SEC Form 4 · accession 0001209191-17-007192

Triumph Financial, Inc. · TFIN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Jan 31, 2017

Accepted (ET)

Feb 2, 2017 · 5:15 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^F1,F2	Jan 31, 2017	A	462	$0.00	A	41,749	D
Common Stock^F3	holding	—	—		—	32,612	I	By JTHT Enterprises, Ltd.
Common Stock^F4	holding	—	—		—	4,286	I	By spouse
Common Stock^F5	holding	—	—		—	350	I	By children UTMA/UGMA accounts

No Table II lines on this filing.

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) 40,761 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.
F4By Equity Trust Company Custodian FBO Tamara Trail IRA. Reporting person disclaims beneficial ownership of these shares.
F5Consists of (i) 200 shares of common stock indirectly owned through E*TRADE UTMA/UGMA Account FBO minor daughter Hannah Trail; (ii) 100 shares of common stock indirectly owned through E*TRADE UTMA/UGMA Account FBO minor daughter Robyn Trail; and (iii) 50 shares of common stock indirectly owned through E*TRADE UTMA/UGMA Account FBO minor daughter Charli Trail. Reporting person, as Custodian, exercise voting and dispositive control over these shares and disclaims beneficial ownership of such shares.