Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Triumph Financial, Inc.TBK · Entity 4635 | Director | July 01, 2020 | July 06, 2020 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Triumph Financial, Inc.
Report date July 01, 2020 · Filed July 06, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 295,996 |
Reported balance
After 2020-07-01 transaction · row 1
1 source rowRow 1 · 2020-07-01 · Grant · Acquired 1,316 · Balance 295,996 F1: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| July 01, 2020 Filed Jul 6, 2020 16:00 UTC | Triumph Financial, Inc. TBK · Entity 4635 | GrantCommon Stock | 1,316 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-040991 · doc4.xml · nonDerivative · entry 1 KRATZ DOUGLAS M · CIK 0001040832 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 295,996 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 |
| February 03, 2020 Filed Feb 5, 2020 17:00 UTC | Triumph Financial, Inc. TBK · Entity 4635 | GrantCommon Stock | 775 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-006973 · doc4.xml · nonDerivative · entry 1 KRATZ DOUGLAS M · CIK 0001040832 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 294,680 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, 2019 Filed Jul 3, 2019 15:52 UTC | Triumph Financial, Inc. TBK · Entity 4635 | GrantCommon Stock | 789 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-041012 · doc4.xml · nonDerivative · entry 1 KRATZ DOUGLAS M · CIK 0001040832 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 293,905 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 |
| February 01, 2019 Filed Feb 5, 2019 17:45 UTC | Triumph Financial, Inc. TBK · Entity 4635 | GrantCommon Stock | 752 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-007443 · doc4.xml · nonDerivative · entry 1 KRATZ DOUGLAS M · CIK 0001040832 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 293,116 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 |
| October 26, 2018 Filed Oct 30, 2018 16:34 UTC | Triumph Financial, Inc. TBK · Entity 4635 | ConversionSeries B Preferred Stock · Derivative | 20,325 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-056530 · doc4.xml · derivative · entry 2 KRATZ DOUGLAS M · CIK 0001040832 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 141,057 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On October 26, 2018, the Reporting Person exercised his option to convert 20,325 shares of Series B Preferred Stock of the Issuer into 141,057 shares of common stock at a conversion rate of 6.94008 shares of common stock for every one share of Series B Preferred Stock. F2 · derivative.exercise_date: The Series B Preferred Stock is perpetual, subject to redemption at the option of the Issuer. The shares of Series B Preferred Stock were convertible at the option of the holder at any time since the holder acquired the shares of Series B Preferred Stock on 10/15/2013. F2 · derivative.expiration_date: The Series B Preferred Stock is perpetual, subject to redemption at the option of the Issuer. The shares of Series B Preferred Stock were convertible at the option of the holder at any time since the holder acquired the shares of Series B Preferred Stock on 10/15/2013. Read SEC document |
| October 26, 2018 Filed Oct 30, 2018 16:34 UTC | Triumph Financial, Inc. TBK · Entity 4635 | ConversionCommon Stock | 141,057 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-18-056530 · doc4.xml · nonDerivative · entry 1 KRATZ DOUGLAS M · CIK 0001040832 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 292,364 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On October 26, 2018, the Reporting Person exercised his option to convert 20,325 shares of Series B Preferred Stock of the Issuer into 141,057 shares of common stock at a conversion rate of 6.94008 shares of common stock for every one share of Series B Preferred Stock. Read SEC document |
| July 01, 2018 Filed Jul 3, 2018 13:50 UTC | Triumph Financial, Inc. TBK · Entity 4635 | GrantCommon Stock | 552 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-040690 · doc4.xml · nonDerivative · entry 1 KRATZ DOUGLAS M · CIK 0001040832 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 151,307 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 |
| January 31, 2018 Filed Feb 2, 2018 16:42 UTC | Triumph Financial, Inc. TBK · Entity 4635 | GrantCommon Stock | 583 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-006917 · doc4.xml · nonDerivative · entry 1 KRATZ DOUGLAS M · CIK 0001040832 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,755 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) 150,260 shares of common stock of Issuer 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 18:05 UTC | Triumph Financial, Inc. TBK · Entity 4635 | GrantCommon Stock | 509 | $0.00 | $0.00 |
DisclosureSEC 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 |
| January 31, 2017 Filed Feb 2, 2017 17:09 UTC | Triumph Financial, Inc. TBK · Entity 4635 | GrantCommon Stock | 462 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.