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Triumph Financial, Inc.

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Tapewire entity
4635
SEC CIK
0001539638
Parsed reports
473

Last 12 months

Inside the activity.

2 purchase rows · 5 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202501
Jan 202600
Feb 202610
Mar 202601
Apr 202600
May 202611
Jun 202600
Jul 202600
Aug 202602
Sep 202600
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
August 14, 2017 Filed Aug 16, 2017 20:42 UTC OtherCommon Stock 30 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-049227 · doc4.xml · nonDerivative · entry 1

Trail Justin N · CIK 0001623619 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By JTHT Enterprises, Ltd.

Disclosed balance after: 32,903

F1 · shares: Shares were distributed to JTHT Enterprises, Ltd. as the ultimate recipient of a distribution made by Triumph Consolidated Cos., LLC, under the terms of its operating agreement. See Footnote 1 to "Security Ownership of Certain Beneficial Owners and Management" of Issuer's most recent proxy statement on Form 14A filed with the Securities and Exchange Commission on March 24, 2017.

F1 · price: Shares were distributed to JTHT Enterprises, Ltd. as the ultimate recipient of a distribution made by Triumph Consolidated Cos., LLC, under the terms of its operating agreement. See Footnote 1 to "Security Ownership of Certain Beneficial Owners and Management" of Issuer's most recent proxy statement on Form 14A filed with the Securities and Exchange Commission on March 24, 2017.

F2 · ownership.nature: Reporting person exercises voting and dispositive control over these shares and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest.

Read SEC document
August 14, 2017 Filed Aug 16, 2017 20:41 UTC OtherCommon Stock 1,498 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-049226 · doc4.xml · nonDerivative · entry 1

Sparks C Todd · CIK 0001621665 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By SBS Equity, LLC

Disclosed balance after: 243,599

F1 · shares: Shares were distributed to the reporting person as the ultimate recipient of a distribution made by Triumph Consolidated Cos., LLC, under the terms of its operating agreement. See Footnote 1 to "Security Ownership of Certain Beneficial Owners and Management" of Issuer's most recent proxy statement on Form 14-A filed with the Securities and Exchange Commission on March 24, 2017.

F1 · price: Shares were distributed to the reporting person as the ultimate recipient of a distribution made by Triumph Consolidated Cos., LLC, under the terms of its operating agreement. See Footnote 1 to "Security Ownership of Certain Beneficial Owners and Management" of Issuer's most recent proxy statement on Form 14-A filed with the Securities and Exchange Commission on March 24, 2017.

F2 · ownership.nature: Reporting person exercises voting and dispositive control over these shares and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest.

Read SEC document
August 14, 2017 Filed Aug 16, 2017 20:38 UTC
Nelson Adam DEVP and General Counsel
OtherCommon Stock 153 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-049222 · doc4.xml · nonDerivative · entry 1

Nelson Adam D · CIK 0001621766 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,632

F1 · shares: Shares were distributed to the reporting person as the ultimate recipient of a distribution made by Triumph Consolidated Cos., LLC, under the terms of its operating agreement. See Footnote 1 to "Security Ownership of Certain Beneficial Owners and Management" of Issuer's most recent proxy statement on Form 14-A filed with the Securities and Exchange Commission on March 24, 2017.

F1 · price: Shares were distributed to the reporting person as the ultimate recipient of a distribution made by Triumph Consolidated Cos., LLC, under the terms of its operating agreement. See Footnote 1 to "Security Ownership of Certain Beneficial Owners and Management" of Issuer's most recent proxy statement on Form 14-A filed with the Securities and Exchange Commission on March 24, 2017.

F2 · balance_after: Consists of (i) 17,615 shares beneficially owned by reporting person, and (ii) 5,017 shares of restricted stock of the reporting person subject to future vesting requirements.

Read SEC document
August 14, 2017 Filed Aug 16, 2017 20:34 UTC
Graft Aaron PDirector · President & CEO
OtherCommon Stock 12,282 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-049219 · doc4.xml · nonDerivative · entry 1

Graft Aaron P · CIK 0001621666 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 423,534

F1 · shares: Shares were distributed to the reporting person as the ultimate recipient of a distribution made by Triumph Consolidated Cos., LLC, under the terms of its operating agreement. See Footnote 1 to "Security Ownership of Certain Beneficial Owners and Management" of Issuer's most recent proxy statement on Form 14-A filed with the Securities and Exchange Commission on March 24, 2017.

F1 · price: Shares were distributed to the reporting person as the ultimate recipient of a distribution made by Triumph Consolidated Cos., LLC, under the terms of its operating agreement. See Footnote 1 to "Security Ownership of Certain Beneficial Owners and Management" of Issuer's most recent proxy statement on Form 14-A filed with the Securities and Exchange Commission on March 24, 2017.

F2 · balance_after: Consists of (i) 412,770 shares beneficially owned by reporting person, and (ii) 10,764 shares of restricted stock of the reporting person subject to future vesting requirements.

Read SEC document
August 14, 2017 Filed Aug 16, 2017 20:31 UTC PurchaseCommon Stock 2,000 $27.66 $55,320.00
Disclosure

SEC source: 0001209191-17-049213 · doc4.xml · nonDerivative · entry 2

Anderson Charles A · CIK 0001623596 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 164,657

F3 · price: $27.66 represents the weighted average purchase price per share for the 2,000 aggregate amount of shares in the transaction reported on this line. The range of price per share in the reported transaction is $27.50 to $27.70. 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.

F4 · balance_after: Consists of (i) 141,662 shares of common stock of Issuer beneficially owned by reporting person, (ii) 22,500 shares of common stock of Issuer beneficially owned jointly with reporting person's spouse Kim Anderson and (iii) 495 shares of restricted stock of the reporting person subject to future time vesting requirements.

Read SEC document
August 14, 2017 Filed Aug 16, 2017 20:31 UTC OtherCommon Stock 1,872 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-049213 · doc4.xml · nonDerivative · entry 1

Anderson Charles A · CIK 0001623596 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,657

F1 · shares: Shares were distributed to the reporting person as the ultimate recipient of a distribution made by Triumph Consolidated Cos., LLC, under the terms of its operating agreement. See Footnote 1 to "Security Ownership of Certain Beneficial Owners and Management" of Issuer's most recent proxy statement on Form 14-A filed with the Securities and Exchange Commission on March 24, 2017.

F1 · price: Shares were distributed to the reporting person as the ultimate recipient of a distribution made by Triumph Consolidated Cos., LLC, under the terms of its operating agreement. See Footnote 1 to "Security Ownership of Certain Beneficial Owners and Management" of Issuer's most recent proxy statement on Form 14-A filed with the Securities and Exchange Commission on March 24, 2017.

F2 · balance_after: Consists of (i) 141,662 shares of common stock of Issuer beneficially owned by reporting person, (ii) 20,500 shares of common stock of Issuer beneficially owned jointly with reporting person's spouse Kim Anderson, and (iii) 495 shares of restricted stock of the reporting person subject to future time vesting requirements.

Read SEC document
July 01, 2017 Filed Jul 5, 2017 18:05 UTC GrantCommon Stock 509 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-043564 · doc4.xml · nonDerivative · entry 1

KRATZ DOUGLAS M · CIK 0001040832 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,172

F1 · shares: Represents shares of common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. All of such shares were fully vested as of the date of grant.

F1 · price: Represents shares of common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. All of such shares were fully vested as of the date of grant.

F2 · balance_after: Consists of (i) 149,677 shares beneficially owned by reporting person, and (ii) 495 shares of restricted stock of the reporting person subject to future vesting requirements.

Read SEC document
July 01, 2017 Filed Jul 5, 2017 18:19 UTC GrantCommon Stock 509 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-043651 · doc4.xml · nonDerivative · entry 1

Perpall Frederick · CIK 0001686973 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,508

F1 · shares: Represents shares of common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. All of such shares were fully vested as of the date of grant.

F1 · price: Represents shares of common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. All of such shares were fully vested as of the date of grant.

Read SEC document
July 01, 2017 Filed Jul 5, 2017 22:17 UTC GrantCommon Stock 509 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-043645 · doc4.xml · nonDerivative · entry 1

Miller Maribess L · CIK 0001488288 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,258

F1 · shares: Represents shares of common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. All of such shares were fully vested as of the date of grant.

F1 · price: Represents shares of common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. All of such shares were fully vested as of the date of grant.

F2 · balance_after: Consists of (i) 16,763 shares beneficially owned by reporting person, and (ii) 495 shares of restricted stock of the reporting person subject to future vesting requirements.

Read SEC document
July 01, 2017 Filed Jul 5, 2017 22:25 UTC GrantCommon Stock 610 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-043663 · doc4.xml · nonDerivative · entry 1

Sepulveda Carlos M · CIK 0001405703 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 565,641

F1 · shares: Represents shares of common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. All of such shares were fully vested as of the date of grant.

F1 · price: Represents shares of common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. All of such shares were fully vested as of the date of grant.

F2 · balance_after: Consists of (i) 409,998 shares beneficially owned by reporting person, (ii) 155,026 shares beneficially owned jointly with spouse Susan S Sepulveda, and (iii) 617 shares of restricted stock of the reporting person subject to future time vesting requirements.

Read SEC document
July 01, 2017 Filed Jul 5, 2017 22:30 UTC GrantCommon Stock 509 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-043677 · doc4.xml · nonDerivative · entry 1

Trail Justin N · CIK 0001623619 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,758

F1 · shares: Represents shares of common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. All of such shares were fully vested as of the date of grant.

F1 · price: Represents shares of common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. All of such shares were fully vested as of the date of grant.

F2 · balance_after: Consists of (i) 62,263 shares beneficially owned by reporting person, and (ii) 495 shares of restricted stock of the reporting person subject to future vesting requirements.

Read SEC document
July 01, 2017 Filed Jul 5, 2017 22:22 UTC GrantCommon Stock 509 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-043657 · doc4.xml · nonDerivative · entry 1

Rafferty Michael P · CIK 0001621769 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,196

F1 · shares: Represents shares of common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. All of such shares were fully vested as of the date of grant.

F1 · price: Represents shares of common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. All of such shares were fully vested as of the date of grant.

F2 · balance_after: Consists of (i) 13,217 shares of common stock of Issuer beneficially owned by reporting person, (ii) 7,984 shares of common stock beneficially owned jointly with spouse Linda B. Rafferty, and (iii) 495 shares of restricted stock of the reporting person subject to future time vesting requirements

Read SEC document
July 01, 2017 Filed Jul 5, 2017 22:27 UTC GrantCommon Stock 509 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-043667 · doc4.xml · nonDerivative · entry 1

Sparks C Todd · CIK 0001621665 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,034

F1 · shares: Represents shares of common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. All of such shares were fully vested as of the date of grant.

F1 · price: Represents shares of common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. All of such shares were fully vested as of the date of grant.

F2 · balance_after: Consists of (i) 45,539 shares beneficially owned by reporting person, and (ii) 495 shares of restricted stock of reporting person subject to future time vesting requirements.

Read SEC document
July 01, 2017 Filed Jul 5, 2017 22:09 UTC GrantCommon Stock 509 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-043611 · doc4.xml · nonDerivative · entry 1

Davis Richard Loren · CIK 0001623821 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,064

F1 · shares: Represents shares of common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. All of such shares were fully vested as of the date of grant.

F1 · price: Represents shares of common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. All of such shares were fully vested as of the date of grant.

F2 · balance_after: Consists of (i) 17,571 shares beneficially owned by reporting person, (ii) 46,998 shares of common stock held jointly with reporting person's spouse, Sheree Davis, and (iii) 495 shares of restricted stock of the reporting person subject to future time vesting requirements.

Read SEC document
July 01, 2017 Filed Jul 5, 2017 22:14 UTC GrantCommon Stock 509 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-043637 · doc4.xml · nonDerivative · entry 1

Dobrient Robert · CIK 0001621761 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,133

F1 · shares: Represents shares of common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. All of such shares were fully vested as of the date of grant.

F1 · price: Represents shares of common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. All of such shares were fully vested as of the date of grant.

F2 · balance_after: Consists of (i) 58,638 shares beneficially owned by reporting person, and (ii) 495 shares of restricted stock of the reporting person subject to future time vesting requirements.

Read SEC document
July 01, 2017 Filed Jul 5, 2017 22:07 UTC GrantCommon Stock 509 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-043593 · doc4.xml · nonDerivative · entry 1

Anderson Charles A · CIK 0001623596 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,785

F1 · shares: Represents shares of common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. All of such shares were fully vested as of the date of grant.

F1 · price: Represents shares of common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. All of such shares were fully vested as of the date of grant.

F2 · balance_after: Consists of (i) 139,790 shares of common stock of Issuer beneficially owned by reporting person, (ii) 20,500 shares of common stock of Issuer beneficially owned jointly with reporting person's spouse Kim Anderson, and (iii) 495 shares of restricted stock of the reporting person subject to future time vesting requirements.

Read SEC document
May 03, 2017 Filed May 4, 2017 21:04 UTC PurchaseCommon Stock 1,000 $21.70 $21,700.00
Disclosure

SEC source: 0001209191-17-030058 · doc4.xml · nonDerivative · entry 1

Sepulveda Carlos M · CIK 0001405703 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 565,031

F1 · balance_after: Consists of (i) 409,388 shares beneficially owned by reporting person, (ii) 155,026 shares beneficially owned jointly with spouse Susan S Sepulveda, and (iii) 617 unvested shares of restricted stock of the reporting person subject to future vesting requirements.

Read SEC document
April 28, 2017 Filed May 2, 2017 20:20 UTC PurchaseCommon Stock 4,500 $22.46 $101,070.00
Disclosure

SEC source: 0001209191-17-029192 · doc4.xml · nonDerivative · entry 1

Anderson Charles A · CIK 0001623596 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,276

F1 · price: $22.46 represents the weighted average purchase price per share for the 4,500 aggregate amount of shares reported on this line. The range of price per share in the reported transaction is $22.35 to $22.55. 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 · balance_after: Consists of (i) 139,281 shares of common stock of Issuer beneficially owned by reporting person, (ii) 20,500 shares of common stock of Issuer beneficially owned jointly with reporting person's spouse Kim Anderson, and (iii) 495 shares of restricted stock of the reporting person subject to future time vesting requirements.

Read SEC document
April 28, 2017 Filed Feb 15, 2018 01:01 UTC PurchaseCommon Stock 300 $22.20 $6,660.00
Disclosure

SEC source: 0001209191-18-010197 · doc5.xml · nonDerivative · entry 4

Sparks C Todd · CIK 0001621665 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse, Trustee of The Katherine A. Bolwing Trust I

Disclosed balance after: 300

Read SEC document
April 27, 2017 Filed Apr 28, 2017 18:33 UTC PurchaseCommon Stock 70 $21.93 $1,535.10
Disclosure

SEC source: 0001209191-17-028655 · doc4.xml · nonDerivative · entry 2

Trail Justin N · CIK 0001623619 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By children UTMA/UGMA accounts

Disclosed balance after: 455

F2 · ownership.nature: Consists of (i) 270 shares of common stock indirectly owned through E*TRADE UTMA/UGMA Account FBO minor daughter Hannah Trail; (ii) 135 shares of common stock indirectly owned through E*TRADE UTMA/UGMA Account FBO minor daughter Robyn Trail; and (iii) 50 shares of common stock indirectly owned through E*TRADE UTMA/UGMA Account FBO minor daughter Charli Trail. Reporting person, as Custodian, exercise voting and dispositive control over these shares and disclaims beneficial ownership of such shares.

Read SEC document
April 27, 2017 Filed Apr 28, 2017 18:33 UTC PurchaseCommon Stock 35 $21.98 $769.30
Disclosure

SEC source: 0001209191-17-028655 · doc4.xml · nonDerivative · entry 1

Trail Justin N · CIK 0001623619 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By children UTMA/UGMA accounts

Disclosed balance after: 385

F1 · ownership.nature: Consists of (i) 200 shares of common stock indirectly owned through E*TRADE UTMA/UGMA Account FBO minor daughter Hannah Trail; (ii) 135 shares of common stock indirectly owned through E*TRADE UTMA/UGMA Account FBO minor daughter Robyn Trail; and (iii) 50 shares of common stock indirectly owned through E*TRADE UTMA/UGMA Account FBO minor daughter Charli Trail. Reporting person, as Custodian, exercise voting and dispositive control over these shares and disclaims beneficial ownership of such shares.

Read SEC document
April 25, 2017 Filed Apr 26, 2017 21:49 UTC PurchaseCommon Stock 500 $21.95 $10,975.00
Disclosure

SEC source: 0001209191-17-028237 · doc4.xml · nonDerivative · entry 2

Rafferty Michael P · CIK 0001621769 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,687

F1 · balance_after: Consists of (i) 12,708 shares beneficially owned by reporting person,(ii) 9,484 shares of common stock beneficially owned jointly with spouse Linda B. Rafferty, and (iii) 495 shares of restricted stock of the reporting person subject to future vesting requirements.

Read SEC document
April 25, 2017 Filed Apr 27, 2017 21:46 UTC PurchaseCommon Stock 20,500 $22.04 $451,820.00
Disclosure

SEC source: 0001209191-17-028484 · doc4.xml · nonDerivative · entry 1

Trail Justin N · CIK 0001623619 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,249

F1 · balance_after: Consists of (i) 61,754 shares beneficially owned by reporting person, and (ii) 495 shares of restricted stock of the reporting person subject to future vesting requirements.

Read SEC document
April 24, 2017 Filed Apr 26, 2017 21:46 UTC PurchaseCommon Stock 3,846 $22.00 $84,612.00
Disclosure

SEC source: 0001209191-17-028234 · doc4.xml · nonDerivative · entry 2

Miller Maribess L · CIK 0001488288 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,749

F1 · balance_after: Consists of (i) 16,254 shares beneficially owned by reporting person, and (ii) 495 shares of restricted stock of the reporting person subject to future vesting requirements.

Read SEC document
April 24, 2017 Filed Apr 26, 2017 21:46 UTC PurchaseCommon Stock 700 $21.95 $15,365.00
Disclosure

SEC source: 0001209191-17-028234 · doc4.xml · nonDerivative · entry 1

Miller Maribess L · CIK 0001488288 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,903

Read SEC document
April 24, 2017 Filed Apr 26, 2017 21:49 UTC PurchaseCommon Stock 1,000 $22.00 $22,000.00
Disclosure

SEC source: 0001209191-17-028237 · doc4.xml · nonDerivative · entry 1

Rafferty Michael P · CIK 0001621769 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,187

Read SEC document
April 01, 2017 Filed Apr 5, 2017 16:16 UTC
Karas Daniel J.EVP & CLO - TBK Bank, SSB
GrantEmployee Stock Options · Derivative 5,023 $0.00 Strike: $25.80 $0.00
Disclosure

SEC source: 0001209191-17-025628 · doc4.xml · derivative · entry 3

Karas Daniel J. · CIK 0001674229 · EVP & CLO - TBK Bank, SSB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,023

Underlying: Common Stock · 5,023 shares

Expires 2027-04-01

F4 · security: Represents non-qualified stock options of Issuer granted to reporting person under Issuer's 2014 Omnibus Incentive Plan.

F5 · derivative.exercise_date: 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.

Read SEC document
April 01, 2017 Filed Apr 5, 2017 16:16 UTC
Karas Daniel J.EVP & CLO - TBK Bank, SSB
Tax withholdingCommon Stock 488 $25.80 $12,590.40
Disclosure

SEC source: 0001209191-17-025628 · doc4.xml · nonDerivative · entry 2

Karas Daniel J. · CIK 0001674229 · EVP & CLO - TBK Bank, SSB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,911

F2 · shares: Represents 488 shares surrendered to satisfy applicable federal income tax withholding associated with the 4/1/17 vesting of 1,849 shares of restricted stock issued to reporting person.

F3 · balance_after: Consists of (i) 8,199 shares beneficially owned by reporting person, and (ii) 5,712 shares of restricted stock of the reporting person subject to future time vesting requirements

Read SEC document
April 01, 2017 Filed Apr 5, 2017 16:16 UTC
Karas Daniel J.EVP & CLO - TBK Bank, SSB
GrantCommon Stock 1,696 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-025628 · doc4.xml · nonDerivative · entry 1

Karas Daniel J. · CIK 0001674229 · EVP & CLO - TBK Bank, SSB

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,399

F1 · shares: Represents shares of restricted common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. One fourth (rounded down to the nearest whole share, as applicable) of such shares shall vest on each of the first four anniversaries of the date of grant.

Read SEC document
April 01, 2017 Filed Apr 5, 2017 20:13 UTC
Lehmann GailEVP and Secretary
GrantEmployee Stock Options · Derivative 5,123 $0.00 Strike: $25.80 $0.00
Disclosure

SEC source: 0001209191-17-025614 · doc4.xml · derivative · entry 3

Lehmann Gail · CIK 0001621763 · EVP and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,123

Underlying: Common Stock · 5,123 shares

Expires 2027-04-01

F4 · security: Represents non-qualified stock options of Issuer granted to reporting person under Issuer's 2014 Omnibus Incentive Plan.

F5 · derivative.exercise_date: 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.

Read SEC document
April 01, 2017 Filed Apr 5, 2017 20:13 UTC
Lehmann GailEVP and Secretary
Tax withholdingCommon Stock 410 $25.80 $10,578.00
Disclosure

SEC source: 0001209191-17-025614 · doc4.xml · nonDerivative · entry 2

Lehmann Gail · CIK 0001621763 · EVP and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,070

F2 · shares: Represents 409 shares surrendered to satisfy applicable federal income tax withholding associated with the 4/1/17 vesting of 1,550 shares of restricted stock issued to reporting person.

F3 · balance_after: Consists of (i) 22,466 shares beneficially owned by reporting person, and (ii) 4,605 shares of restricted stock of the reporting person subject to future vesting requirements.

Read SEC document
April 01, 2017 Filed Apr 5, 2017 20:13 UTC
Lehmann GailEVP and Secretary
GrantCommon Stock 1,730 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-025614 · doc4.xml · nonDerivative · entry 1

Lehmann Gail · CIK 0001621763 · EVP and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,480

F1 · shares: Represents shares of restricted common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. One fourth (rounded down to the nearest whole share, as applicable) of such shares shall vest on each of the first four anniversaries of the date of grant.

Read SEC document
April 01, 2017 Filed Apr 5, 2017 20:18 UTC
Nelson Adam DEVP and General Counsel
GrantEmployee Stock Options · Derivative 5,023 $0.00 Strike: $25.80 $0.00
Disclosure

SEC source: 0001209191-17-025632 · doc4.xml · derivative · entry 3

Nelson Adam D · CIK 0001621766 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,023

Underlying: Common Stock · 5,023 shares

Expires 2027-04-01

F4 · security: Represents non-qualified stock options of Issuer granted to reporting person under Issuer's 2014 Omnibus Incentive Plan.

F5 · derivative.exercise_date: 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.

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April 01, 2017 Filed Apr 5, 2017 20:18 UTC
Nelson Adam DEVP and General Counsel
Tax withholdingCommon Stock 364 $25.80 $9,391.20
Disclosure

SEC source: 0001209191-17-025632 · doc4.xml · nonDerivative · entry 2

Nelson Adam D · CIK 0001621766 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,479

F2 · shares: Represents 364 shares surrendered to satisfy applicable federal income tax withholding associated with the 4/1/17 vesting of 1,378 shares of restricted stock issued to reporting person.

F3 · balance_after: Consists of (i) 17,462 shares beneficially owned by reporting person, and (ii) 5,017 shares of restricted stock of the reporting person subject to future vesting requirements.

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April 01, 2017 Filed Apr 5, 2017 20:18 UTC
Nelson Adam DEVP and General Counsel
GrantCommon Stock 1,696 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-025632 · doc4.xml · nonDerivative · entry 1

Nelson Adam D · CIK 0001621766 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,843

F1 · shares: Represents shares of restricted common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. One fourth (rounded down to the nearest whole share, as applicable) of such shares shall vest on each of the first four anniversaries of the date of grant.

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April 01, 2017 Filed Apr 5, 2017 20:11 UTC
Graft Aaron PDirector · President & CEO
GrantEmployee Stock Options · Derivative 11,883 $0.00 Strike: $25.80 $0.00
Disclosure

SEC source: 0001209191-17-025604 · doc4.xml · derivative · entry 4

Graft Aaron P · CIK 0001621666 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,883

Underlying: Common Stock · 11,883 shares

Expires 2027-04-01

F5 · security: Represents non-qualified stock options of Issuer granted to reporting person under Issuer's 2014 Omnibus Incentive Plan.

F6 · derivative.exercise_date: 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.

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April 01, 2017 Filed Apr 5, 2017 20:11 UTC
Graft Aaron PDirector · President & CEO
Tax withholdingCommon Stock 1,015 $25.80 $26,187.00
Disclosure

SEC source: 0001209191-17-025604 · doc4.xml · nonDerivative · entry 2

Graft Aaron P · CIK 0001621666 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 411,252

F2 · shares: Represents 1,015 shares surrendered to satisfy applicable federal income tax withholding associated with the 4/1/17 vesting of 5,234 shares of restricted stock issued to reporting person.

F3 · balance_after: Consists of (i) 400,488 shares beneficially owned by reporting person, and (ii) 10,764 shares of restricted stock of the reporting person subject to future time vesting requirements.

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April 01, 2017 Filed Apr 5, 2017 20:11 UTC
Graft Aaron PDirector · President & CEO
GrantCommon Stock 4,012 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-025604 · doc4.xml · nonDerivative · entry 1

Graft Aaron P · CIK 0001621666 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 412,267

F1 · shares: Represents shares of restricted common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. One fourth (rounded down to the nearest whole share, as applicable) of such shares shall vest on each of the first four anniversaries of the date of grant.

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April 01, 2017 Filed Apr 5, 2017 20:09 UTC
Fowler R BryceChief Financial Officer
GrantEmployee Stock Options · Derivative 6,716 $0.00 Strike: $25.80 $0.00
Disclosure

SEC source: 0001209191-17-025593 · doc4.xml · derivative · entry 2

Fowler R Bryce · CIK 0001621762 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,716

Underlying: Common Stock · 6,716 shares

Expires 2027-04-01

F3 · security: Represents non-qualified stock options of Issuer granted to reporting person under Issuer's 2014 Omnibus Incentive Plan.

F4 · derivative.exercise_date: 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.

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April 01, 2017 Filed Apr 5, 2017 20:09 UTC
Fowler R BryceChief Financial Officer
GrantCommon Stock 2,267 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-025593 · doc4.xml · nonDerivative · entry 1

Fowler R Bryce · CIK 0001621762 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,253

F1 · shares: Represents shares of restricted common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. One fourth (rounded down to the nearest whole share, as applicable) of such shares shall vest on each of the first four anniversaries of the date of grant.

F2 · balance_after: Consists of (i) 48,000 shares of common stock beneficially owned by reporting person, and (ii) 6,253 shares of restricted stock of the reporting person subject to future time vesting requirements.

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February 15, 2017 Filed Feb 17, 2017 21:13 UTC OtherCommon Stock 48,032 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-012075 · doc4.xml · nonDerivative · entry 1

Sepulveda Carlos M · CIK 0001405703 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 564,031

F1 · shares: Shares were distributed to the reporting person as the ultimate recipient of a distribution made by Triumph Consolidated Cos., LLC, under the terms of its operating agreement. See Footnote 1 to "Security Ownership of Certain Beneficial Owners and Management" of Issuer's most recent proxy statement on Form 14-A filed with the Securities and Exchange Commission on April 1, 2016.

F1 · price: Shares were distributed to the reporting person as the ultimate recipient of a distribution made by Triumph Consolidated Cos., LLC, under the terms of its operating agreement. See Footnote 1 to "Security Ownership of Certain Beneficial Owners and Management" of Issuer's most recent proxy statement on Form 14-A filed with the Securities and Exchange Commission on April 1, 2016.

F2 · balance_after: Consists of (i) 407,771 shares beneficially owned by reporting person, (ii) 155,026 shares beneficially owned jointly with spouse Susan S Sepulveda, and (iii) 1,234 unvested shares of restricted stock of the reporting person subject to future vesting requirements.

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February 15, 2017 Filed Feb 18, 2017 00:20 UTC
Graft Aaron PDirector · President & CEO
OtherCommon Stock 105,033 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-012392 · doc4.xml · nonDerivative · entry 1

Graft Aaron P · CIK 0001621666 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 408,255

F1 · shares: Shares were distributed to the reporting person as the ultimate recipient of a distribution made by Triumph Consolidated Cos., LLC, under the terms of its operating agreement. See Footnote 1 to "Security Ownership of Certain Beneficial Owners and Management" of Issuer's most recent proxy statement on Form 14-A filed with the Securities and Exchange Commission on April 1, 2016.

F1 · price: Shares were distributed to the reporting person as the ultimate recipient of a distribution made by Triumph Consolidated Cos., LLC, under the terms of its operating agreement. See Footnote 1 to "Security Ownership of Certain Beneficial Owners and Management" of Issuer's most recent proxy statement on Form 14-A filed with the Securities and Exchange Commission on April 1, 2016.

F2 · balance_after: Consists of (i) 397,784 shares beneficially owned by reporting person, and (ii) 10,471 shares of restricted stock of the reporting person subject to future vesting requirements.

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February 15, 2017 Filed Feb 17, 2017 21:30 UTC OtherCommon Stock 261 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-012114 · doc4.xml · nonDerivative · entry 1

Trail Justin N · CIK 0001623619 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By JTHT Enterprises, Ltd.

Disclosed balance after: 32,873

F1 · shares: Shares were distributed to JTHT Enterprises, Ltd. as the ultimate recipient of a distribution made by Triumph Consolidated Cos., LLC, under the terms of its operating agreement. See Footnote 1 to "Security Ownership of Certain Beneficial Owners and Management" of Issuer's most recent proxy statement on Form 14A filed with the Securities and Exchange Commission on April 1, 2016.

F1 · price: Shares were distributed to JTHT Enterprises, Ltd. as the ultimate recipient of a distribution made by Triumph Consolidated Cos., LLC, under the terms of its operating agreement. See Footnote 1 to "Security Ownership of Certain Beneficial Owners and Management" of Issuer's most recent proxy statement on Form 14A filed with the Securities and Exchange Commission on April 1, 2016.

F2 · ownership.nature: Reporting person exercises voting and dispositive control over these shares and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest.

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February 15, 2017 Filed Feb 17, 2017 21:16 UTC OtherCommon Stock 12,809 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-012080 · doc4.xml · nonDerivative · entry 1

Sparks C Todd · CIK 0001621665 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By SBS Equity, LLC

Disclosed balance after: 242,101

F1 · shares: Shares were distributed to SBS Equity, LLC as the ultimate recipient of a distribution made by Triumph Consolidated Cos., LLC, under the terms of its operating agreement. See Footnote 1 to "Security Ownership of Certain Beneficial Owners and Management" of Issuer's most recent proxy statement on Form 14A filed with the Securities and Exchange Commission on April 1, 2016.

F1 · price: Shares were distributed to SBS Equity, LLC as the ultimate recipient of a distribution made by Triumph Consolidated Cos., LLC, under the terms of its operating agreement. See Footnote 1 to "Security Ownership of Certain Beneficial Owners and Management" of Issuer's most recent proxy statement on Form 14A filed with the Securities and Exchange Commission on April 1, 2016.

F2 · ownership.nature: Reporting person exercises voting and dispositive control over these shares and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest.

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February 15, 2017 Filed Feb 17, 2017 21:12 UTC
Nelson Adam DEVP and General Counsel
OtherCommon Stock 1,305 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-012070 · doc4.xml · nonDerivative · entry 1

Nelson Adam D · CIK 0001621766 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,147

F1 · shares: Shares were distributed to the reporting person as the ultimate recipient of a distribution made by Triumph Consolidated Cos., LLC, under the terms of its operating agreement. See Footnote 1 to "Security Ownership of Certain Beneficial Owners and Management" of Issuer's most recent proxy statement on Form 14-A filed with the Securities and Exchange Commission on April 1, 2016.

F1 · price: Shares were distributed to the reporting person as the ultimate recipient of a distribution made by Triumph Consolidated Cos., LLC, under the terms of its operating agreement. See Footnote 1 to "Security Ownership of Certain Beneficial Owners and Management" of Issuer's most recent proxy statement on Form 14-A filed with the Securities and Exchange Commission on April 1, 2016.

F2 · balance_after: Consists of (i) 16,448 shares beneficially owned by reporting person, and (ii) 4,699 shares of restricted stock of the reporting person subject to future vesting requirements.

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February 15, 2017 Filed Feb 17, 2017 21:06 UTC OtherCommon Stock 16,011 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-17-012060 · doc4.xml · nonDerivative · entry 1

Anderson Charles A · CIK 0001623596 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,776

F1 · shares: Shares were distributed to the reporting person as the ultimate recipient of a distribution made by Triumph Consolidated Cos., LLC, under the terms of its operating agreement. See Footnote 1 to "Security Ownership of Certain Beneficial Owners and Management" of Issuer's most recent proxy statement on Form 14-A filed with the Securities and Exchange Commission on April 1, 2016.

F1 · price: Shares were distributed to the reporting person as the ultimate recipient of a distribution made by Triumph Consolidated Cos., LLC, under the terms of its operating agreement. See Footnote 1 to "Security Ownership of Certain Beneficial Owners and Management" of Issuer's most recent proxy statement on Form 14-A filed with the Securities and Exchange Commission on April 1, 2016.

F2 · balance_after: Consists of (i) 138,788 shares of common stock of Issuer beneficially owned by reporting person, (ii) 16,000 shares of common stock of Issuer beneficially owned jointly with reporting person's spouse Kim Anderson, and (iii) 988 shares of restricted stock of the reporting person subject to future time vesting requirements.

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January 31, 2017 Filed Feb 2, 2017 17:09 UTC GrantCommon Stock 462 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-007175 · doc4.xml · nonDerivative · entry 1

KRATZ DOUGLAS M · CIK 0001040832 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149,663

F1 · shares: Represents shares of common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. All of such shares were fully vested as of the date of grant.

F1 · price: Represents shares of common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. All of such shares were fully vested as of the date of grant.

F2 · balance_after: Consists of (i) 148,675 shares beneficially owned by reporting person, and (ii) 988 shares of restricted stock of the reporting person subject to future vesting requirements.

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January 31, 2017 Filed Feb 2, 2017 17:12 UTC GrantCommon Stock 462 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-007183 · doc4.xml · nonDerivative · entry 1

Perpall Frederick · CIK 0001686973 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 999

F1 · shares: Represents shares of common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. All of such shares were fully vested as of the date of grant.

F1 · price: Represents shares of common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. All of such shares were fully vested as of the date of grant.

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January 31, 2017 Filed Feb 2, 2017 22:11 UTC GrantCommon Stock 462 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-007179 · doc4.xml · nonDerivative · entry 1

Miller Maribess L · CIK 0001488288 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,203

F1 · shares: Represents shares of common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. All of such shares were fully vested as of the date of grant.

F1 · price: Represents shares of common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. All of such shares were fully vested as of the date of grant.

F2 · balance_after: Consists of (i) 11,215 shares beneficially owned by reporting person, and (ii) 988 shares of restricted stock of the reporting person subject to future vesting requirements.

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January 31, 2017 Filed Feb 2, 2017 22:13 UTC GrantCommon Stock 554 $0.00 $0.00
Disclosure

SEC source: 0001209191-17-007186 · doc4.xml · nonDerivative · entry 1

Sepulveda Carlos M · CIK 0001405703 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 515,999

F1 · shares: Represents shares of common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. All of such shares were fully vested as of the date of grant.

F1 · price: Represents shares of common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. All of such shares were fully vested as of the date of grant.

F2 · balance_after: Consists of (i) 359,739 shares beneficially owned by reporting person, (ii) 155,026 shares beneficially owned jointly with spouse Susan S. Sepulveda, and (iii) 1,234 shares of restricted stock of the reporting person subject to future time vesting requirements.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.