SEC Form 4 · accession 0001209191-15-048010
Triumph Financial, Inc. · TFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles A Anderson
Director
Period of report
May 27, 2015
Accepted (ET)
May 29, 2015 · 4:47 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 27, 2015 | A | 200 | $12.59 | A | 99,518 | D | |
| Common StockF3,F4 | May 28, 2015 | A | 4,800 | $12.59 | A | 104,318 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1$12.59 represents the weighted average purchase price per share for the 200 aggregate amount of shares transaction reported on this line. The range of price per share in the reported transaction is $12.58 to $12.60. 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) 97,837 shares of common stock of Issuer beneficially owned by reporting person, (ii) 200 shares of common stock of Issuer beneficially owned jointly with reporting person's spouse Kim Anderson, and (iii) 1,481 unvested shares of restricted common stock of Issuer granted to reporting person on 4/1/15 of which 493 shares will vest on 4/1/16, 493 will vest 4/1/17, and 495 shares will vest on 4/1/18.
- F3$12.59 represents the weighted average purchase price per share for the 4,800 aggregate amount of shares transaction reported on this line. The range of price per share in the reported transaction is $12.54 to $12.61. 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) 97,837 shares of common stock of Issuer beneficially owned by reporting person, (ii) 5,000 shares of common stock of Issuer beneficially owned jointly with reporting person's spouse Kim Anderson, and (iii) 1,481 unvested shares of restricted common stock of Issuer granted to reporting person on 4/1/15 of which 493 shares will vest on 4/1/16, 493 will vest 4/1/17, and 495 shares will vest on 4/1/18.