0001628280-23-024457.txt : 20230706 0001628280-23-024457.hdr.sgml : 20230706 20230706161708 ACCESSION NUMBER: 0001628280-23-024457 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230703 FILED AS OF DATE: 20230706 DATE AS OF CHANGE: 20230706 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Davis Richard Loren CENTRAL INDEX KEY: 0001623821 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36722 FILM NUMBER: 231073800 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_168867461334621.xml FORM 4 X0407 4 2023-07-03 0 0001539638 Triumph Financial, Inc. TFIN 0001623821 Davis Richard Loren 12700 PARK CENTRAL DRIVE SUITE 1700 DALLAS TX 75251 1 0 0 0 0 Common Stock 2023-07-03 4 A 0 571 0 A 54256 D Common Stock 74079 I By Sheree Davis 2006 Children?s Trust Common Stock 74079 I By Rick Davis 2006 Family Trust Depository Shares 20000 D Represents 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. Consists of (i) 15,628 shares of common stock of Issuer beneficially owned by reporting person, and (ii) 38,628 shares of common stock of Issuer beneficially owned jointly with reporting person's spouse Sheree Davis. These 74,079 shares are beneficially owned by reporting person as trustee of the Sheree Davis 2006 Children's Trust. Reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. These 74,079 shares are beneficially owned by reporting person as trustee of the Rick Davis 2006 Family Trust. Reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Each Depository Share represents a 1/40th interest in a share of the Issuer's 7.125% Series C Fixed Rate Non-Cumulative Perpetual Preferred Stock, par value $0.01 per share. Shares purchased in an underwritten public offering. /s/ Adam D. Nelson, Attorney-in-fact 2023-07-06