SEC Form 4 · accession 0001209191-16-153518
Triumph Financial, Inc. · TFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Adam D Nelson
Officer — EVP and General Counsel
Period of report
Dec 1, 2016
Accepted (ET)
Dec 5, 2016 · 7:24 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 | 1,054 | $21.45 | D | 19,842 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents 1,054 shares surrendered to satisfy applicable federal income tax withholding associated with the 12/1/16 vesting of 3,857 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) 15,144 shares of common stock beneficially owned by the reporting person, and (ii) 4,698 shares of restricted stock of the reporting person subject to future time vesting requirements.