SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Trail Justin N

(Last) (First) (Middle)
12700 PARK CENTRAL DRIVE

(Street)
DALLAS TX 75251

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Triumph Bancorp, Inc. [ TBK ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
12/11/2015
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 12/11/2015 A 98(1) A $0.00(1) 32,242 I By JTHT Enterprises, Ltd.(2)
Common Stock 40,027(3) D
Common Stock 4,286 I By spouse(4)
Common Stock 350 I By children UTMA/UGMA accounts(5)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction 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 (Month/Day/Year) 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: 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. 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 14-A filed with the Securities and Exchange Commission on March 27, 2015.
2. 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.
3. Consists of (i)38,546 shares of common stock beneficially owned by reporting person and (ii) 1,481 unvested shares of restricted common stock of Issuer of which 493 shares will vest on 04/01/2016, 493 shares will vest on 04/01/2017, and 495 shares will vest on 04/01/2018.
4. By Equity Trust Company Custodian FBO Tamara Trail IRA. Reporting person disclaims beneficial ownership of these shares.
5. Consists of (i) 200 shares of common stock indirectly owned through E*TRADE UTMA/UGMA Account FBO minor daughter Hannah Trail; (ii) 100 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.
Remarks:
/s/Adam D. Nelson Attorney-in-fact 12/11/2015
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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