SEC Form 4 · accession 0000899243-16-017680

Triumph Financial, Inc. · TFIN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — President & CEO · Director

Period of report

Apr 1, 2016

Accepted (ET)

Apr 5, 2016 · 6:02 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 Stock^F1,F2	Apr 1, 2016	A	6,061	$0.00	A	159,377	D
Common Stock^F3	holding	—	—		—	3,315	I	By spouse

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Options^F4,F5	$15.87	Apr 1, 2016	A	16,434	A	—	Apr 1, 2026	Common Stock	16,434	16,434	D

F1Represents shares of restricted common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. One fourth (rounded down to the nearest whole share, as applicable) of such shares shall vest on each of the first four anniversaries of the date of grant.
F2Consists of (i) 138,906 shares beneficially owned by reporting person and 20,471 shares of restricted stock of reporting person subject to future time vesting requirements.
F3By reporting person's spouse, by Goldman Sachs custodian FBO Kimberly Graft Roth IRA. Reporting person disclaims beneficial ownership of these shares except to the extend of his pecuniary interest therein.
F4Represents non-qualified stock options of Issuer granted to reporting person under Issuer's 2014 Omnibus Incentive Plan.
F5Exercise of the employee stock option is subject to vesting over four years from the date of grant, with one fourth of such options becoming exercisable on each of the first four anniversaries of the date of grant.