Triumph Financial CEO Graft sells 14,848 shares

Q: What TFIN shares did Aaron P. Graft sell, and at what prices?

Graft sold 11,883 shares on November 5, 2026, at a weighted average of $62.14 per share; 652 shares on November 6 at $62.01 per share; and 14,848 shares on November 9 at $62.81 per share. The sales were direct, and no Rule 10b5-1 plan is reported.

Q: What were the terms of Aaron P. Graft's TFIN options?

On November 5, 2026, Graft exercised 11,883 non-qualified stock options at $25.80 per share to acquire 11,883 common shares, then sold those shares that day at a weighted average of $62.14 per share. The options were granted under Triumph Financial's 2014 Omnibus Incentive Plan and were subject to vesting over four years from the grant date, with one fourth becoming exercisable on each of the first four anniversaries.

Q: How many TFIN shares did Aaron P. Graft give to charity?

Graft gave 3,125 common shares to a 501(c)(3) charitable organization on November 5, 2026.

Q: What indirect TFIN shares were reported through Aaron P. Graft's spouse?

The reported indirect holding was 3,315 shares through Graft's spouse, by JP Morgan custodian FBO Kimberly Graft Roth IRA, as of November 5, 2026.

The President & CEO's November activity included an 11,883-option exercise and a 3,125-share charitable transfer, alongside three common-stock sales.

Available on EDGAR 11/09/2026 - 05:13 PM EST Accepted by SEC EDGAR 11/09/2026 - 05:13 PM EST

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Filing Sentiment

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Form Type

Rhea-AI Filing Summary

Triumph Financial, Inc. President & CEO and director Aaron P. Graft reported direct stock sales, an option exercise, and a charitable gift. On November 5, 2026, he exercised 11,883 non-qualified stock options at $25.80 per share to acquire 11,883 common shares, sold those shares at a weighted average of $62.14 per share, and gave 3,125 shares to a 501(c)(3) charitable organization. The reported option position after exercise was 0.

Graft also sold 652 shares at a weighted average of $62.01 per share on November 6 and 14,848 shares at a weighted average of $62.81 per share on November 9. After the November 9 sale, the reported amounts comprised 127,446 shares beneficially owned and 23,232 shares of restricted stock or restricted stock units subject to future vesting requirements. No Rule 10b5-1 plan is reported.

Insider Trade Summary

Exercise and sale activity reported; no spread calculated

Exercise and Sale 6 txns

Insider Graft Aaron P

Role President & CEO

Sold 27,383 shs ($1.71M)

Approx. gross sale proceeds $1.71M

Approx. exercise cost $307K

Share of Position Sold 15.4%

Type	Security	Shares	Price	Value
Sale	Common Stock ^{F1, F3}	14,848	$62.81	$933K
Sale	Common Stock ^F1	652	$62.01	$40K
Exercise	Employee Stock Options ^{F5, F6}	11,883	$25.80	$307K
Exercise	Common Stock	11,883	$25.80	$307K
Sale	Common Stock ^F1	11,883	$62.14	$738K
Gift	Common Stock ^F2	3,125	$0.00	$0.00
Holding	Common Stock ^F4	--	--	--

Holdings After Transaction: Employee Stock Options — 0 options (Direct); Common Stock — 150,678 shares (Direct); Common Stock — 3,315 shares (Indirect, By Spouse)

Holdings Before and After: Employee Stock Options, 11,883 to 0 options (Direct); Common Stock, 169,303 to 150,678 shares (Direct)

Footnotes (6)

F1. The reported price in Column 4 represents the weighted average price per share. Reporting person shall provide upon request by the Commission staff, the Issuer, or a Security Holder of the Issuer, full information regarding the number of shares purchased at each separate price.
F2. Represents a gift by the reporting person to a 501(c)(3) charitable organization.
F3. Consists of (i) 127,446 shares beneficially owned by reporting person, and (ii) 23,232 shares of restricted stock or restricted stock units of the reporting person subject to future vesting requirements.
F4. 3,315 shares indirectly owned through reporting person's spouse by JP Morgan custodian FBO Kimberly Graft Roth IRA.
F5. Represents non-qualified stock options of Issuer granted to reporting person under Issuer's 2014 Omnibus Incentive Plan.
F6. 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.

Key Figures

Direct common shares sold: 11,883 shares at a weighted average of $62.14 per share Direct common shares sold: 652 shares at a weighted average of $62.01 per share Direct common shares sold: 14,848 shares at a weighted average of $62.81 per share +5 more

8 metrics

Direct common shares sold 11,883 shares at a weighted average of $62.14 per share November 5, 2026

Direct common shares sold 652 shares at a weighted average of $62.01 per share November 6, 2026

Direct common shares sold 14,848 shares at a weighted average of $62.81 per share November 9, 2026

Non-qualified stock options exercised 11,883 options at $25.80 per share November 5, 2026

Common shares given to charity 3,125 shares November 5, 2026

Employee stock options following exercise 0 options Following the November 5, 2026 exercise

Shares beneficially owned 127,446 shares Reported after the November 9, 2026 sale

Restricted stock or restricted stock units 23,232 shares Reported after the November 9, 2026 sale; subject to future vesting requirements

Key Terms

weighted average price per share, non-qualified stock options, restricted stock units, vesting requirements

4 terms

non-qualified stock options financial

"Represents non-qualified stock options of Issuer"

Non-qualified stock options are a type of employee benefit that gives individuals the right to buy company shares at a set price, usually lower than the market value, within a certain period. Unlike other options that may have special tax advantages, these options are taxed as income when exercised, which can affect how much money the employee or investor ultimately gains. They are important because they can influence company compensation strategies and impact the financial outcomes for employees and investors.

restricted stock units financial

"shares of restricted stock or restricted stock units"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

vesting requirements technical

"subject to future vesting requirements"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What TFIN shares did Aaron P. Graft sell, and at what prices?

Graft sold 11,883 shares on November 5, 2026, at a weighted average of $62.14 per share; 652 shares on November 6 at $62.01 per share; and 14,848 shares on November 9 at $62.81 per share. The sales were direct, and no Rule 10b5-1 plan is reported.

What were the terms of Aaron P. Graft's TFIN options?

On November 5, 2026, Graft exercised 11,883 non-qualified stock options at $25.80 per share to acquire 11,883 common shares, then sold those shares that day at a weighted average of $62.14 per share. The options were granted under Triumph Financial's 2014 Omnibus Incentive Plan and were subject to vesting over four years from the grant date, with one fourth becoming exercisable on each of the first four anniversaries.

How many TFIN shares did Aaron P. Graft give to charity?

Graft gave 3,125 common shares to a 501(c)(3) charitable organization on November 5, 2026.

What indirect TFIN shares were reported through Aaron P. Graft's spouse?

The reported indirect holding was 3,315 shares through Graft's spouse, by JP Morgan custodian FBO Kimberly Graft Roth IRA, as of November 5, 2026.

AI-generated analysis. How Rhea-AI works. Not financial advice.

Form 4 Insider Transactions: What Each Field Means →

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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

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Graft Aaron P

(Last)

(First)

(Middle)

12700 PARK CENTRAL DRIVE

SUITE 1700

(Street)

DALLAS

TEXAS

75251

(City)

(State)

(Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Triumph Financial, Inc. [ TFIN ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	President & CEO

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
11/05/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	11/05/2026		M		11,883	A	$25.8	181,186	D
Common Stock	11/05/2026		S		11,883	D	$62.14⁽¹⁾	169,303	D
Common Stock	11/05/2026		G		3,125⁽²⁾	D	$0	166,178	D
Common Stock	11/06/2026		S		652	D	$62.01⁽¹⁾	165,526	D
Common Stock	11/09/2026		S		14,848	D	$62.81⁽¹⁾	150,678⁽³⁾	D
Common Stock								3,315	I	By Spouse⁽⁴⁾

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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Employee Stock Options⁽⁵⁾	$25.8	11/05/2026		M			11,883	⁽⁶⁾	05/01/2027	Common Stock	11,883	$25.8	0	D

Explanation of Responses:

1. The reported price in Column 4 represents the weighted average price per share. Reporting person shall provide upon request by the Commission staff, the Issuer, or a Security Holder of the Issuer, full information regarding the number of shares purchased at each separate price.

2. Represents a gift by the reporting person to a 501(c)(3) charitable organization.

3. Consists of (i) 127,446 shares beneficially owned by reporting person, and (ii) 23,232 shares of restricted stock or restricted stock units of the reporting person subject to future vesting requirements.

4. 3,315 shares indirectly owned through reporting person's spouse by JP Morgan custodian FBO Kimberly Graft Roth IRA.

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.

Remarks:

	/s/ Adam D. Nelson, Attorney-in-fact	11/09/2026
	** 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR