SEC Form 4 · accession 0001209191-17-043611
Triumph Financial, Inc. · TFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Loren Davis
Director
Period of report
Jul 1, 2017
Accepted (ET)
Jul 5, 2017 · 6:09 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,F2 | Jul 1, 2017 | A | 509 | $0.00 | A | 65,064 | D | |
| Common StockF3 | holding | — | — | — | 132,430 | I | As Trustee |
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) 17,571 shares beneficially owned by reporting person, (ii) 46,998 shares of common stock held jointly with reporting person's spouse, Sheree Davis, and (iii) 495 shares of restricted stock of the reporting person subject to future time vesting requirements.
- F3Consists of (i) 66,215 shares indirectly owned as trustee of the Sheree Davis 2006 Children's Trust, and (ii) 66,215 shares indirectly owned as trustee of the Richard Davis 2006 Family Trust. Reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.