SEC Form 4 · accession 0001209191-18-060957
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
Dec 3, 2018
Accepted (ET)
Dec 4, 2018 · 5:20 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 StockF1,F2,F3 | Dec 3, 2018 | S | 10,000 | $37.84 | D | 335,291 | D | |
| Common StockF4 | holding | — | — | — | 3,315 | I | By Spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares were sold pursuant to a Rule 10b5-1 trading plan established by the Reporting Person. Sale was for 10,000 of the 40,000 total shares subject to the plan, the remainder of which shares may be sold during the next 11 months, subject to certain restrictions and limitations.
- F2The reported price in Column 4 represents the weighted average sale price.
- F3Consists of (i) 325,928 shares beneficially owned by reporting person, and (ii) 9,363 shares of restricted stock of the reporting person subject to future time vesting requirements.
- F43,315 shares indirectly owned through reporting person's spouse, by Goldman Sachs custodian FBO Kimberly Graft Roth IRA. Reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.