SEC Form 4 · accession 0001209191-15-084752
Triumph Financial, Inc. · TFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Aaron P Graft
Officer — President & CEO · Director
Period of report
Dec 11, 2015
Accepted (ET)
Dec 11, 2015 · 5:10 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 | Dec 11, 2015 | A | 39,388 | $0.00 | A | 153,316 | D | |
| Common StockF3 | holding | — | — | — | 3,315 | I | By spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares were distributed to the reporting person as the ultimate recipient of a distribution made by Triumph Consolidated Cos., LLC, under the terms of its operating agreement. See Footnote 1 to "Security Ownership of Certain Beneficial Owners and Management" of Issuer's most recent proxy statement on Form 14-A filed with the Securities and Exchange Commission on March 27, 2015.
- F2Consists of (i) 136,702 shares beneficially owned by reporting person, (ii) 10,000 unvested shares of restricted common stock of Issuer granted to reporting person on 12/1/2014 which will vest on 12/1/2016, and (iii) 6,614 unvested shares of restricted common stock of Issuer granted to reporting person on 4/1/2015, of which 2,204 shares will vest on 4/1/2016, 2,204 shares will vest on 4/1/2017, and 2,206 will vest on 4/1/2018.
- F3By reporting person's spouse, by Goldman Sachs custodian FBO Kimberly Graft Roth IRA. Reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.