SEC Form 4 · accession 0001209191-15-085866
Triumph Financial, Inc. · TFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patricia L Pittman
Officer — AVP and Controller
Period of report
Dec 15, 2015
Accepted (ET)
Dec 17, 2015 · 5:32 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,F3 | Dec 15, 2015 | F | 729 | $17.22 | D | 16,609 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents 729 shares surrendered to satisfy applicable federal income tax withholding associated with the 12/1/15 vesting of 2,666 shares of restricted stock issued to reporting person.
- F2Represents closing price per share of Issuer's common stock on the date of vesting (12/1/2015).
- F3Consists of (i) 12,386 shares beneficially owned by reporting person, (ii) 2,668 unvested shares of restricted common stock of Issuer granted to reporting person on 12/1/14 which will vest on 12/1/16, and (iii) 1,555 unvested shares of restricted common stock of Issuer granted to reporting person on 4/1/15 of which 518 shares will vest on 4/1/16, 518 shares will vest on 4/1/17, and 519 shares will vest on 4/1/18.