SEC Form 4 · accession 0001209191-18-040735
Triumph Financial, Inc. · TFIN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
C Todd Sparks
Director
Period of report
Jul 1, 2018
Accepted (ET)
Jul 3, 2018 · 2:07 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 StockF1 | Jul 1, 2018 | A | 552 | $0.00 | A | 45,169 | D | |
| Common StockF2 | holding | — | — | — | 272,119 | I | By SBS Equity, LLC | |
| Common StockF2 | holding | — | — | — | 8,000 | I | By Sparco Market Fund | |
| Common StockF2 | holding | — | — | — | 300 | I | By Spouse, Trustee of The Katherine A. Bolwing Trust I |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents 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.
- F2Reporting person exercises voting and dispositive control over these shares and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest.