SEC Form 4 · accession 0001209191-16-150621
Triumph Financial, Inc. · TFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
C Todd Sparks
Director
Period of report
Nov 16, 2016
Accepted (ET)
Nov 16, 2016 · 5:39 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 | 18,180 | — | A | 229,292 | I | By SBS Equity, LLC |
| Common StockF3 | holding | — | — | — | 45,063 | D | ||
| Common StockF2 | holding | — | — | — | 17,271 | I | By The Sparks Foundation, Inc. | |
| Common StockF2 | holding | — | — | — | 8,000 | I | By Sparco Market Fund |
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.
- F2Reporting person exercises voting and dispositive control over these shares and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest.
- F3Consists of (i) 44,075 shares of common stock beneficially owned by reporting person and (ii) 988 unvested shares of restricted common stock of Issuer of which 493 shares will vest on 04/01/2017, and 495 shares will vest on 04/01/2018.