SEC Form 4 · accession 0001209191-15-032382
Triumph Financial, Inc. · TFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Adam D Nelson
Officer — SVP and General Counsel
Period of report
Apr 1, 2015
Accepted (ET)
Apr 3, 2015 · 5:01 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, 2015 | A | 1,218 | $0.00 | A | 14,667 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents 1,218 shares of restricted common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. Of such shares, 406 shares will vest on the first anniversary of the date of grant (04/01/2016), 406 shares will vest on the second anniversary of the date of grant (04/01/2017), and 406 shares will vest on the third anniversary of the date of grant (04/01/2018).
- F2Consists of (i) 5,737 shares beneficially owned by reporting person, and (ii) 7,712 unvested shares of restricted common stock of Issuer granted to reporting person on 12/01/14 of which 3,856 shares will vest on 12/1/15 and 3,856 shares will vest on 12/1/16, and (iii) 1,218 unvested shares of restricted common stock of Issuer granted to reporting person on 4/1/15 which will vest as described in footnote (1) above.