| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | TRIN | Common Stock | Tax liability | -$267K | -18K | -1.82% | $14.82 | 972K | Jun 14, 2024 | Direct | F1, F2, F3 |
| holding | TRIN | Common Stock | 51.8K | Jun 14, 2024 | By The Kyle and Amy Brown Family Trust, dated February 4, 2019 | ||||||
| holding | TRIN | Common Stock | 10.8K | Jun 14, 2024 | By KBIZ Corp.,which Mr. K. Brown solely owns and controls |
Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.
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).
| Id | Content |
|---|---|
| F1 | Shares withheld to satisfy the reporting person's tax obligations in connection with vesting of restricted shares on June 14, 2024. Transaction exempt from Section 16(b) pursuant to Rule 16b-3. |
| F2 | Includes shares acquired pursuant to Trinity Capital Inc.'s distribution reinvestment plan. |
| F3 | Includes (1) 202,703 shares issued under the 2019 Trinity Capital Inc. Long Term Incentive Plan (the "LTIP") on March 15, 2024, which shares vest 25% on March 15, 2025, with the remaining 75% ofsuch shares vesting pro rata over the twelve full calendar quarters immediately following March 15, 2025; (2) 208,092 shares issued under the LTIP on March 15, 2023, which shares vested 25% on March 15, 2024, with the remaining 75% of such shares vesting pro rata over the twelve full calendar quarters immediately following March 15, 2024; (3) 208,092 issued under the LTIP on March 15,2022, which shares vested 25% on March 15, 2023, with the remaining 75% of such shares vesting pro rata over the twelve full calendar quarters following March 15, 2023; and (4) 204,793 shares issuedunder the LTIP on September 15, 2021, which shares began vesting quarterly pro rata over the twelve full calendar quarters immediately following September 15, 2021. |
Sarah Stanton is signing on behalf of Mr. K. Brown pursuant to the power of attorney dated September 17, 2021, which was previously filed with the Securities and Exchange Commission as anexhibittothe Form 4 Mr. K. Brown filed on September 17, 2021.