SEC Form 4 · accession 0001209191-16-153516
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
Dec 1, 2016
Accepted (ET)
Dec 5, 2016 · 7:23 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 1, 2016 | F | 2,735 | $21.45 | D | 305,722 | D | |
| Common StockF4 | holding | — | — | — | 3,315 | I | By Spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents 2,735 shares surrendered to satisfy applicable federal income tax withholding associated with the 12/1/16 vesting of 10,000 shares of restricted stock issued to reporting person.
- F2Represents closing price per share of Issuer's common stock on the date of vesting (12/1/16).
- F3Consists of (i) 295,251 shares beneficially owned by reporting person, and (ii) 10,471 shares of restricted stock of the reporting person subject to future time vesting requirements.
- F4By 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.