SEC Form 4 · accession 0001209191-17-049226
Triumph Financial, Inc. · TFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
C Todd Sparks
Director
Period of report
Aug 14, 2017
Accepted (ET)
Aug 16, 2017 · 4:41 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 | 1,498 | — | A | 243,599 | I | By SBS Equity, LLC |
| Common StockF3 | holding | — | — | — | 46,034 | D | ||
| Common StockF2 | holding | — | — | — | 17,271 | I | By The Sparks Foundation, Inc. | |
| Common StockF2 | holding | — | — | — | 8,000 | I | By Sparco Market Fund |
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.
- F2Reporting person exercises voting and dispositive control over these shares and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest.
- F3Consists of (i) 45,539 shares beneficially owned by reporting person, and (ii) 495 shares of restricted stock of the reporting person subject to future vesting requirements.