[144] Triumph Financial, Inc. SEC Filing

Rhea-AI Filing Summary

Triumph Financial, Inc. (TFIN) Form 144 discloses a proposed sale of 7,275 shares of common stock through UBS Financial Services on Nasdaq with an aggregate market value of $439,992.00 and an approximate sale date of 09/02/2025. The shares were acquired as RSUs on 05/01/2025 from the issuer and payment was recorded as 05/01/2025. The filing also reports a prior sale of 7,275 shares by Edward Schreyer on 06/09/2025 generating gross proceeds of $436,500.00. The filer affirms they are not aware of undisclosed material adverse information.

Positive

• Disclosure compliance: Filing identifies broker (UBS) and exchange (Nasdaq), meeting Rule 144 transparency requirements
• Source of shares disclosed: Shares were acquired as RSUs on 05/01/2025, providing clear provenance

Negative

• Insider selling: Proposed sale of 7,275 shares and a prior sale of the same amount were reported, indicating insider liquidity
• No 10b5-1 plan date provided: The form does not indicate a plan adoption date or trading instruction date for a Rule 10b5-1 plan

Insights

Securities Analyst

TL;DR Insider-originated RSUs of 7,275 shares are planned for sale via UBS; prior sale of identical quantity was recorded earlier.

The filing documents a routine Rule 144 notice for sale of 7,275 common shares acquired as RSUs on 05/01/2025. The transaction is to be executed through UBS on Nasdaq with an aggregate reported market value of $439,992. A separate line item shows a prior sale by Edward Schreyer of 7,275 shares on 06/09/2025 for $436,500. This appears to be an individual compliance disclosure rather than a corporate operational event; it provides transparency on insider liquidity but contains no financial results or forward guidance.

Corporate Governance Expert

TL;DR The filing is a standard insider sale notice with required representations about undisclosed material information.

The notice includes the required signature representations related to material information and any 10b5-1 plan designation (none indicated). The shares originated from company-issued RSUs and the broker is identified as UBS Financial Services. From a governance perspective, the filing satisfies disclosure obligations under Rule 144 and offers investors timely notice of an insider sale; it does not disclose any governance changes or material corporate actions.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	UBS Financial Services, Inc. Eleven Madison Avenue 4th Floor New York NY 10010	7275	439992.00	23734073	09/02/2025	Nasdaq

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	05/01/2025	RSU	Issuer			7275	05/01/2025	NA

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
Edward Schreyer 12700 PARK CENTRAL DRIVE SUITE 1700 DALLAS TX 75251	Common	06/09/2025	7275	436500.00

144: Remarks and Signature

Remarks

Date of Notice

Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does TFIN's Form 144 disclose about the number of shares?

The filing discloses a proposed sale of 7,275 common shares and reports a prior sale of 7,275 shares by Edward Schreyer.

When were the shares acquired that are being sold under the Form 144?

The shares were acquired as RSUs on 05/01/2025 and payment is recorded as 05/01/2025.

Through which broker and exchange will TFIN shares be sold?

The proposed sale lists UBS Financial Services, Inc. as the broker and Nasdaq as the exchange.

What is the reported aggregate market value of the proposed sale?

The aggregate market value for the proposed sale is reported as $439,992.00.

Was there any recent sale of TFIN shares by the same person?

Yes, the filing reports a sale by Edward Schreyer on 06/09/2025 of 7,275 shares for gross proceeds of $436,500.00.