SEC Form 4/A · accession 0001209191-15-084857
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
Justin N Trail
Director
Period of report
Dec 11, 2015
Accepted (ET)
Dec 14, 2015 · 7:58 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 | 98 | — | A | 32,242 | I | By JTHT Enterprises, Ltd. |
| Common StockF4 | holding | — | — | — | 40,027 | D | ||
| Common Stock | holding | — | — | — | 4,286 | I | By spouse | |
| Common StockF5 | holding | — | — | — | 350 | I | By children UTMA/UGMA accounts |
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 JTHT Enterprises, Ltd. 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.
- F3Reporting person exercises voting and dispositive control over these shares and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest.
- F4Consists 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 04/01/2016, 493 shares will vest on 04/01/2017, and 495 shares will vest on 04/01/2018.
- F5Consists 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, exercise voting and dispositive control over these shares and disclaims beneficial ownership of such shares.