AI assistant
Triumph Financial, Inc. — Director's Dealing 2021
May 4, 2021
31953_dirs_2021-05-04_18cd9ac6-642c-4aae-99c0-c0733ad60bc1.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Triumph Bancorp, Inc. (TBK)
CIK: 0001539638
Period of Report: 2021-05-01
Reporting Person: Nelson Adam D (EVP and General Counsel)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-05-01 | Common Stock | F | 215 | $88.63 | Disposed | 14257 | Direct |
| 2021-05-01 | Common Stock | A | 719 | $0.00 | Acquired | 14976 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-05-01 | Employee Stock Options | $88.63 | A | 1802 | Acquired | 2031-05-01 | Common Stock (1802) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Options | $26.25 | 2030-05-01 | Common Stock (4598) | 4598 | Direct |
| Employee Stock Options | $31.00 | 2029-05-01 | Common Stock (2529) | 2529 | Direct |
| Employee Stock Options | $38.75 | 2028-05-01 | Common Stock (3508) | 3508 | Direct |
| Employee Stock Options | $25.80 | 2027-04-01 | Common Stock (5023) | 5023 | Direct |
| Employee Stock Options | $15.87 | 2026-04-01 | Common Stock (10539) | 10539 | Direct |
Footnotes
F1: Represents 215 shares surrendered to satisfy applicable federal income tax withholding associated with the 5/1/2021 vesting of 891 shares of restricted stock issued to the reporting person.
F2: Consists of (i) 12,384 shares beneficially owned by reporting person, and (ii) 1,873 shares of restricted stock of the reporting person subject to future vesting requirements.
F3: Represents shares of restricted common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. One fourth of such shares shall vest on each of the first four anniversaries of the date of grant.
F4: Consists of (i) 12,384 shares beneficially owned by reporting person, and (ii) 2,592 shares of restricted stock of the reporting person subject to future vesting requirements.
F5: Represents non-qualified stock options of Issuer granted to reporting person under Issuer's 2014 Omnibus Incentive Plan.
F6: 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.