SEC Form 4 · accession 0001209191-17-028655
Triumph Financial, Inc. · TFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Justin N Trail
Director
Period of report
Apr 27, 2017
Accepted (ET)
Apr 28, 2017 · 2:33 pm EDT
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 | Apr 27, 2017 | P | 35 | $21.98 | A | 385 | I | By children UTMA/UGMA accounts |
| Common StockF2 | Apr 27, 2017 | P | 70 | $21.93 | A | 455 | I | By children UTMA/UGMA accounts |
| Common StockF3 | holding | — | — | — | 62,249 | D | ||
| Common StockF4 | holding | — | — | — | 32,873 | I | By JTHT Enterprises, Ltd. | |
| Common StockF5 | holding | — | — | — | 4,286 | I | By spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 200 shares of common stock indirectly owned through E*TRADE UTMA/UGMA Account FBO minor daughter Hannah Trail; (ii) 135 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.
- F2Consists of (i) 270 shares of common stock indirectly owned through E*TRADE UTMA/UGMA Account FBO minor daughter Hannah Trail; (ii) 135 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.
- F3Consists of (i) 61,789 shares beneficially owned by reporting person, and (ii) 495 shares of restricted stock of reporting person subject to future time vesting requirements.
- F4Reporting person exercises voting and dispositive control over these shares and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest.
- F5By Equity Trust Company Custodian FBO Tamara Trail IRA. Reporting person disclaims beneficial ownership of these shares.