SEC Form 4 · accession 0000899243-16-019300
Triumph Financial, Inc. · TFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael P Rafferty
Director
Period of report
May 3, 2016
Accepted (ET)
May 5, 2016 · 5:30 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 | May 3, 2016 | P | 1,500 | $15.36 | A | 18,132 | D | |
| Common StockF3,F4 | May 5, 2016 | P | 1,000 | $15.35 | A | 19,132 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1$15.36 represents the weighted average purchase price per share for the 1500 aggregate amount of shares reported on this line. The range of price per share in the reported transaction is $15.30 to $15.40. Reporting person shall provide, upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.
- F2Consists of (i) 11,753 shares of common stock of Issuer beneficially owned by reporting person, (ii) 5,391 shares of common stock beneficially owned jointly with spouse Linda B. Rafferty, and (iii) 988 shares of restricted stock of the reporting person subject to future time vesting requirements.
- F3$15.35 represents the weighted average purchase price per share for the 1000 aggregate amount of shares reported on this line. The range of price per share in the reported transaction is $15.30 to $15.40. Reporting person shall provide, upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.
- F4Consists of (i) 11,753 shares of common stock of Issuer beneficially owned by reporting person, (ii) 6,391 shares of common stock beneficially owned jointly with spouse Linda B. Rafferty, and (iii) 988 shares of restricted stock of the reporting person subject to future time vesting requirements.