# EDGAR Filing Document

**Accession Number:** 0001786108
**File Stem:** 0001213900-23-020995
**Filing Date:** 2023-3
**Character Count:** 6597
**Document Hash:** 1a8de1ba81fe8e71af27d66ef9d37648
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001213900-23-020995.hdr.sgml**: 20230317

**ACCESSION NUMBER**: 0001213900-23-020995

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230315

**FILED AS OF DATE**: 20230317

**DATE AS OF CHANGE**: 20230317

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Lund David Michael
- **CENTRAL INDEX KEY:** 0001336274

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-39958
- **FILM NUMBER:** 23742592

**MAIL ADDRESS:**
- **STREET 1:** 525 UNIVERSITY AVENUE SUITE 700
- **CITY:** PALO ALTO
- **STATE:** CA
- **ZIP:** 94301
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Trinity Capital Inc.
- **CENTRAL INDEX KEY:** 0001786108
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** MD
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 1 N. 1ST ST.
- **STREET 2:** 3RD FLOOR
- **CITY:** PHOENIX
- **STATE:** AZ
- **ZIP:** 85004
- **BUSINESS PHONE:** 480.374.5350

**MAIL ADDRESS:**
- **STREET 1:** 1 N. 1ST ST.
- **STREET 2:** 3RD FLOOR
- **CITY:** PHOENIX
- **STATE:** AZ
- **ZIP:** 85004

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] 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**<sup>*</sup><br>Lund David Michael<br><sub>(Last) (First) (Middle)</sub><br>C/O TRINITY CAPITAL INC.<br>1 N. 1ST STREET, 3RD FLOOR<br><sub>(Street)</sub><br>PHOENIX, AZ 85004<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-15 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_CFO, EVP - Finance & Treasurer_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Trinity Capital Inc. [ TRIN ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-03-15 |  | F<sup>(1)</sup> |  | 2498 | D | $12.85 | 62875<sup>(2)</sup> | D |  |
| Common Stock | 2023-03-15 |  | A<sup>(3)</sup> |  | 48560 | A | $0 | 111435<sup>(2)</sup> | D |  |
| Common Stock |  |  |  |  |  |  |  | 6200 | I | By the David M Lund Rev Liv TR U/A DTD 11-14-13 |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |

---

### Footnotes:

(1) Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on March 15, 2023. Transaction exempt from Section 16(b) pursuant to Rule 16b-3.

(2) Includes 57,803 restricted shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan. Such restricted shares began vesting pro rata over the eight full calendar quarters immediately following the award date of March 15, 2022.

(3) Restricted shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan. Such restricted shares shall begin vesting pro rata over the eight full calendar quarters immediately following the award date of March 15, 2023.

**Remarks:**
Sarah Stanton is signing on behalf of Mr. Lund pursuant to the power of attorney dated August 25, 2021, which was previously filed with the Securities and Exchange Commission as an exhibit to the Form 4 Mr. Lund filed on August 25, 2021.

**Signature:** /s/ Sarah Stanton, on behalf of David Lund  
**Date:** 2023-03-17

### Remarks:

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.**