Nelson Adam D's Form 4 filing
Triumph Financial, Inc.TFIN · filed Dec 7, 2023
- Accession no.
- 0001628280-23-041060
- Filed
- Dec 7, 2023
- Trade date
- Dec 5, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Checked
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market sales total $743.3K. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Nelson Adam DCIK 0001621766 | Officer (EVP and General Counsel) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 5, 2023 | Common Stock | MOption exerciseAcquired | +10,539 | $15.87 | +$167,253.93 | 41,589 | Direct | |
| Dec 5, 2023 | Common Stock | SSaleDisposed | −10,539 | $70.53F1 | −$743,315.67 | 31,050 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 5, 2023 | Common Stock | MOption exerciseDisposed | −10,539 | $15.87 | −$167,253.93 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- 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.
Referenced by the price of 1 transaction in Table I.