SEC Form 4 · accession 0001209191-15-047551
Triumph Financial, Inc. · TFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Dobrient
Director
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 | May 26, 2015 | P | 1,000 | $12.95 | A | 51,902 | D | |
| Common StockF2 | May 27, 2015 | P | 2,000 | $12.70 | A | 53,902 | D | |
| Common StockF3 | May 28, 2015 | P | 1,500 | $12.63 | A | 55,402 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 50,421 shares of common stock beneficially owned by reporting person and (ii) 1,481 unvested shares of restricted 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.
- F2Consists of (i) 52,421 shares of common stock beneficially owned by reporting person and (ii) 1,481 unvested shares of restricted 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.
- F3Consists of (i) 53,921 shares of common stock beneficially owned by reporting person and (ii) 1,481 unvested shares of restricted 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.