SEC Form 4 · accession 0001209191-16-156322
Triumph Financial, Inc. · TFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carlos M Sepulveda
Director
Period of report
Dec 19, 2016
Accepted (ET)
Dec 21, 2016 · 4:19 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 Stock | Dec 19, 2016 | G | 9,006 | $0.00 | D | 524,451 | D | |
| Common StockF2 | Dec 19, 2016 | G | 9,006 | $0.00 | D | 515,445 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents a charitable donation of shares by the reporting person.
- F2Consists of (i) 359,185 shares beneficially owned by reporting person, (ii) 155,026 shares beneficially owned jointly with spouse Susan S. Sepulveda, and (iii) 1,234 shares of restricted stock of the reporting person subject to future vesting requirements.