# EDGAR Filing Document

**Accession Number:** 0001621766
**File Stem:** 0001628280-26-030838
**Filing Date:** 2026-5
**Character Count:** 8064
**Document Hash:** 2fd8002a634c65ea58576fc329f57d5a
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001628280-26-030838.hdr.sgml**: 20260505

**ACCESSION NUMBER**: 0001628280-26-030838

**CONFORMED SUBMISSION TYPE**: 4/A

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20260501

**FILED AS OF DATE**: 20260505

**DATE AS OF CHANGE**: 20260505

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Nelson Adam D
- **CENTRAL INDEX KEY:** 0001621766

**ORGANIZATION NAME:**

**FILING VALUES:**
- **FORM TYPE:** 4/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-36722
- **FILM NUMBER:** 26945354

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

**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

**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

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

## FORM 4/A

### 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>Nelson Adam D<br><sub>(Last) (First) (Middle)</sub><br>12700 PARK CENTRAL DRIVE<br>SUITE 1700<br><sub>(Street)</sub><br>DALLAS, TX 75251<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2026-05-01 | **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>_EVP and General Counsel_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Triumph Financial, Inc. [ TFIN ] | **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 | 2026-05-01 |  | A |  | 1850<sup>(1)</sup> | A | $0 | 26682 | D |  |
| Common Stock | 2026-05-01 |  | A |  | 2017<sup>(2)(3)</sup> | A | $0 | 28699 | D |  |
| Common Stock | 2026-05-01 |  | F |  | 1194<sup>(4)</sup> | D | $67.55 | 27505<sup>(5)</sup> | D |  |

---

## 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 |
| Employee Stock Options<sup>(6)</sup> | $67.55 | 2026-05-01 |  | A |  | 3432 |  | <sup>(7)</sup> | 2036-05-01 | Common Stock | 3432 | $0 | 3432 | D |  |
| Employee Stock Options<sup>(6)</sup> | $54.38 |  |  |  |  |  |  | <sup>(7)</sup> | 2035-05-01 | Common Stock | 4409 |  | 4409 | D |  |
| Employee Stock Options<sup>(7)</sup> | $72 |  |  |  |  |  |  | <sup>(6)</sup> | 2034-05-01 | Common Stock | 2010 |  | 2010 | D |  |
| Employee Stock Options<sup>(6)</sup> | $51.25 |  |  |  |  |  |  | <sup>(7)</sup> | 2033-05-01 | Common Stock | 2976 |  | 2976 | D |  |
| Employee Stock Options<sup>(6)</sup> | $69.44 |  |  |  |  |  |  | <sup>(7)</sup> | 2032-05-01 | Common Stock | 2187 |  | 2187 | D |  |
| Employee Stock Options<sup>(6)</sup> | $88.63 |  |  |  |  |  |  | <sup>(7)</sup> | 2031-05-01 | Common Stock | 1802 |  | 1802 | D |  |
| Employee Stock Options<sup>(6)</sup> | $31 |  |  |  |  |  |  | <sup>(7)</sup> | 2029-05-01 | Common Stock | 2529 |  | 2529 | D |  |
| Employee Stock Options<sup>(6)</sup> | $38.75 |  |  |  |  |  |  | <sup>(7)</sup> | 2028-05-01 | Common Stock | 3508 |  | 3508 | D |  |

---

### Footnotes:

(1) Each share is represented by a Restricted Stock Unit ("RSU").  The RSUs will vest on the ratably on each of the first four anniversaries of the grant date.

(2) Represents the number of shares earned upon satisfaction of performance goals in connection with performance-based restricted stock units.

(3) This Form 4/A amends the Form 4 filed on May 5, 2026 to correct the number of shares reported in Box 4 from 2,710 shares to 2,017 shares.

(4) Represents the number of shares forfeited to cover tax withholding obligations in connection with the vesting of restricted stock units and performance awards.

(5) Consists of (i) 23,044 shares beneficially owned by reporting person, and (ii) 4,461 shares of restricted stock or restricted stock units of the reporting person subject to future vesting requirements.

(6) Represents non-qualified stock options of Issuer granted to reporting person under Issuer's 2014 Omnibus Incentive Plan.

(7) Exercise of the employee stock option is subject to vesting over four years from the date of grant, with one fourth of such options becoming exercisable on each of the first four anniversaries of the date of grant.

**Signature:** Adam D. Nelson  
**Date:** 2026-05-05

### 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.**