Statement of Changes in Beneficial Ownership (4)
February 03 2021 - 5:01PM
Edgar (US Regulatory)
FORM 4
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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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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
*
Davis Richard Loren |
2. Issuer Name and Ticker or Trading Symbol
Triumph Bancorp, Inc.
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TBK
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
12700 PARK CENTRAL DRIVE, SUITE 1700 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/27/2020 |
(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 | 10/27/2020 | | G(1) |
V
| 60 | D | $0.00 (1) | 62929 | D | |
Common Stock | 12/18/2020 | | G(1) |
V
| 195 | D | $0.00 (1) | 62734 | D | |
Common Stock | 2/1/2021 | | A | | 387 (2) | A | $0.00 (2) | 63121 (3) | D | |
Common Stock | | | | | | | | 75979 (4) | I | By Rick Davis 2006 Family Trust |
Common Stock | | | | | | | | 75979 (5) | I | By Sheree Davis 2006 Children's Trust |
Depository Shares (6) | | | | | | | | 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 |
Explanation of Responses: |
(1) | Represents a gift by the reporting person to a 501(c)(3) charitable organization. |
(2) | 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. |
(3) | Consists of (i) 21,734 shares of beneficially owned by reporting person and (ii) 41,387 shares of common stock jointly held with reporting person spouse Sheree Davis. |
(4) | These 75.979 shares are beneficially owned by reporting person as trustee of the Rick Davis 2006 Family Trust. Reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. |
(5) | These 75.979 shares are beneficially owned by reporting person as trustee of the Sheree Davis 2006 Children's Trust. Reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. |
(6) | Each Depository Share represents a 1/40th interest in a share of the Issuer's 7.125% Series C Fixed Rate Non-Cumulative perpetual Preferred Stock, par value $0.01 per share. Shares purchased in an underwritten public offering. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Davis Richard Loren 12700 PARK CENTRAL DRIVE SUITE 1700 DALLAS, TX 75251 | X |
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Signatures
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/s/ Adam D. Nelson, Attorney-in-fact | | 2/3/2021 |
**Signature of Reporting Person | Date |
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