SEC Form 4/A · accession 0001209191-15-084856
Triumph Financial, Inc. · TFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Raymond W Sperring III
Officer — Executive Vice President
Period of report
Dec 11, 2015
Accepted (ET)
Dec 14, 2015 · 7:57 am 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,F3 | Dec 11, 2015 | J | 3,917 | — | A | 12,657 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This Transaction Line is being amended to accurately reflect a J transaction code. The originally filed Form 4 inadvertently reflected an A transaction code on Table I column 3 for this Transaction Line.
- F2Shares were distributed to 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 14A filed with the Securities and Exchange Commission on March 27, 2015.
- F3Consists of (i) 8,841 shares beneficially owned by reporting person, (ii) 1,000 shares beneficially owned through Fidelity as Custodian FBO of reporting person's Roth IRA (iv) 1,334 unvested shares of restricted common stock of Issuer granted to reporting person on 12/1/14 which will vest on 12/1/16, and (v) 1,482 unvested shares of restricted common stock of Issuer granted to reporting person on 4/1/15 of which 494 shares will vest on 4/1/16, 494 shares will vest on 4/1/17, and 494 shares will vest on 4/1/18.