SEC Form 4 · accession 0001209191-18-040729
Triumph Financial, Inc. · TFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carlos M Sepulveda
Director
Period of report
Jun 4, 2018
Accepted (ET)
Jul 3, 2018 · 2:02 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 StockF2 | Jun 4, 2018 | G | 3,895 | $0.00 | D | 520,483 | D | |
| Common StockF4 | Jun 11, 2018 | G | 610 | $0.00 | D | 519,873 | D | |
| Common StockF6 | Jun 18, 2018 | G | 2,425 | $0.00 | D | 517,448 | D | |
| Common StockF7,F8 | Jul 1, 2018 | A | 782 | $0.00 | A | 518,230 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The transaction reported involved two separate gifts made on June 4, 2018 by the reporting person to 501(c)(3) charitable organizations.
- F2Consists of (i) 365,457 shares beneficially owned by reporting person, and (ii) 155,026 shares beneficially owned jointly with spouse Susan S. Sepulveda.
- F3The transaction reported involved two separate gifts made on June 11, 2018 by the reporting person to 501(c)(3) charitable organizations.
- F4Consists of (i) 364,847 shares beneficially owned by reporting person, and (ii) 155,026 shares beneficially owned jointly with spouse Susan S. Sepulveda.
- F5The transaction reported involved a gift made on June 18, 2018 by the reporting person to a 501(c)(3) charitable organization.
- F6Consists of (i) 362,422 shares beneficially owned by reporting person, and (ii) 155,026 shares beneficially owned jointly with spouse Susan S. Sepulveda.
- F7Represents 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.
- F8Consists of (i) 363,204 shares beneficially owned by reporting person, and (ii) 155,026 shares beneficially owned jointly with spouse Susan S. Sepulveda.