SEC Form 4 · accession 0001209191-18-006974
Triumph Financial, Inc. · TFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
C Todd Sparks
Director
Period of report
Dec 1, 2017
Accepted (ET)
Feb 2, 2018 · 4:58 pm EST
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 StockF2 | Dec 1, 2017 | G | 2,000 | $0.00 | D | 44,034 | D | |
| Common StockF3,F4 | Jan 31, 2018 | A | 583 | $0.00 | A | 44,617 | D | |
| Common StockF5 | holding | — | — | — | 272,119 | I | By SBS Equity, LLC | |
| Common StockF5 | holding | — | — | — | 8,000 | I | By Sparco Market Fund |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents a bone fide gift to The Sparks Foundation, Inc., a 501(c)(3) charitable organization.
- F2Consists of (i) 43,539 shares beneficially owned by reporting person, and (ii) 495 shares of restricted stock of the reporting person subject to future vesting requirements.
- F3Represents 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.
- F4Consists of (i) 44,122 shares beneficially owned by reporting person, and (ii) 495 shares of restricted stock of the reporting person subject to future vesting requirements.
- F5Reporting person exercises voting and dispositive control over these shares and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest.