0001628280-23-015249.txt : 20230503 0001628280-23-015249.hdr.sgml : 20230503 20230503163855 ACCESSION NUMBER: 0001628280-23-015249 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230501 FILED AS OF DATE: 20230503 DATE AS OF CHANGE: 20230503 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Forman-Barenblit Melissa CENTRAL INDEX KEY: 0001923715 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36722 FILM NUMBER: 23884778 MAIL ADDRESS: STREET 1: 12700 PARK CENTRAL DRIVE STREET 2: SUITE 1700 CITY: DALLAS STATE: TX ZIP: 75251 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Triumph Financial, Inc. CENTRAL INDEX KEY: 0001539638 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 200477066 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 12700 PARK CENTRAL DRIVE STREET 2: SUITE 1700 CITY: DALLAS STATE: TX ZIP: 75251 BUSINESS PHONE: (214) 365-6900 MAIL ADDRESS: STREET 1: 12700 PARK CENTRAL DRIVE STREET 2: SUITE 1700 CITY: DALLAS STATE: TX ZIP: 75251 FORMER COMPANY: FORMER CONFORMED NAME: Triumph Bancorp, Inc. DATE OF NAME CHANGE: 20120113 4 1 wf-form4_168314631961251.xml FORM 4 X0407 4 2023-05-01 0 0001539638 Triumph Financial, Inc. TFIN 0001923715 Forman-Barenblit Melissa 12700 PARK CENTRAL DRIVE SUITE 1700 DALLAS TX 75251 0 1 0 0 EVP, Pres-TriumphPay-TBK Bank 0 Common Stock 2023-05-01 4 A 0 1951 0 A 26899 D Common Stock 2023-05-01 4 F 0 3891 51.25 D 23008 D Common Stock 295 I Owned By Reporting Person's Spouse Employee Stock Options 51.25 2023-05-01 4 A 0 3968 0 A 2033-05-01 Common Stock 3968.0 3968 D Employee Stock Options 69.44 2032-05-01 Common Stock 2187.0 2187 D Each share is represented by a Restricted Stock Unit ("RSU"). The RSUs will vest on the ratably on each of the first four anniversaries of the grant date. Represents the number of shares forfeited to cover tax withholding obligations in connection with the vesting of restricted stock or restricted stock unit awards. Consists of (i) 9,764 shares beneficially owned by reporting person, and (ii) 13,244 shares of restricted stock or restricted stock units of the reporting person subject to future vesting requirements. Represents non-qualified stock options of Issuer granted to reporting person under Issuer's 2014 Omnibus Incentive Plan. 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. /s/ Adam D. Nelson, Attorney-in-fact 2023-05-03