SEC Form 4 · accession 0001209191-17-059162
Triumph Financial, Inc. · TFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael P Rafferty
Director
Period of report
Nov 1, 2017
Accepted (ET)
Nov 3, 2017 · 4:15 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 Stock | Nov 1, 2017 | P | 500 | $30.84 | A | 24,196 | D | |
| Common StockF1 | Nov 2, 2017 | P | 500 | $30.60 | A | 24,696 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of (i) 13,217 shares of common stock of Issuer beneficially owned by reporting person, (ii) 10,984 shares of common stock beneficially owned jointly with spouse Linda B. Rafferty, and (iii) 495 shares of restricted stock of the reporting person subject to future time vesting requirements