0001628280-24-020270.txt : 20240503 0001628280-24-020270.hdr.sgml : 20240503 20240503160352 ACCESSION NUMBER: 0001628280-24-020270 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240501 FILED AS OF DATE: 20240503 DATE AS OF CHANGE: 20240503 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Nelson Adam D CENTRAL INDEX KEY: 0001621766 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36722 FILM NUMBER: 24912925 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] ORGANIZATION NAME: 02 Finance 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_1714766604.xml FORM 4 X0508 4 2024-05-01 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 2024-05-01 4 A 0 1041 0 A 32091 D Common Stock 2024-05-01 4 A 0 1092 0 A 33183 D Common Stock 2024-05-01 4 F 0 898 72 D 32285 D Employee Stock Options 72 2024-05-01 4 A 0 2010 0 A 2034-05-01 Common Stock 2010 2010 D Employee Stock Options 51.25 2033-05-01 Common Stock 2976 2976 D Employee Stock Options 69.44 2032-05-01 Common Stock 2187 2187 D Employee Stock Options 88.63 2031-05-01 Common Stock 1802 1802 D Employee Stock Options 26.25 2030-05-01 Common Stock 4598 4598 D Employee Stock Options 31 2029-05-01 Common Stock 2529 2529 D Employee Stock Options 38.75 2028-05-01 Common Stock 3508 3508 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 units and performance awards. Consists of (i) 29,460 shares beneficially owned by reporting person, and (ii) 2,825 shares of restricted stock or restricted stock units of the reporting person subject to future vesting requirements. 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. Represents non-qualified stock options of Issuer granted to reporting person under Issuer's 2014 Omnibus Incentive Plan. /s/ Adam D. Nelson 2024-05-03