SEC Form 4 · accession 0001209191-15-067582
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
Aug 20, 2015
Accepted (ET)
Aug 24, 2015 · 5:22 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 | Aug 20, 2015 | A | 1,000 | $13.89 | A | 445,695 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1$13.89 represents the weighted average purchase price per share for the 1,000 aggregate amount of shares transaction reported on this line. The range of price per share in the reported transaction is $13.88 to $13.89. 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) 288,818 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.