Welcome to our dedicated page for Triumph Financial SEC filings (Ticker: TFIN), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Triumph Financial, Inc. filings document a public financial and technology company with common stock and Series C preferred stock registered for exchange trading. Form 8-K reports cover quarterly operating results furnished with shareholder letters, non-GAAP reconciliations and forward-looking risk language tied to the company’s freight payments, factoring, banking and intelligence business.
Other filings disclose capital-structure actions, including preferred stock dividend declarations and common stock repurchase authorization. Proxy materials and annual meeting reports cover director elections, advisory executive-compensation votes and shareholder voting results, while company event filings also document TBK Bank credit exposure and collateral matters when they affect reported public-company disclosures.
Triumph Financial, Inc. director Carlos M. Sepulveda reported receiving an equity award of 1,628 shares of common stock in the form of restricted stock or restricted stock units at $0.00 per share, described as a grant, award, or other acquisition for compensation.
After this award, he holds 352,940 shares of common stock directly, plus 12,798 depository shares representing interests in the company’s 7.125% Series C preferred stock, and 265 common shares indirectly through his spouse. The time-vested restricted stock units vest one year from the award date.
Triumph Financial EVP and General Counsel Adam D. Nelson reported equity compensation changes and related tax withholding. He received 2,710 and 1,850 shares of common stock as grant or award acquisitions, and 3,432 employee stock options with a $67.55 exercise price expiring on May 1, 2036.
In connection with vesting of restricted stock and performance awards, 1,194 shares of common stock were disposed of to cover tax withholding obligations at $67.55 per share. Following these transactions, he directly holds 29,392 common shares, consisting of 23,737 shares beneficially owned and 4,461 restricted shares or RSUs subject to future vesting requirements.
Anderson Charles Albert reported acquisition or exercise transactions in this Form 4 filing.
Triumph Financial, Inc. director Charles A. Anderson received an equity grant of 1,258 shares of common stock as a grant or award, at a stated price of $0.00 per share. These time-vested restricted stock units vest one year from the award date.
After this grant, Anderson directly holds 129,228 shares of Triumph Financial common stock, including 1,258 restricted shares or units subject to future vesting and 12,741 shares held jointly with his spouse. Separately, 10,000 shares are held in the Charles A. Anderson Exempt Trust, where he acts as trustee and disclaims beneficial ownership except for his pecuniary interest.
Triumph Financial, Inc. director Debra A. Bradford received an award of 1,258 shares of common stock, recorded as a grant/award acquisition at $0.00 per share. These time-vested restricted stock units vest one year from the award date. Following the grant, she directly holds 8,537 shares, including restricted stock subject to future vesting requirements, and an additional 3,348 shares are held indirectly through the Bradford Living Trust, where she is trustee and disclaims beneficial ownership except for her pecuniary interest.
McSherry Melissa K reported acquisition or exercise transactions in this Form 4 filing.
Triumph Financial, Inc. director Melissa K. McSherry received an equity grant of 1,258 shares of Common Stock in the form of time-vested restricted stock units, awarded at $0.00 per share as compensation rather than an open-market purchase. These restricted stock units vest one year from the award date. Following the grant, she beneficially owns a total of 1,871 shares, consisting of 613 shares already held and 1,258 shares of restricted stock or restricted stock units subject to future vesting conditions.
Triumph Financial, Inc. director C. Todd Sparks reported an equity award and updated holdings. He received 1,258 shares of common stock in the form of time-vested restricted stock units, which vest one year from the award date. Following this grant, he directly holds 50,757 shares, including the 1,258 restricted shares subject to future vesting requirements. He also has indirect ownership of 4,000 shares through C. Todd Sparks FLP, 122,119 shares through SBS Equity, LLC, and 5,959 shares held by his spouse. He exercises voting and dispositive control over these indirect shares and disclaims beneficial ownership except to the extent of his pecuniary interest.
Rafferty Michael P reported acquisition or exercise transactions in this Form 4 filing.
Triumph Financial director Michael P. Rafferty received a grant of 1,528 shares of common stock on May 1, 2026 as a stock award at $0.00 per share. These shares are represented by time-vested restricted stock units that vest one year from the award date.
After this grant, Rafferty directly holds 38,571 shares of Triumph Financial common stock, including restricted shares and restricted stock units subject to future vesting requirements and shares held jointly with his spouse. A separate line in the filing shows direct ownership of 9,338 Depository Shares representing interests in the company’s 7.125% Series C preferred stock, which were purchased in an underwritten public offering.
Triumph Financial director Deadman Davis R reported an equity award of 1,258 shares of common stock, classified as a grant or award acquisition at $0.00 per share. These time-vested restricted stock units vest one year from the award date, bringing his direct common stock holdings to 10,434 shares. He also directly holds 26,500 Depository Shares, each representing a 1/40th interest in the company’s 7.125% Series C Fixed Rate Non-Cumulative Perpetual Preferred Stock.
Easley Laura reported acquisition or exercise transactions in this Form 4 filing.
Triumph Financial, Inc. director Laura Easley reported an equity award and updated share holdings. She received 1,258 shares of Common Stock as a grant of restricted stock or restricted stock units at $0.00 per share, described as time-vested units that vest one year from the award date. Following this award, she directly beneficially owns 9,559 shares, which include 8,301 currently beneficially owned shares and the 1,258 restricted shares or units subject to future vesting requirements. Separately, 1,895 shares are held indirectly through the Easley Family Trust, where she is trustee and disclaims beneficial ownership except to the extent of her pecuniary interest.
Morgan Stanley Smith Barney LLC submitted a Form 144 notice reporting proposed sales of shares of Common Stock by a selling holder affiliated with Harrison Barnes. The filing lists specific prior open-market purchases on 06/13/2022 and 06/14/2022 and a prior sale dated 05/01/2026 with 13,878 shares and $940,827.09 shown.