Trinity Capital officer has 3,981 shares withheld

Chief Credit Officer Ronald Kundich had shares withheld to cover taxes on vested restricted stock, leaving him with 230,325 TRIN shares.

Rhea-AI Filing Summary

Trinity Capital Inc. (TRIN) reported a Form 4 for Chief Credit Officer Ronald Kundich showing a disposition related to equity compensation on September 15, 2026. 3,981 shares of common stock were withheld at $17.79 per share to satisfy his tax obligations upon vesting of restricted shares, and he held 230,325 shares directly after this transaction. The company reports that this tax-withholding transaction is exempt from Section 16(b) under Rule 16b3, and no Rule 10b5-1 trading plan is indicated.

Insider Trade Summary

Tax Withholding: 3,981 shares

Tax Withholding 1 txn

Insider Kundich Ronald

Role Chief Credit Officer

Type	Security	Shares	Price	Value
Tax Withholding	Common Stock F1	3,981	$17.79	$71K

Holdings After Transaction: Common Stock — 230,325 shares (Direct)

Footnotes (1)

1. F1. Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on September 15, 2026. Transaction exempt from Section 16(b) pursuant to Rule 16b3.

Key Figures

Shares withheld for taxes: 3,981 shares Per-share value for withholding: $17.79 per share Shares held after transaction: 230,325 shares +2 more

5 metrics

Shares withheld for taxes 3,981 shares Common stock withheld on September 15, 2026 to satisfy tax obligations

Per-share value for withholding $17.79 per share Value used for the 3,981 withheld common shares

Shares held after transaction 230,325 shares Direct common stock holdings of Ronald Kundich following the transaction

Section 16(b) exemption rule Rule 16b3 Cited as the basis for exempting the tax-withholding transaction

Rule 10b5-1 plan status No plan reported Document-level checkbox indicates no Rule 10b5-1 trading plan

Key Terms

restricted shares, tax obligations, Section 16(b), Rule 16b3

4 terms

restricted shares financial

"in connection with vesting of restricted shares on September 15, 2026"

Restricted shares are company stock that cannot be sold or transferred immediately because they are subject to legal or contractual limits, such as a required holding period or performance conditions. They matter to investors because these locked-up shares can affect a company’s available stock for trading, future dilution, and insider incentives—imagine a gift that can’t be cashed until certain conditions are met, which changes when and how much supply can suddenly enter the market.

tax obligations financial

"Shares withheld to satisfy the reporting person's tax obligations"

Section 16(b) regulatory

"Transaction exempt from Section 16(b) pursuant to Rule 16b3"

A federal rule that requires company insiders—like officers, directors and large shareholders—to return any profits made from buying and selling the company’s stock within a six-month window. It matters to investors because it discourages short-term trades that could exploit non-public information and helps protect outside shareholders by creating a simple, enforceable way to recover unfair gains, much like a rule stopping someone from flipping a limited-edition item for quick profit after getting early access.

Rule 16b3 regulatory

"Transaction exempt from Section 16(b) pursuant to Rule 16b3"

FAQ

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

What insider transaction did Trinity Capital (TRIN) report for Ronald Kundich?

Trinity Capital reported that Chief Credit Officer Ronald Kundich had 3,981 common shares withheld on September 15, 2026 to satisfy tax obligations from vesting restricted shares, at a reported value of $17.79 per share.

How many Trinity Capital (TRIN) shares does Ronald Kundich hold after this Form 4 transaction?

After the reported tax-withholding transaction, Chief Credit Officer Ronald Kundich directly held 230,325 shares of Trinity Capital common stock.

Was the Trinity Capital (TRIN) Form 4 transaction for Ronald Kundich a market sale?

No. The Form 4 states that 3,981 shares were withheld to satisfy tax obligations related to vesting restricted shares, rather than sold in the open market.

Is Ronald Kundich’s Trinity Capital (TRIN) Form 4 transaction exempt from Section 16(b)?

Yes. The footnote explains the transaction is exempt from Section 16(b) of the Exchange Act pursuant to Rule 16b3, because it relates to shares withheld for taxes on equity compensation.

Was Trinity Capital (TRIN) insider Ronald Kundich trading under a Rule 10b5-1 plan?

No. The Form 4 indicates no Rule 10b5-1 trading plan for this transaction; it reflects shares withheld for taxes on vesting restricted shares.

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

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Available on EDGAR 09/17/2026 - 06:00 PM Accepted by SEC EDGAR 09/17/2026 - 06:00 PM Learn about SEC filing dates

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^*

Kundich Ronald

(Last) (First) (Middle)

C/O TRINITY CAPITAL INC.

1 N. 1ST STREET, SUITE 302

(Street)

PHOENIX ARIZONA 85004

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Trinity Capital Inc. [ TRIN ]

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

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Credit Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/15/2026

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)
			Code	V	Amount	(A) or (D)	Price
Common Stock	09/15/2026		F(1)		3,981	D	$17.79	230,325	D

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 withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on September 15, 2026. Transaction exempt from Section 16(b) pursuant to Rule 16b3.

Remarks:

Sarah Stanton is signing on behalf of Mr. Kundich pursuant to the power of attorney dated September 17, 2021, which was previously filed with the Securities and Exchange Commission as an exhibit to the Form 4 Mr. Kundich filed on September 17, 2021.

	/s/ Sarah Stanton, on behalf of Ronald Kundich	09/15/2026
	** 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)