Statement of Changes in Beneficial Ownership (4)
May 04 2021 - 4:01PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Ritterbusch Todd |
2. Issuer Name and Ticker or Trading Symbol
Triumph Bancorp, Inc.
[
TBK
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
EVP & CLO - TBK Bank, SSB |
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(Last)
(First)
(Middle)
12700 PARK CENTRAL DRIVE, SUITE 1700 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/1/2021 |
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(Street)
DALLAS, TX 75251
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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| Common Stock | 5/1/2021 | | F | | 509 (1) | D | $88.63 | 9446 (2) | D | |
| Common Stock | 5/1/2021 | | A | | 575 (3) | A | $0.00 | 10021 (4) | D | |
| Depository Shares | | | | | | | | 20000 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Employee Stock Options (5) | $88.63 | 5/1/2021 | | A | | 1442 | | (6) | 5/1/2031 | Common Stock | 1442 | $0.00 | 1442 | D | |
| Employee Stock Options (5) | $26.25 | | | | | | | (6) | 5/1/2030 | Common Stock | 3907 | | 3907 | D | |
| Employee Stock Options (5) | $31.00 | | | | | | | (6) | 5/1/2029 | Common Stock | 1890 | | 1890 | D | |
| Explanation of Responses: |
| (1) | Represents 509 shares surrendered to satisfy applicable federal income tax withholding associated with the 5/1/2021 vesting of 1,586 shares of restricted stock issued to the reporting person. |
| (2) | Consists of (i) 4,925 shares beneficially owned by reporting person, and (ii) 4,521 shares of restricted stock of the reporting person subject to future vesting requirements. |
| (3) | Represents shares of restricted common stock of Issuer granted to the reporting person under Issuer's 2014 Omnibus Incentive Plan. One fourth of such shares shall vest on each of the first four anniversaries of the date of grant. |
| (4) | Consists of (i) 4,925 shares beneficially owned by reporting person, and (ii) 5,096 shares of restricted stock of the reporting person subject to future vesting requirements. |
| (5) | Represents non-qualified stock options of Issuer granted to reporting person under Issuer's 2014 Omnibus Incentive Plan. |
| (6) | 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. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Ritterbusch Todd
12700 PARK CENTRAL DRIVE
SUITE 1700
DALLAS, TX 75251 |
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| EVP & CLO - TBK Bank, SSB |
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Signatures
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| Adam D. Nelson, Attorney-in-fact | | 5/4/2021 |
| **Signature of Reporting Person | Date |
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