SEC Form 4 · accession 0001209191-15-032359
Triumph Financial, Inc. · TFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Aaron P Graft
Officer — President & CEO · Director
Period of report
Apr 1, 2015
Accepted (ET)
Apr 3, 2015 · 4:57 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, 2015 | A | 6,614 | $0.00 | A | 110,428 | D | |
| Common StockF3 | holding | — | — | — | 3,315 | I | By spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents 6,614 shares of restricted common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. Of such shares, 2,204 shares will vest on the first anniversary of the date of grant (04/01/2016), 2,204 shares will vest on the second anniversary of the date of grant (04/01/2017), and 2,206 shares will vest on the third anniversary of the date of grant (04/01/2018).
- F2Consists of (i) 83,814 shares beneficially owned by reporting person, (ii) 20,000 unvested shares of restricted common stock of Issuer granted to reporting person on 12/1/2015, of which 10,000 shares will vest on 12/1/2015 and 10,000 shares will vest on 12/1/2016, and (iii) 6,614 unvested shares of restricted common stock of Issuer granted to reporting person on 4/1/2015 which will vest as described in footnote (1) above.
- 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 extent of his pecuniary interest therein.