Nelson Adam D's Form 4 filing
Triumph Financial, Inc.TFIN · filed Feb 13, 2024
- Accession no.
- 0001628280-24-004457
- Filed
- Feb 13, 2024
- Trade date
- Feb 9-12, 2024
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Checked
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market sales total $403.3K. It was filed 4 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 9, 2024 | Common Stock | MOption exerciseAcquired | +500 | $25.80 | +$12,900 | 31,550 | Direct | |
| Feb 9, 2024 | Common Stock | SSaleDisposed | −500 | $80.00F1 | −$40,000 | 31,050 | Direct | |
| Feb 12, 2024 | Common Stock | MOption exerciseAcquired | +4,523 | $25.80 | +$116,693.4 | 35,573 | Direct | |
| Feb 12, 2024 | Common Stock | SSaleDisposed | −4,523 | $80.32F1 | −$363,287.36 | 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 |
|---|---|---|---|---|---|---|---|---|
| Feb 9, 2024 | Common Stock | MOption exerciseDisposed | −500 | $25.80 | −$12,900 | 4,523 | Direct | |
| Feb 12, 2024 | Common Stock | MOption exerciseDisposed | −4,523 | $25.80 | −$116,693.4 | 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 2 transactions in Table I.