SEC Form 4 · accession 0001209191-17-007189
Triumph Financial, Inc. · TFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
C Todd Sparks
Director
Period of report
Jan 31, 2017
Accepted (ET)
Feb 2, 2017 · 5:14 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 | Jan 31, 2017 | A | 462 | $0.00 | A | 45,525 | D | |
| Common StockF3 | holding | — | — | — | 229,292 | I | By SBS Equity, LLC | |
| Common StockF3 | holding | — | — | — | 17,271 | I | By The Sparks Foundation, Inc. | |
| Common StockF3 | holding | — | — | — | 8,000 | I | By Sparco Market Fund |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares of common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. All of such shares were fully vested as of the date of grant.
- F2Consists of (i) 44,537 shares beneficially owned by reporting person, and (ii) 988 shares of restricted stock of the reporting person subject to future time vesting requirements.
- F3Reporting person exercises voting and dispositive control over these shares and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest.