SEC Form 4 · accession 0000899243-16-017675
Triumph Financial, Inc. · TFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Justin N Trail
Director
Period of report
Apr 1, 2016
Accepted (ET)
Apr 5, 2016 · 6:01 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001539638
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Apr 1, 2016 | A | 1,260 | $0.00 | A | 41,287 | D | |
| Common StockF3 | holding | — | — | — | 32,242 | I | By JTHT Enterprises, Ltd. | |
| Common StockF4 | holding | — | — | — | 4,286 | I | By spouse | |
| Common StockF5 | holding | — | — | — | 350 | I | By children UTMA/UGMA accounts |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares of common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. All of such shares were fully vested as of the date of grant.
- F2Consists of (i) 40,299 shares of common stock beneficially owned by reporting person and (ii) 988 shares of restricted stock of the reporting person subject to future time vesting requirements.
- F3Reporting person exercises voting and dispositive control over these shares and disclaims Beneficial ownership of such shares, except to the extent of his pecuniary interest.
- F4By Equity Trust Company Custodian FBO Tamara Trail IRA. Reporting person disclaims beneficial ownership of these shares.
- F5Consists of (i) 200 shares of common stock indirectly owned through E*TRADE UTMA/UGMA Account FBO minor daughter Hannah Trail; (ii) 100 shares of common stock indirectly owned through E*TRADE UTMA/UGMA Account FBO minor daughter Robyn Trail; and (iii) 50 shares of common stock indirectly owned through E*TRADE UTMA/UGMA Account FBO minor daughter Charil Trail. Reporting person, as Custodian, exercise voting and dispositive control over these shares and disclaims beneficial ownership of such shares.