0001628280-23-015247.txt : 20230503 0001628280-23-015247.hdr.sgml : 20230503 20230503163804 ACCESSION NUMBER: 0001628280-23-015247 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: Nelson Adam D CENTRAL INDEX KEY: 0001621766 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36722 FILM NUMBER: 23884765 MAIL ADDRESS: STREET 1: 12700 PARK CENTRAL DRIVE 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_168314626403283.xml FORM 4 X0407 4 2023-05-01 0 0001539638 Triumph Financial, Inc. TFIN 0001621766 Nelson Adam D 12700 PARK CENTRAL DRIVE SUITE 1700 DALLAS TX 75251 0 1 0 0 EVP and General Counsel 0 Common Stock 2023-05-01 4 A 0 1463 0 A 27901 D Common Stock 2023-05-01 4 A 0 5428 0 A 33329 D Common Stock 2023-05-01 4 F 0 2279 51.25 D 31050 D Employee Stock Options 51.25 2023-05-01 4 A 0 2976 0 A 2033-05-01 Common Stock 2976.0 2976 D Employee Stock Options 69.44 2032-05-01 Common Stock 2187.0 2187 D Employee Stock Options 88.63 2031-05-01 Common Stock 1802.0 1802 D Employee Stock Options 26.25 2030-05-01 Common Stock 4598.0 4598 D Employee Stock Options 31.0 2029-05-01 Common Stock 2529.0 2529 D Employee Stock Options 38.75 2028-05-01 Common Stock 3508.0 3508 D Employee Stock Options 25.8 2027-04-01 Common Stock 5023.0 5023 D Employee Stock Options 15.87 2026-04-01 Common Stock 10539.0 10539 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 earned upon satisfaction of performance goals in connection with performance-based restricted stock units. Represents the number of shares forfeited to cover tax withholding obligations in connection with the vesting of restricted stock or restricted stock unit and performance awards. Consists of (i) 28,080 shares beneficially owned by reporting person, and (ii) 2,970 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. Adam D. Nelson 2023-05-03