SEC Form 4 · accession 0001209191-15-047153
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 22, 2015
Accepted (ET)
May 27, 2015 · 4:35 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 22, 2015 | P | 500 | $12.94 | A | 13,405 | D | |
| Common StockF3,F4 | May 27, 2015 | P | 1,000 | $12.61 | A | 14,405 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1$12.94 represents the weighted average purchase price per share for the 500 aggregate amount of shares transaction reported on this line. The range of price per share in the reported transaction is $12.93 to $12.95. 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) 1,924 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.
- F3$12.61 represents the weighted average purchase price per share for the 1000 aggregate amount of shares transaction reported on this line. The range of price per share in the reported transaction is $12.55 to $12.64. 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) 10,000 shares of common stock of Issuer beneficially owned by reporting person, (ii) 2,924 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.