SEC Form 4 · accession 0001209191-15-081804
Triumph Financial, Inc. · TFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Justin N Trail
Director
Period of report
Nov 19, 2015
Accepted (ET)
Nov 23, 2015 · 5:03 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 | Nov 19, 2015 | P | 350 | $17.24 | A | 350 | I | By children UTMA/UGMA accounts |
| Common StockF2 | holding | — | — | — | 40,027 | D | ||
| Common StockF3 | holding | — | — | — | 4,286 | I | By spouse | |
| Common StockF4 | holding | — | — | — | 32,144 | I | By JTHT Enterprises, Ltd. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consist of (i) 200 shares of common stock indirectly owned through E*TRADE UTMA/UGMA Account FBO minor daughter Hannah Trail; (ii) 100 shares of common stock indirectly owned through E*TRADE UTMA/UGMA Account FBO minor daughter Robyn Trail; and (iii) 50 shares of common stock indirectly owned through E*TRADE UTMA/UGMA Account FBO minor daughter Charli Trail. Reporting person, as Custodian, exercises voting and dispositive control over these shares and disclaims beneficial ownership of such shares.
- F2Consists of (i)38,546 shares of common stock beneficially owned by reporting person and (ii) 1,481 unvested shares of restricted common stock of Issuer of which 493 shares will vest on 4/1/2016, 493 will vest on 4/1/2017 and 495 will vest on 4/1/2018.
- F3By Equity Trust Company Custodian FBO Tamara Trail IRA. Reporting person disclaims beneficial ownership of these shares.
- F4Reporting person exercises voting and dispositive control over these shares and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest.