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