Form 4 for TFIN Triumph Financial, Inc.
Accepted 2021-10-27 00:00:00 ET · period of report 2021-10-25 · accession 0001209191-21-061790 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2021-10-27 | 2021-10-25 | TFIN | Lehmann Gail | EVP, Sec | S - Sale+OE | $117.84 | -7,917 | 29.5K | -21% | -$932.9K |
| DM | 2021-10-27 | 2021-10-25 | TFIN | Lehmann Gail | EVP, Sec | M - OptEx | $16.80 | +7,917 | 36.7K | +28% | +$133.0K |
| DM | 2021-10-27 | 2021-10-25 | TFIN | Lehmann Gail | EVP, Sec | M - OptEx | $0.00 | -7,917 | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-10-25 | S | D | 7,917 | $117.84 | 29,480 | D | — | — | (F1) The reported price in column 4 represents the weighted average sale price. Reporting person will provide, upon request by the commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price. (F2) Consists of (i) 26,596 shares of common stock beneficially owned by reporting person, and (ii) 2,884 shares of restricted stock of the reporting person subject to future time vesting requirements. |
| 2 | Common | Common Stock | 2021-10-25 | M | A | 741 | $25.80 | 37,397 | D | — | — | |
| 3 | Common | Common Stock | 2021-10-25 | M | A | 7,176 | $15.87 | 36,656 | D | — | — | |
| 4 | Derivative | Employee Stock Options | 2021-10-25 | M | D | 741 | $0.00 | 4,382 | D | $25.80 · — to 2027-04-01 | 5,123 Common Stock | (F3) Represents non-qualified stock options of Issuer granted to reporting person under Issuer's 2014 Omnibus Incentive Plan. (F4) 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. |
| 5 | Derivative | Employee Stock Options | 2021-10-25 | M | D | 7,176 | $0.00 | 0 | D | $15.87 · — to 2026-04-01 | 7,176 Common Stock | (F3) Represents non-qualified stock options of Issuer granted to reporting person under Issuer's 2014 Omnibus Incentive Plan. (F4) 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. |