0001628280-23-041060.txt : 20231207 0001628280-23-041060.hdr.sgml : 20231207 20231207160304 ACCESSION NUMBER: 0001628280-23-041060 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231205 FILED AS OF DATE: 20231207 DATE AS OF CHANGE: 20231207 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: 231472343 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 wk-form4_1701982973.xml FORM 4 X0508 4 2023-12-05 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 1 Common Stock 2023-12-05 4 M 0 10539 15.87 A 41589 D Common Stock 2023-12-05 4 S 0 10539 70.53 D 31050 D Employee Stock Options 15.87 2023-12-05 4 M 0 10539 15.87 D 2026-04-01 Common Stock 10539 0 D The reported price in Column 4 represents the weighted average price per share. Reporting person shall provide upon request by the Commission staff, the Issuer, or a Security Holder of the Issuer, full information regarding the number of shares purchased at each separate price. 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. /s/ Adam D. Nelson 2023-12-07