Form 4 for TFIN Triumph Financial, Inc.

Accepted 2022-05-04 00:00:00 ET · period of report 2022-05-01 · accession 0001209191-22-027100 · 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	2022-05-04	2022-05-01	TFIN	Brenner Geoffrey Paul	CEO - Triumph Business Capital	A - Grant	$0.00	+1,620	24.3K	+7%	$0
D	2022-05-04	2022-05-01	TFIN	Brenner Geoffrey Paul	CEO - Triumph Business Capital	F - Tax	$69.44	-1,477	22.8K	-6%	-$102.6K
D	2022-05-04	2022-05-01	TFIN	Brenner Geoffrey Paul	CEO - Triumph Business Capital	A - Grant	$0.00	+3,499	3,499	New	$0

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock	2022-05-01	A	A	1,620	$0.00	24,311	D	—	—	(F1) 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.
2	Common	Common Stock	2022-05-01	F	D	1,477	$69.44	22,834	D	—	—	(F2) Represents the number of shares forfeited to cover tax withholding obligations in connection with the vesting of restricted stock awards. (F3) Consists of (i) 5,241 shares beneficially owned by reporting person, and (ii) 17,593 shares of restricted stock of the reporting person subject to future vesting requirements.
3	Derivative	Employee Stock Options	2022-05-01	A	A	3,499	$0.00	3,499	D	$69.44 · — to 2032-05-01	3,499 Common Stock	(F4) Represents non-qualified stock options of Issuer granted to reporting person under Issuer's 2014 Omnibus Incentive Plan. (F5) 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.