SEC Form 4 · accession 0001209191-15-078929
Triumph Financial, Inc. · TFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles A Anderson
Director
Period of report
Nov 4, 2015
Accepted (ET)
Nov 6, 2015 · 5:14 pm EST
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 | Nov 4, 2015 | A | 5,000 | $16.65 | A | 113,318 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1$16.65 represents the weighted average purchase price per share for the 5,000 aggregate amount of shares transaction reported on this line. The range of price per share in the reported transaction is $16.46 to $16.79. 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) 14,000 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.