SEC Form 4 · accession 0001209191-15-048993
Triumph Financial, Inc. · TFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carlos M Sepulveda
Officer — Executive Chairman · Director
Period of report
May 29, 2015
Accepted (ET)
Jun 2, 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 | May 29, 2015 | A | 2,000 | $12.40 | A | 442,695 | D | |
| Common StockF2 | Jun 2, 2015 | A | 2,000 | $12.35 | A | 444,695 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 285,818 shares beneficially owned by reporting person, (ii) 155,026 shares beneficially owned jointly with spouse Susan S Sepulveda, and (iii) 1,851 unvested shares of restricted common stock of Issuer granted to reporting person on 04/01/2015 of which 617 shares will vest on 04/01/2016, 617 shares will vest on 04/01/2017, and 617 shares will vest on 04/01/2018.
- F2Consists of (i) 287,818 shares beneficially owned by reporting person, (ii) 155,026 shares beneficially owned jointly with spouse Susan S Sepulveda, and (iii) 1,851 unvested shares of restricted common stock of Issuer granted to reporting person on 04/01/2015 of which 617 shares will vest on 04/01/2016, 617 shares will vest on 04/01/2017, and 617 shares will vest on 04/01/2018.