SEC Form 4 · accession 0001209191-15-040115
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 7, 2015
Accepted (ET)
May 7, 2015 · 5:40 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 6, 2015 | P | 1,424 | $13.23 | A | 12,905 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1$13.23 represents the weighted average purchase price per share for the 1,424 aggregate amount of shares in the transaction reported on this line. The range of price per share in the reported transaction is $13.15 to $13.24. 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) 10,000 shares of common stock of Issuer beneficially owned by reporting person, (ii) 1,424 shares of common stock beneficially owned jointly with spouse Linda B. Rafferty, and (iii) 1,481 unvested shares of common stock of Issuer, of which 493 shares will vest on 04/01/2016, 493 shares will vest on 04/01/2017, and 495 shares will vest on 04/01/2018.