# EDGAR Filing Document

**Accession Number:** 0001539638
**File Stem:** 0001628280-25-039123
**Filing Date:** 2025-8
**Character Count:** 11113
**Document Hash:** 69c85fbf417e5de3b994e0d7ec84d932
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001628280-25-039123.hdr.sgml**: 20250808

**ACCESSION NUMBER**: 0001628280-25-039123

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 14

**CONFORMED PERIOD OF REPORT**: 20250807

**ITEM INFORMATION**: Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

**ITEM INFORMATION**: Regulation FD Disclosure

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20250808

**DATE AS OF CHANGE**: 20250808

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Triumph Financial, Inc.
- **CENTRAL INDEX KEY:** 0001539638
- **STANDARD INDUSTRIAL CLASSIFICATION:** STATE COMMERCIAL BANKS [6022]
- **ORGANIZATION NAME:** 02 Finance
- **EIN:** 200477066
- **STATE OF INCORPORATION:** TX
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-36722
- **FILM NUMBER:** 251196322

**BUSINESS ADDRESS:**
- **STREET 1:** 12700 PARK CENTRAL DRIVE
- **STREET 2:** SUITE 1700
- **CITY:** DALLAS
- **STATE:** TX
- **ZIP:** 75251
- **BUSINESS PHONE:** (214) 365-6900

**MAIL ADDRESS:**
- **STREET 1:** 12700 PARK CENTRAL DRIVE
- **STREET 2:** SUITE 1700
- **CITY:** DALLAS
- **STATE:** TX
- **ZIP:** 75251

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Triumph Bancorp, Inc.
- **DATE OF NAME CHANGE:** 20120113

?xml version='1.0' encoding='ASCII'? tfin-20250807

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**WASHINGTON, D.C. 20549**

**FORM 8-K**

**CURRENT REPORT**

**PURSUANT TO SECTION 13 OR 15(D)**

**OF THE SECURITIES EXCHANGE ACT OF 1934**

**Date of Report (Date of earliest event reported): August 7, 2025**

**TRIUMPH FINANCIAL, INC.**

**(Exact name of Registrant as Specified in Its Charter)**

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| | | |
|:---|:---|:---|
| **Texas**<br>**(State or Other Jurisdiction**<br>**of Incorporation)** | **001-36722**<br>**(Commission**<br>**File Number)** | **20-0477066**<br>**(IRS Employer**<br>**Identification No.)** |
| **12700 Park Central Drive, Suite 1700**<br>**Dallas, Texas**<br>**(Address of Principal Executive Offices)** | | **75251**<br>**(Zip Code)** |

---

**(214) 365-6900**

**(Registrant's telephone number, including area code)**

**(Former Name or Former Address, if Changed Since Last Report)**

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instructions A.2. below):

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2b)

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4c)

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ◻

Securities registered pursuant to Section 12(b) of the Act:

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| | | |
|:---|:---|:---|
| **Title of each class** | **Trading<br>Symbol(s)** | **Name of each exchange on which registered** |
| Common stock, par value $0.01 per share | TFIN | NASDAQ Global Select Market |
| Depositary Shares Each Representing a 1/40th Interest in a Share of 7.125% Series C Fixed-Rate Non-Cumulative Perpetual Preferred Stock | TFINP | NASDAQ Global Select Market |

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**Item 3.01.Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing**

On August 7, 2025, Triumph Financial, Inc. (the "Company"), acting pursuant to authorization from its Board of Directors, notified The Nasdaq Stock Market LLC ("Nasdaq") of its intention to voluntarily withdraw the listing from Nasdaq of its common stock, par value $0.01 per share (the "Common Stock"), and depositary shares each representing a 1/40th interest in a share of 7.125% Series C Fixed-Rate Non-Cumulative Perpetual Preferred Stock of the Company (the "Depositary Shares") and transfer the listing of the Common Stock and Depositary Shares to the New York Stock Exchange (the "NYSE"), effective on or about August 19, 2025, and also list the Common Stock on NYSE Texas, effective on or about August 20, 2025.

The Company expects the listing and trading of the Common Stock and Depositary Shares on Nasdaq to cease at the close of trading on or about August 18, 2025, the listing and trading of the Common Stock and Depositary Shares on the NYSE to begin at market open on or about August 19, 2025 and the listing and trading of the Common Stock on NYSE Texas on or about August 20, 2025.

The Common Stock and Depositary Shares has been approved for listing on the NYSE, where they will trade under the symbols "TFIN" and "TFIN PR", respectively.

**Item 7.01.Regulation FD Disclosure**

On August 8, 2025, the Company issued the press release attached hereto as Exhibit 99.1 in connection with the transfer of the listing of the Common Stock and Depositary Shares to the NYSE.

The information in this Item 7.01 of this Current Report on Form 8-K, including Exhibit 99.1 hereto, is being furnished to the Securities and Exchange Commission and shall not be deemed "filed" for the purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise subject to the liabilities of that section, and shall not be deemed incorporated by reference into any filing made under the Securities Act of 1933, as amended, or the Exchange Act, except as otherwise expressly stated in such filing.

**Forward-Looking Statements**

This Current Report on Form 8-K contains forward-looking statements within the meaning of the federal securities laws. Investors are cautioned that such statements are predictions and that actual events or results may differ materially. The Company's expected financial results or other plans are subject to a number of risks and uncertainties. For a discussion of such risks and uncertainties, which could cause actual results to differ from those contained in the forward-looking statements, see "Risk Factors" and the forward-looking statement disclosure contained in the Company's Annual Report on Form 10-K, filed with the Securities and Exchange Commission on February 11, 2025. Forward-looking statements speak only as of the date made and the Company undertakes no duty to update the information.

**Item 9.01.Financial Statements and Exhibits**

(d)Exhibits.

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| | |
|:---|:---|
| <u>Exhibit</u> | <u>Description</u> |
| 99.1 | <u>[Press Release, dated August 8, 2025, issued by Triumph Financial, Inc. (furnished under Item 7.01)](exhibit991080825.htm)</u> |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |

---

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**SIGNATURE**

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, hereunto duly authorized.

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| | |
|:---|:---|
| | TRIUMPH FINANCIAL, INC. |
| By: | /s/ Adam D. Nelson |
|  | Name: Adam D. Nelson<br>Title: Executive Vice President & General Counsel |

---

Date: August 8, 2025

## Exhibit 99.1

**Exhibit 99.1**

**Triumph Announces Transfer of Listing of Common and Preferred Stock to the New York Stock Exchange**

DALLAS – August 8, 2025 (GLOBE NEWSWIRE) – Triumph Financial, Inc. (Nasdaq: TFIN) today announced that it will transfer the listing and trading of its common (TFIN) and preferred stock (TFINP) to the New York Stock Exchange ("NYSE") from the Nasdaq Stock Market ("Nasdaq"). The company will retain its common stock ticker, TFIN; however, investors should note that the company's preferred stock ticker will change from "TFINP" to "TFIN PR" in keeping with NYSE symbology. Simultaneously with this move, the company is announcing it will dual list its common stock on NYSE Texas, the new, fully electronic equities exchange based in Dallas, Texas, under the same ticker, TFIN.

TFIN expects to begin trading on the NYSE on or about August 19, 2025, and on NYSE Texas on or about August 20, 2025. The Company's common and preferred stock is expected to continue to trade on Nasdaq until the close of the market on or about August 18, 2025.

"We're honored to join the New York Stock Exchange," said Aaron Graft, founder, vice chairman and chief executive officer. "We believe the NYSE's platform and resources will help us unlock greater value for Triumph and our shareholders. It's a privilege to stand alongside many of the world's most respected companies and, building on our deep Texas roots and commitment to this state, we are proud to join some of these same companies as a Founding Member of NYSE Texas. We would like to extend our sincere thanks to Nasdaq for the partnership and support over the past decade since our IPO."

"We are thrilled to welcome Triumph Financial as it transfers its primary listing to the NYSE and joins NYSE Texas as a Founding Member," said Chris Taylor, chief development officer, NYSE Group. "We look forward to Triumph joining the NYSE's best-in-class community of leading companies and to supporting their growth and future success."

**About Triumph**

Triumph (Nasdaq: TFIN) is a financial and technology company focused on payments, factoring, intelligence and banking to modernize and simplify freight transactions. Headquartered in Dallas, Texas, its portfolio of brands includes Triumph, TBK Bank and LoadPay.

**Forward-Looking Statements**

This press release contains forward-looking statements within the meaning of the federal securities laws. Investors are cautioned that such statements are predictions and that actual events or results may differ materially. Triumph Financial's expected financial results or other plans are subject to a number of risks and uncertainties. For a discussion of such risks and uncertainties, which could cause actual results to differ from those contained in the forward-looking statements, see "Risk Factors" and the forward-looking statement disclosure contained in the Company's Annual Report on Form 10-K, filed with the Securities and Exchange Commission on February 11, 2025. Forward-looking statements speak only as of the date made and Triumph Financial undertakes no duty to update the information.

**Source**: Triumph Financial, Inc.

###

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**Investor Relations:**

Luke Wyse

Executive Vice President, Head of Investor Relations

lwyse@tfin.com

214-365-6936

**Media Contact:**

Amanda Tavackoli

Senior Vice President, Director of Corporate Communication

atavackoli@tfin.com

214-365-6930

<br>