SEC Form 4/A · accession 0001209191-15-047634
Triumph Financial, Inc. · TFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Raymond W Sperring III
Officer — Executive Vice President
Period of report
May 26, 2015
Accepted (ET)
May 28, 2015 · 5:51 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 |
|---|---|---|---|---|---|---|---|---|
| Comon StockF1,F2,F3 | May 26, 2015 | P | 1,000 | $12.92 | A | 8,740 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This Transaction Line is being amended to accurately reflect a $12.92 purchase price for the acquisition. The originally filed Form 4 inadvertently reflected a $0.00 purchase price on Table I column 4 for this Transaction Line.
- F2Represents 1,000 shares of common stock of Issuer beneficially owned through Fidelity as Custodian FBO Raymond W. Sperring Roth IRA.
- F3Consists of (i) 3,591 shares beneficially owned by reporting person, (ii) 1,000 shares beneficially owned through Fidelity as Custodian FBO 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.