SEC Form 4 · accession 0001209191-15-032397
Triumph Financial, Inc. · TFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carlos M Sepulveda
Officer — Executive Chairman · Director
Period of report
Apr 1, 2015
Accepted (ET)
Apr 3, 2015 · 5:03 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 | 1,851 | $0.00 | A | 440,695 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents 1,851 shares of restricted common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. Of such shares, 617 shares will vest on the first anniversary of the date of grant (04/01/2016), 617 shares will vest on the second anniversary of the date of grant (04/01/2017), and 617 shares will vest on the third anniversary of the date of grant (04/01/2018).
- F2Consists of (i) 283,818 shares beneficially owned by reporting person, (ii) 155,026 shares beneficially owned jointly with spouse Susan S Sepulveda, and (iii) 1,851 unvested shares of restricted common stock of Issuer which will vest as described in footnote (1) above.