SEC Form 4 · accession 0001209191-17-049213
Triumph Financial, Inc. · TFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles A Anderson
Director
Period of report
Aug 14, 2017
Accepted (ET)
Aug 16, 2017 · 4:31 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 | Aug 14, 2017 | J | 1,872 | — | A | 162,657 | D | |
| Common StockF3,F4 | Aug 14, 2017 | P | 2,000 | $27.66 | A | 164,657 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares were distributed to the reporting person as the ultimate recipient of a distribution made by Triumph Consolidated Cos., LLC, under the terms of its operating agreement. See Footnote 1 to "Security Ownership of Certain Beneficial Owners and Management" of Issuer's most recent proxy statement on Form 14-A filed with the Securities and Exchange Commission on March 24, 2017.
- F2Consists of (i) 141,662 shares of common stock of Issuer beneficially owned by reporting person, (ii) 20,500 shares of common stock of Issuer beneficially owned jointly with reporting person's spouse Kim Anderson, and (iii) 495 shares of restricted stock of the reporting person subject to future time vesting requirements.
- F3$27.66 represents the weighted average purchase price per share for the 2,000 aggregate amount of shares in the transaction reported on this line. The range of price per share in the reported transaction is $27.50 to $27.70. Reporting person shall provide upon request by the Commission staff, the Issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.
- F4Consists of (i) 141,662 shares of common stock of Issuer beneficially owned by reporting person, (ii) 22,500 shares of common stock of Issuer beneficially owned jointly with reporting person's spouse Kim Anderson and (iii) 495 shares of restricted stock of the reporting person subject to future time vesting requirements.