Initial Statement of Beneficial Ownership (3)
September 01 2021 - 4:00PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0104
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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
*
Voss William B. |
2. Date of Event Requiring Statement (MM/DD/YYYY)
9/1/2021
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3. Issuer Name and Ticker or Trading Symbol
Triumph Bancorp, Inc. [TBK]
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(Last)
(First)
(Middle)
12700 PARK CENTRAL DRIVE, SUITE 1700 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Chief Financial Officer / |
(Street)
DALLAS, TX 75251
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 8148 (1) | 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. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Options (2) | (3) | 4/1/2026 | Common Stock | 427 | $15.87 | D | |
Employee Stock Options (2) | (4) | 4/1/2027 | Common Stock | 435 | $25.80 | D | |
Employee Stock Options (2) | (5) | 5/1/2028 | Common Stock | 625 | $38.75 | D | |
Explanation of Responses: |
(1) | Consists of (i) 6,109 shares beneficially owned by reporting person, and (ii) 2,039 shares of restricted stock of the reporting person subject to future vesting requirements |
(2) | Represents non-qualified stock options of Issuer granted to reporting person under Issuer's 2014 Omnibus Incentive Plan. |
(3) | Stock Option award date April 1, 2016. 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. These shares are fully vested and exercisable as of the date of Form 3 filing. |
(4) | Stock Option award date April 1, 2017. 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. These shares are fully vested and exercisable as of the date of Form 3 filing. |
(5) | Stock Option award date May 1, 2018. 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. Final tranche vesting of 157 shares will occur on May 1, 2022. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Voss William B. 12700 PARK CENTRAL DRIVE SUITE 1700 DALLAS, TX 75251 |
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| Chief Financial Officer |
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Signatures
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/s/ Adam D. Nelson, Attorney-in-fact | | 9/1/2021 |
**Signature of Reporting Person | Date |
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