Trinity COO has 4,654 TRIN shares withheld for taxes

Trinity Capital Inc. Chief Operating Officer Gerald Harder reported a tax-related share disposition and updated holdings.

Rhea-AI Filing Summary

Trinity Capital Inc. Chief Operating Officer Gerald Harder reported a tax-related share disposition and updated holdings. On June 15, 2026, 4,654 shares of common stock were withheld at $16.89 per share to satisfy his tax obligations upon vesting of restricted shares, classified as a tax-withholding disposition rather than an open-market sale. Following this, he directly holds 220,608 common shares. A separate entry shows 150,962 common shares held indirectly through the Harder Family Living Trust, dated May 26, 2000.

Insider Trade Summary

Exercise Price or Tax Liability: 4,654 shares

Exercise Price or Tax Liability 2 txns

Insider Harder Gerald

Role Chief Operating Officer

Type	Security	Shares	Price	Value
Exercise Price or Tax Liability	Common Stock	4,654	$16.89	$79K
holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 220,608 shares (Direct); Common Stock — 150,962 shares (Indirect, By the Harder Family Living Trust, dated May 26, 2000)

Footnotes (1)

1. F1. Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on June 15, 2026. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

Key Figures

Tax-withheld shares: 4,654 shares Withholding price: $16.89 per share Direct holdings after transaction: 220,608 shares +1 more

4 metrics

Tax-withheld shares 4,654 shares Common stock withheld for taxes on restricted share vesting on June 15, 2026

Withholding price $16.89 per share Value per share for 4,654 shares withheld to satisfy tax obligations

Direct holdings after transaction 220,608 shares Common stock directly owned by Gerald Harder following the tax-withholding disposition

Indirect trust holdings 150,962 shares Common stock held through the Harder Family Living Trust, dated May 26, 2000

Key Terms

tax-withholding disposition, restricted shares, Section 16(b), Rule 16b-3, +1 more

5 terms

tax-withholding disposition financial

"classified as a tax-withholding disposition rather than an open-market sale"

A tax-withholding disposition is an event or transaction—such as selling or transferring securities, exercising options, or receiving compensation—that triggers a requirement to hold back part of the payment and remit it to tax authorities. It matters to investors because it reduces the cash they receive immediately and can change the timing and amount of taxable income, like a cashier taking a portion of your sale proceeds to pay taxes before you get the rest.

restricted shares financial

"tax obligations in connection with vesting of restricted shares on June 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.

Section 16(b) regulatory

"Transaction exempt from Section 16(b) pursuant to Rule 16b-3"

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 16b-3 regulatory

"Transaction exempt from Section 16(b) pursuant to Rule 16b-3"

Rule 16b-3 is a Securities and Exchange Commission regulation that exempts certain routine, pre-approved transactions by company insiders from automatic liability for short-term trading profits. It acts like a safe harbor: if an insider follows a formal plan or the board approves specific transactions in advance, profits from buying and selling company stock within six months are not automatically reclaimed. Investors care because the rule clarifies when insider trades are permissible and reduces uncertainty about potential clawbacks.

indirect ownership financial

"shares held indirectly through the Harder Family Living Trust"

FAQ

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

What insider transaction did Trinity Capital (TRIN) report for Gerald Harder?

Trinity Capital reported that COO Gerald Harder had 4,654 common shares withheld to cover taxes on vested restricted shares. This is a tax-withholding disposition, not an open-market sale, and is exempt from Section 16(b) under Rule 16b-3.

How many Trinity Capital (TRIN) shares does Gerald Harder hold directly after this filing?

After the tax-related share withholding, Gerald Harder directly holds 220,608 shares of Trinity Capital common stock. This reflects his remaining direct ownership position following the 4,654-share tax-withholding disposition tied to restricted share vesting.

What is the nature of Gerald Harder’s indirect holdings in Trinity Capital (TRIN)?

Gerald Harder has an indirect position of 150,962 Trinity Capital common shares held through the Harder Family Living Trust dated May 26, 2000. This trust-based holding is reported separately from his directly owned 220,608 shares.

At what price were the Trinity Capital (TRIN) shares withheld for taxes?

The 4,654 Trinity Capital common shares withheld for taxes were valued at $16.89 per share. This withholding occurred in connection with the vesting of restricted shares on June 15, 2026, and was treated as a tax-withholding disposition.

Was the Trinity Capital (TRIN) insider transaction an open-market sale?

No, the transaction was not an open-market sale. The 4,654 shares were withheld by the issuer to satisfy Gerald Harder’s tax obligations upon restricted share vesting and is described as a tax-withholding disposition exempt under Rule 16b-3.

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

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Accepted by SEC EDGAR 06/17/2026 - 07:00 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^*

Harder Gerald

(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 Operating Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
06/15/2026

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	06/15/2026		F(1)		4,654(1)	D	$16.89	220,608	D
Common Stock								150,962	I	By the Harder Family Living Trust, dated May 26, 2000

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 June 15, 2026. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

Remarks:

Sarah Stanton is signing on behalf of Mr. Harder pursuant to the power of attorney dated September 2, 2021, which was previously filed with the Securities and Exchange Commission as an exhibit to the Form 4 Mr. Harder filed on September 2, 2021.

	/s/ Sarah Stanton, on behalf of Gerald Harder	06/17/2026
	** 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)