SEC Form 4 · accession 0001209191-18-007005
Triumph Financial, Inc. · TFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carlos M Sepulveda
Director
Period of report
Nov 30, 2017
Accepted (ET)
Feb 2, 2018 · 5:08 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 | Nov 30, 2017 | G | 3,271 | $0.00 | D | 620,392 | D | |
| Common StockF3 | Dec 1, 2017 | G | 3,682 | $0.00 | D | 616,710 | D | |
| Common StockF4 | Dec 6, 2017 | G | 3,680 | $0.00 | D | 613,030 | D | |
| Common StockF5 | Dec 29, 2017 | G | 3,000 | $0.00 | D | 610,030 | D | |
| Common StockF6,F7 | Jan 31, 2018 | A | 827 | $0.00 | A | 610,857 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The transaction reported involved a gift by the reporting person to a 501(c)(3) charitable organization.
- F2Consists of (i) 464,749 shares beneficially owned by reporting person, (ii) 155,026 shares beneficially owned jointly with spouse Susan S Sepulveda, and (iii) 617 shares of restricted stock of the reporting person subject to future vesting requirements.
- F3Consists of (i) 461,067 shares beneficially owned by reporting person, (ii) 155,026 shares beneficially owned jointly with spouse Susan S Sepulveda, and (iii) 617 shares of restricted stock of the reporting person subject to future vesting requirements.
- F4Consists of (i) 457,387 shares beneficially owned by reporting person, (ii) 155,026 shares beneficially owned jointly with spouse Susan S Sepulveda, and (iii) 617 shares of restricted stock of the reporting person subject to future vesting requirements.
- F5Consists of (i) 454,387 shares beneficially owned by reporting person, (ii) 155,026 shares beneficially owned jointly with spouse Susan S Sepulveda, and (iii) 617 shares of restricted stock of the reporting person subject to future vesting requirements.
- F6Represents 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.
- F7Consists of (i) 455,214 shares beneficially owned by reporting person, (ii) 155,026 shares beneficially owned jointly with spouse Susan S Sepulveda, and (iii) 617 shares of restricted stock of the reporting person subject to future vesting requirements.