Triumph Financial, Inc. — Director's Dealing 2021

Sep 1, 2021

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: Triumph Bancorp, Inc. (TBK)
CIK: 0001539638
Period of Report: 2021-09-01

Reporting Person: Voss William B. (Chief Financial Officer)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	8148	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Employee Stock Options	$15.87	2026-04-01	Common Stock (427)		Direct
Employee Stock Options	$25.80	2027-04-01	Common Stock (435)		Direct
Employee Stock Options	$38.75	2028-05-01	Common Stock (625)		Direct

Footnotes

F1: Consists of (i) 6,109 shares beneficially owned by reporting person, and (ii) 2,039 shares of restricted stock of the reporting person subject to future vesting requirements

F2: Represents non-qualified stock options of Issuer granted to reporting person under Issuer's 2014 Omnibus Incentive Plan.

F3: Stock Option award date April 1, 2016. Exercise of the employee stock option is subject to vesting over four years from the date of grant, with one fourth of such options becoming exercisable on each of the first four anniversaries of the date of grant. These shares are fully vested and exercisable as of the date of Form 3 filing.

F4: Stock Option award date April 1, 2017. Exercise of the employee stock option is subject to vesting over four years from the date of grant, with one fourth of such options becoming exercisable on each of the first four anniversaries of the date of grant. These shares are fully vested and exercisable as of the date of Form 3 filing.

F5: Stock Option award date May 1, 2018. Exercise of the employee stock option is subject to vesting over four years from the date of grant, with one fourth of such options becoming exercisable on each of the first four anniversaries of the date of grant. Final tranche vesting of 157 shares will occur on May 1, 2022.