SEC Form 4 · accession 0001209191-16-150615
Triumph Financial, Inc. · TFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Aaron P Graft
Officer — President & CEO · Director
Period of report
Nov 16, 2016
Accepted (ET)
Nov 16, 2016 · 5:35 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 | Nov 16, 2016 | J | 149,080 | — | A | 308,457 | 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 April 1, 2016.
- F2Consists of (i) 287,986 shares beneficially owned by reporting person, and (ii) 20,471 shares of restricted stock of reporting person subject to future time vesting requirements.
- 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.