, 2021 D Transphorm, Inc. File 021-385395 | $760,000 (est.) | $0 | $0 | Loop Capital Markets LLC BrokerCheck CRD 43098 ↗ Spartan Capital Securities, LLC BrokerCheck CRD 146251 ↗ | EDGAR ↗ |
| Feb 27, 2020 D Transphorm, Inc. File 021-361541 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Feb 27, 2020 D Transphorm, Inc. File 021-361545 | $1,270,000 (est.) | $0 | $0 | B. Riley FBR, Inc. BrokerCheck CRD 25027 ↗ Craig-Hallum Capital Group LLC BrokerCheck CRD 121395 ↗ | EDGAR ↗ |
| Jun 16, 2015 D Transphorm, Inc. File 021-241922 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Oct 6, 2014 D Transphorm, Inc. File 021-225879 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jul 14, 2014 D/A Transphorm, Inc. File 021-208188 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jul 14, 2014 D/A Transphorm, Inc. File 021-211440 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Oct 9, 2012 D Transphorm, Inc. File 021-185208 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jan 3, 2012 D/A Transphorm, Inc. File 021-161413 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Nov 16, 2010 D Transphorm, Inc. File 021-150595 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| May 5, 2010 D Transphorm, Inc. File 021-141554 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
Counts come from Form D Items 12–15 on the filings in our index (latest filing per offering; one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.
Counted across every filing this person is listed on (latest filing per offering, per issuer).
Every issuer that named Primit Parikh on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.
Raised $112.6M from 45 investors (100% of the $4.06M target) as of the latest filing. Primit is listed as executive officer, director on 8 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Other Technology / 506(b) (17,390 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Raised $40M from 9 investors (57% of the $70M target) as of the latest filing. Primit is listed as executive officer, director, promoter on 11 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Other Technology / 506(b) (17,390 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.
Randy Komisar is on 8 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Primit Parikh. Their page shows their other deals.
Listed on the same filings as Primit Parikh. Their page shows their other deals.
Wesley Chan is on 9 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Primit Parikh. Their page shows their other deals.
Listed on the same filings as Primit Parikh. Their page shows their other deals.
Listed on the same filings as Primit Parikh. Their page shows their other deals.
Listed on the same filings as Primit Parikh. Their page shows their other deals.
Listed on the same filings as Primit Parikh. Their page shows their other deals.
Listed on the same filings as Primit Parikh. Their page shows their other deals.
Listed on the same filings as Primit Parikh. Their page shows their other deals.
Listed on the same filings as Primit Parikh. Their page shows their other deals.
Listed on the same filings as Primit Parikh. Their page shows their other deals.
One team, 2 deal companies. Primit Parikh is listed on 2 of them.
Issuers are grouped when their Form D filings share related persons, a management entity or a business address (automatic match from the filings). "Listed" marks the issuers that name Primit Parikh.
Individuals are not matched to business registrations — registries list companies, and a name alone is not enough to tie a person to one. Officers and managers appear by name inside each matched company's record on the issuer pages. Registries searched: AL (Alabama Secretary of State — Business Entity Records (arc-sos.state.al.us), searched by issuer name, data as of Oct 24, 2026); CO (Colorado Secretary of State — Business Entities in Colorado (data.colorado.gov), data as of Oct 23, 2026); CT (Connecticut Secretary of the State — Business Registry (data.ct.gov), data as of Oct 24, 2026); FL (Florida Department of State, Division of Corporations — quarterly corporate data file (Sunbiz), data as of Oct 7, 2026); KY (Kentucky Secretary of State — Business Entity Search (sosbes.sos.ky.gov), searched by issuer name, data as of Oct 24, 2026); NY (New York Department of State — Corporations and Other Entities (data.ny.gov: All Filings + Active Corporations), data as of Oct 20, 2026); OR (Oregon Secretary of State — Active Businesses, All (data.oregon.gov), data as of Oct 20, 2026); PA (Pennsylvania Department of State — Registered Businesses, Current (data.pa.gov), data as of Oct 6, 2026); TX (Texas Comptroller — Active Franchise Taxpayers incl. Secretary of State file data (data.texas.gov), data as of Oct 24, 2026). Registries of other states have not been searched: many publish no bulk file and require a CAPTCHA or bot challenge on their search page, which we do not bypass (Delaware, for example, offers no public bulk file).
None of the 2 issuers this person is listed on appears in Form ADV (searched 24,962 advisers as of Oct 2, 2026). A person is never an adviser firm; Form ADV is checked for the issuers and the management companies they are listed with.
Searched SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 (51,358 records as of Oct 23, 2026, 8:41 PM ET) — nothing matched this name.
Property records are matched to companies only, never to individuals, so none are matched to Primit Parikh by design. Searched property records in Hillsborough County FL (Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026 + FL DOR 2026 ownership roll), Miami-Dade County FL (FL DOR 2026 ownership roll), Harris County TX (HCAD 2026 ownership roll), Dallas County TX (DCAD 2026 ownership roll), New York City ACRIS documents and PLUTO ownership rows already retrieved for other issuers, Cook County IL sale and ownership rows already retrieved for other issuers (814,874 records as of Oct 23, 2026, 8:59 PM ET) for the 2 issuers this person is listed on — nothing matched.
Websites and social links of the issuers Primit Parikh is listed on: none on file. No website or social profile named in Transphorm, Inc.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #109,658 of 374,652 in line (1,386 issuers searched so far). One-tap searches: Look further ↓
One-tap searches on sites we do not index ourselves, with the name pre-filled (Goleta, CA). Each opens in a new tab; what you find there is not verified by PartnerFacts.
No corrections have been requested for this page.
Free. Logged with status: received → under review → fixed / confirmed with source.
If this is you or your firm, add a sourced explanation next to any fact. Reviewed before publishing.
Members get an email when Primit Parikh appears on a new Form D, or when a court case or SEC action is matched to them. See plans →