SEC Form 4 · accession 0001209191-18-007029
Triumph Financial, Inc. · TFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Aaron P Graft
Officer — President & CEO · Director
Period of report
Nov 30, 2017
Accepted (ET)
Feb 2, 2018 · 5:17 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 | 3,505 | $0.00 | D | 478,116 | D | |
| Common StockF3 | holding | — | — | — | 3,315 | I | By Spouse |
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 charitable organization.
- F2Consists of (i) 467,352 shares beneficially owned by reporting person, and (ii) 10,764 shares of restricted stock of the reporting person subject to future vesting requirements.
- F33,315 shares indirectly owned through reporting person's spouse, by Goldman Sachs custodian FBO Kimberly Graft Roth IRA.