0001104659-20-079224.txt : 20200630 0001104659-20-079224.hdr.sgml : 20200630 20200630194758 ACCESSION NUMBER: 0001104659-20-079224 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200522 FILED AS OF DATE: 20200630 DATE AS OF CHANGE: 20200630 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Brown Steve Louis CENTRAL INDEX KEY: 0001796793 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-56139 FILM NUMBER: 201003628 MAIL ADDRESS: STREET 1: C/O TRINITY CAPITAL INC. STREET 2: 3075 WEST RAY ROAD, SUITE 525 CITY: CHANDLER STATE: AZ ZIP: 85226 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Trinity Capital Inc. CENTRAL INDEX KEY: 0001786108 IRS NUMBER: 000000000 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3075 WEST RAY ROAD STREET 2: SUITE 525 CITY: CHANDLER STATE: AZ ZIP: 85226 BUSINESS PHONE: 480.374.5350 MAIL ADDRESS: STREET 1: 3075 WEST RAY ROAD STREET 2: SUITE 525 CITY: CHANDLER STATE: AZ ZIP: 85226 4 1 tm2023865d1_4.xml OWNERSHIP DOCUMENT X0306 4 2020-05-22 0 0001786108 Trinity Capital Inc. NONE 0001796793 Brown Steve Louis C/O TRINITY CAPITAL INC. 3075 WEST RAY ROAD, SUITE 525 CHANDLER AZ 85526 1 1 0 0 Chairman and CEO Common Stock 2020-05-22 4 J 0 5397 D 25108 I By Brown TCI, LLC Common Stock 2020-06-19 4 J 0 40459 D 8092 I By The Steven and Patricia Brown Family Trust, dated March 19, 1998 Common Stock 2020-06-26 4 J 0 12514 D 16192 I By (i) Brown TCI, LLC and (ii) The Steven and Patricia Brown Family Trust, dated March 19, 1998 The reporting person is hereby disclosing a delinquent transaction reportable on Form 4 that was not reported due to an inadvertent administrative oversight. In addition, in a Form 3 filed on March 16, 2020, Steven L. Brown reported direct ownership of 576,364 shares. This Form 4 hereby corrects such disclosure to reflect that of such shares, Mr. Brown directly owns 505,400 shares and was deemed to indirectly own 30,505 shares due to his control of Brown TCI, LLC ("Brown TCI"). On May 22, 2020, Brown TCI transferred ownership of 5,397 shares to an underlying member of Brown TCI in proportion to such member's ownership interest in Brown TCI. Such transfer was at $15.00 per share - the same price per share that Brown TCI acquired the shares. As a result of this transfer, Mr. Brown is deemed to indirectly own 25,108 shares through his control of Brown TCI. Of such 25,108 shares, Mr. Brown disclaims beneficial ownership of 21,510 shares. The reporting person is hereby disclosing a delinquent transaction reportable on Form 4 that was not reported due to an inadvertent administrative oversight. In addition, in a Form 3 filed on March 16, 2020, Mr. Brown reported direct ownership of 576,364 shares. This Form 4 hereby corrects such disclosure to reflect that of such shares, Mr. Brown directly owns 505,400 shares and was deemed to indirectly own 40,459 shares due to his control of Brown TCI II, LLC ("Brown TCI II"). On June 19, 2020, Brown TCI II transferred ownership of all of such shares to its underlying members in proportion to their ownership interests in Brown TCI II. Such transfers were at $15.00 per share - the same price per share that Brown TCI II acquired the shares. As a result of the transfers discussed in footnote 2 above, Brown TCI II no longer holds or owns any shares, and Mr. Brown is deemed to indirectly own 8,092 shares through The Steven and Patricia Brown Family Trust, dated March 19, 1998, a member of Brown TCI II that received ownership of such shares through such transfers. Mr. Brown was deemed to indirectly own 25,108 shares due to his control of Brown TCI. On June 26, 2020, Brown TCI transferred ownership of 12,514 shares to certain underlying members of Brown TCI in proportion to such members' ownership interests in Brown TCI. Such transfers were at $15.00 per share - the same price per share that Brown TCI acquired the shares. As a result of these transfers, Mr. Brown is deemed to indirectly own (i) 12,594 shares through his control of Brown TCI and (ii) 3,598 shares through The Steven and Patricia Brown Family Trust, dated March 19, 1998, a member of Brown TCI that received ownership of such shares through such transfers. Mr. Brown disclaims beneficial ownership of such 12,594 shares. *Scott Harvey is signing on behalf of Mr. S. Brown pursuant to the power of attorney dated March 16, 2020, which was previously filed with the Securities and Exchange Commission as an exhibit to the Form 3 Mr. Brown filed on March 16, 2020. /s/ Scott Harvey, on behalf of Steven L. Brown(*) 2020-06-30