Form 4 for TFIN Triumph Financial, Inc.
Accepted 2023-12-07 00:00:00 ET · period of report 2023-12-05 · accession 0001628280-23-041060 · 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 | 2023-12-07 | 2023-12-05 | TFIN | Nelson Adam D | EVP, GC | M - OptEx | $15.87 | +10.5K | 41.6K | +34% | +$167.3K |
| D | 2023-12-07 | 2023-12-05 | TFIN | Nelson Adam D | EVP, GC | S - Sale+OE | $70.53 | -10.5K | 31.1K | -25% | -$743.3K |
| D | 2023-12-07 | 2023-12-05 | TFIN | Nelson Adam D | EVP, GC | M - OptEx | $15.87 | -10.5K | 0 | -100% | -$167.3K |
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 | 2023-12-05 | M | A | 10,539 | $15.87 | 41,589 | D | — | — | |
| 2 | Common | Common Stock | 2023-12-05 | S | D | 10,539 | $70.53 | 31,050 | D | — | — | (F1) The reported price in Column 4 represents the weighted average price per share. Reporting person shall provide upon request by the Commission staff, the Issuer, or a Security Holder of the Issuer, full information regarding the number of shares purchased at each separate price. (F2) Consists of (i) 28,080 shares beneficially owned by reporting person, and (ii) 2,970 shares of restricted stock or restricted stock units of the reporting person subject to future vesting requirements. |
| 3 | Derivative | Employee Stock Options | 2023-12-05 | M | D | 10,539 | $15.87 | 0 | D | $15.87 · — to 2026-04-01 | 10,539 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. |