SEC Form 4 · accession 0001209191-16-150623
Triumph Financial, Inc. · TFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles A Anderson
Director
Period of report
Nov 16, 2016
Accepted (ET)
Nov 16, 2016 · 5:40 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 | 22,725 | — | A | 145,307 | D |
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) 128,319 shares of common stock of Issuer beneficially owned by reporting person, (ii) 16,000 shares of common stock of Issuer beneficially owned jointly with reporting person's spouse Kim Anderson and (iii) 988 shares of restricted stock of the reporting person subject to future time vesting requirements.