SEC Form 4 · accession 0001209191-15-047550
Triumph Financial, Inc. · TFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Raymond W Sperring III
Officer — Executive Vice President
Period of report
May 26, 2015
Accepted (ET)
May 28, 2015 · 4:44 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 26, 2015 | P$0 | 1,000 | $0.00 | A | 8,740 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents 1,000 shares of common of stock of Issuer beneficially owned through Fidelity as Custodian FBO of Raymond W. Sperring Roth IRA.
- F2Consists of (i) 3,591 shares beneficially owned by reporting person, (ii) 1,000 shares beneficially owned through Fidelity as Custodian FBO of reporting person's Roth IRA (iii) 2,667 unvested shares of restricted common stock of Issuer granted to reporting person on 12/1/14 of which 1,333 will vest on 12/1/15 and 1,334 will vest on 12/1/16, and (iii) 1,482 unvested shares of restricted common stock of Issuer granted to reporting person on 4/1/15 of which 494 shares will vest on 4/1/16, 494 shares will vest on 4/1/17, and 494 shares will vest on 4/1/18.