SEC Form 4 · accession 0001209191-16-135191
Triumph Financial, Inc. · TFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael P Rafferty
Director
Period of report
Aug 1, 2016
Accepted (ET)
Aug 3, 2016 · 4:16 pm EDT
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 | Aug 1, 2016 | P | 593 | $17.20 | A | 19,725 | D | |
| Common StockF2 | Aug 2, 2016 | P | 500 | $17.15 | A | 20,225 | D | |
| Common StockF3 | Aug 3, 2016 | P | 500 | $17.10 | A | 20,725 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 11,753 shares of common stock of Issuer beneficially owned by reporting person, (ii) 6,984 shares of common stock beneficially owned jointly with spouse Linda B. Rafferty, and (iii) 988 shares of restricted stock of the reporting person subject to future time vesting requirements.
- F2Consists of (i) 11,753 shares of common stock of Issuer beneficially owned by reporting person, (ii) 7,484 shares of common stock beneficially owned jointly with spouse Linda B. Rafferty, and (iii) 988 shares of restricted stock of the reporting person subject to future time vesting requirements.
- F3Consists of (i) 11,753 shares of common stock of Issuer beneficially owned by reporting person, (ii) 7,984 shares of common stock beneficially owned jointly with spouse Linda B. Rafferty, and (iii) 988 shares of restricted stock of the reporting person subject to future time vesting requirements.