<SEC-DOCUMENT>0000898822-17-000044.txt : 20170331
<SEC-HEADER>0000898822-17-000044.hdr.sgml : 20170331
<ACCEPTANCE-DATETIME>20170330174343
ACCESSION NUMBER:		0000898822-17-000044
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		2
CONFORMED PERIOD OF REPORT:	20170330
ITEM INFORMATION:		Other Events
ITEM INFORMATION:		Financial Statements and Exhibits
FILED AS OF DATE:		20170331
DATE AS OF CHANGE:		20170330

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			Triumph Bancorp, Inc.
		CENTRAL INDEX KEY:			0001539638
		STANDARD INDUSTRIAL CLASSIFICATION:	STATE COMMERCIAL BANKS [6022]
		IRS NUMBER:				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:		17727106

	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
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<div style="FONT-SIZE: 14pt; FONT-WEIGHT: bold; TEXT-ALIGN: center">UNITED STATES</div>

<div style="FONT-SIZE: 14pt; FONT-WEIGHT: bold; TEXT-ALIGN: center">SECURITIES AND EXCHANGE COMMISSION</div>

<div style="FONT-SIZE: 12pt; FONT-WEIGHT: bold; TEXT-ALIGN: center">Washington, D.C.&#160; 20549</div>

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<div style="FONT-SIZE: 18pt; FONT-WEIGHT: bold; TEXT-ALIGN: center">FORM 8-K</div>

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<div style="FONT-SIZE: 10pt; FONT-WEIGHT: bold; TEXT-ALIGN: center">CURRENT REPORT</div>

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<div style="FONT-SIZE: 10pt; FONT-WEIGHT: bold; TEXT-ALIGN: center">Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934</div>

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<div style="FONT-SIZE: 10pt; TEXT-ALIGN: center">Date of Report (date of earliest event reported):&#160; <font style="FONT-SIZE: 10pt; FONT-WEIGHT: bold">March 30, 2017</font></div>

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<td style="FONT-SIZE: 24pt; WIDTH: 100%; VERTICAL-ALIGN: top; BORDER-BOTTOM: #000000 2px solid; FONT-WEIGHT: bold; TEXT-ALIGN: center">Triumph Bancorp, Inc.</td>
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<div style="FONT-SIZE: 10pt; TEXT-ALIGN: center">(Exact name of registrant as specified in its charter)</div>
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<div style="FONT-SIZE: 10pt; FONT-WEIGHT: bold; TEXT-ALIGN: center">Texas</div>
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<div style="FONT-SIZE: 10pt; TEXT-ALIGN: center">(State or other jurisdiction</div>

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<div style="FONT-SIZE: 10pt; TEXT-ALIGN: center">(I.R.S. Employer</div>

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<div style="FONT-SIZE: 10pt; TEXT-ALIGN: center">(Address of principal executive offices and zip code): <font style="FONT-WEIGHT: bold">12700 Park Central Drive, Suite 1700, Dallas, Texas, 75271</font></div>
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<div style="FONT-SIZE: 10pt; TEXT-ALIGN: center">Registrant&#8217;s telephone number, including area code:&#160; <font style="FONT-WEIGHT: bold">(214) 365-6900</font></div>
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<div style="FONT-SIZE: 10pt; TEXT-ALIGN: center">(Former name or former address, if changed since last report)</div>
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<div style="TEXT-ALIGN: left">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 Instruction A.2 below):</div>

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<td style="WIDTH: auto; VERTICAL-ALIGN: top; TEXT-ALIGN: left">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</td>
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<td style="WIDTH: auto; VERTICAL-ALIGN: top; TEXT-ALIGN: left">Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</td>
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<td style="WIDTH: auto; VERTICAL-ALIGN: top; TEXT-ALIGN: left">Pre-commencement communications pursuant to Rule 14d-2(b) under The Exchange Act (17 CFR 240.14d-2(b))</td>
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<td style="WIDTH: auto; VERTICAL-ALIGN: top; TEXT-ALIGN: left">Pre-commencement communications pursuant to Rule 13e-4(c) under The Exchange Act (17 CFR 240.13e-4(c))</td>
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<div style="FONT-WEIGHT: bold; TEXT-ALIGN: justify"><u>Item 8.01</u> Other Events.</div>

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<div style="MARGIN-BOTTOM: 12pt; FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif; TEXT-ALIGN: left; TEXT-INDENT: 36pt">On March 30, 2017, Triumph Bancorp, Inc., a Texas corporation (the "<font style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif"><u>Company</u></font>") and Triumph Capital Advisors, LLC, a Texas limited liability company and a wholly owned subsidiary of the Company ("<font style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif"><u>TCA</u></font>") entered into a Membership Interest Purchase Agreement to sell all of the limited liability company interests of TCA to an entity owned by Pine Brook Partners.</div>

<div style="MARGIN-BOTTOM: 12pt; FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif; TEXT-ALIGN: left; TEXT-INDENT: 36pt">A copy of the press release announcing the transaction is attached hereto as Exhibit 99.1.</div>
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<div style="FONT-WEIGHT: bold; TEXT-ALIGN: justify"><u>Item 9.01</u> Financial Statements and Exhibits.</div>
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<div style="MARGIN-BOTTOM: 6pt; TEXT-ALIGN: left"><font style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif; FONT-WEIGHT: bold">(d)</font><font id="TRGRRTFtoHTMLTab" style="FONT-SIZE: 1px; WIDTH: 36pt; DISPLAY: inline-block">&#160;</font><font style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif; FONT-WEIGHT: bold">Exhibits</font></div>

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<div style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif; TEXT-ALIGN: left">99.1</div>
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<div style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif; TEXT-ALIGN: left">Press Release, dated March 30, 2017</div>
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<div style="FONT-WEIGHT: bold; TEXT-ALIGN: center">SIGNATURE</div>

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<div style="TEXT-ALIGN: left; TEXT-INDENT: 18pt">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.</div>
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<td style="WIDTH: 38%" valign="top" colspan="2"><strong>TRIUMPH BANCORP, INC.</strong></td>
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<div style="TEXT-ALIGN: left; MARGIN-LEFT: 0pt; MARGIN-RIGHT: 0pt; TEXT-INDENT: 0pt">Date: March 30, 2017</div>
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<td style="WIDTH: 35%; BORDER-BOTTOM: #000000 2px solid" valign="top" nowrap="nowrap" align="left"><font style="FONT-STYLE: italic">&#160;/s/ </font><font style="FONT-STYLE: italic">Adam D. Nelson</font></td>
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<td style="WIDTH: 35%" valign="bottom" nowrap="nowrap" align="left">Name: Adam D. Nelson</td>
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<td style="WIDTH: 35%" valign="top">Title:&#160;&#160; Executive Vice President and General Counsel</td>
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<div style="MARGIN-BOTTOM: 12pt; FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif; FONT-WEIGHT: bold; TEXT-ALIGN: center">EXHIBIT INDEX</div>

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<div style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif; TEXT-ALIGN: left">99.1</div>
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<div style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif; TEXT-ALIGN: left">Press Release, dated March 30, 2017</div>
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<div style="MARGIN-BOTTOM: 10pt; FONT-SIZE: 14pt; FONT-FAMILY: 'Times New Roman', Times, serif; FONT-WEIGHT: bold; TEXT-ALIGN: right">Exhibit 99.1</div>

<div style="MARGIN-BOTTOM: 10pt; FONT-SIZE: 18pt; FONT-FAMILY: 'Times New Roman', Times, serif; TEXT-ALIGN: center">Pine Brook to Acquire Triumph Capital Advisors, a Leading CLO Manager, from Triumph Bancorp</div>

<div style="MARGIN-BOTTOM: 7.5pt; FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif; TEXT-ALIGN: justify">DALLAS and NEW YORK&#8212;March 30, 2017 &#8211; Pine Brook, an investment firm focused on building businesses in the financial services and energy sectors, and Triumph Bancorp, Inc. (NASDAQ:TBK) today announced the signing of a definitive agreement for Pine Brook and management to acquire Triumph Capital Advisors, LLC ("Triumph Capital Advisors" or the "Company"), a credit investment firm that manages and provides other services with respect to&#160;collateralized loan obligations ("CLOs") and related securities, and a wholly owned subsidiary of Triumph Bancorp<font style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif">.</font>&#160; Pine Brook has also provided a $250 million line of equity to Trinitas Capital Management, LLC. Financial details of the acquisition were not disclosed.</div>

<div style="MARGIN-BOTTOM: 7.5pt; FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif; TEXT-ALIGN: justify">Dallas-based Triumph Capital Advisors is a leading investor in syndicated bank loans, with a focus on CLOs. The Company's team has extensive experience investing in senior secured bank debt and CLO securities, and its knowledge of CLO deal structure, compliance, portfolio management and administration&#160;make it uniquely qualified to deliver value to investors.</div>

<div style="MARGIN-BOTTOM: 7.5pt; FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif; TEXT-ALIGN: justify">Gibran Mahmud, chief investment officer of Triumph Capital Advisors stated, "This is a major milestone in the development of Triumph Capital Advisors.&#160; I would like to thank Aaron Graft and Triumph Bancorp for their partnership over the past four years; our success to date is a testament to the effort and capabilities of all involved.&#160; Our team is excited about the opportunity to continue growing our CLO platform and expanding our product offering with the support of Pine Brook.&#160; We are confident our new partnership will accelerate growth in both of these key areas."</div>

<div style="MARGIN-BOTTOM: 7.5pt; FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif; TEXT-ALIGN: justify">Bharath Srikrishnan, managing director of Pine Brook, added "The implementation of risk retention has increased capital requirements for CLO managers, creating a need for strong management teams to attract significant amounts of equity capital. Pine Brook was formed for exactly this reason: to provide management teams with the capital they need to build their businesses.&#160; We view Gibran Mahmud and his team as best-in-class managers, and are excited to partner with them to grow a leading credit asset management business."</div>

<div style="MARGIN-BOTTOM: 7.5pt; FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif; TEXT-ALIGN: justify">Aaron Graft, chief executive officer of Triumph Bancorp noted, "Triumph Capital Advisors has established itself as a top CLO manager<font style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif">,</font> and is one of only a handful of managers that have been designated as staff and services provider to dual risk-retention compliant CLOs.&#160; Going forward, we believe Triumph Bancorp shareholder value will be maximized by facilitating the transfer of Triumph Capital Advisors ownership to a platform whose activities are not impacted by regulations intended for depository institutions.&#160; I would like to thank the Triumph Capital Advisors team for their efforts over the past four years and wish them the best."</div>

<div style="MARGIN-BOTTOM: 7.5pt; FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif; TEXT-ALIGN: justify"><font style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif">The transactions are subject to customary closing conditions and are expected to close in the first half of 2017. </font>Wachtell, Lipton, Rosen &amp; Katz and Haynes and Boone, LLP <font style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif">acted as legal advisors to Triumph Bancorp in connection with the transaction.&#160; </font>Skadden, Arps, Slate, Meagher &amp; Flom LLP acted as legal advisor and Wells Fargo Securities LLC served as the exclusive financial advisor to Pine Brook<font style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif">.</font> Dechert LLP acted as legal advisor to Trinitas Capital Management, LLC. Eaton Partners served as advisor and global placement agent for Trinitas Capital Management, LLC.</div>

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<div style="MARGIN-BOTTOM: 7.5pt; FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif; FONT-WEIGHT: bold; TEXT-ALIGN: justify">About Pine Brook</div>

<div style="MARGIN-BOTTOM: 7.5pt; FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif; TEXT-ALIGN: justify">Pine Brook is an investment firm that manages more than $6.0 billion of limited partner commitments that makes "business building" and other equity investments, primarily in energy and financial services businesses. Pine Brook's team of investment professionals collectively has over 300 years of experience financing the growth of businesses with equity, working alongside talented entrepreneurs and experienced management teams to build businesses of scale. Learn more at www.pinebrookpartners.com.</div>
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<div style="MARGIN-BOTTOM: 7.5pt; FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif; FONT-WEIGHT: bold; TEXT-ALIGN: justify">About Triumph Capital Advisors</div>

<div style="MARGIN-BOTTOM: 7.5pt; FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif; TEXT-ALIGN: justify"><font style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif">Triumph Capital Advisors, based in Dallas, Texas, is a credit-focused investment management firm, with an emphasis on managing and providing other services with respect to&#160;CLOs and related credit securities</font><font style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif">.</font><font style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif"> Its team of talented professionals has deep experience in investing in and managing bank loans, loan acquisition, loan origination, credit analysis, portfolio management, trading, collateralized loan obligation (CLO) investing, and CLO deal structuring and compliance.&#160; Triumph Capital Advisors currently has $1.5Bn in AUM across four CLOs.</font></div>

<div style="MARGIN-BOTTOM: 7.5pt; FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif; TEXT-ALIGN: justify">Triumph Capital Advisors has been named as the initial staff and services provider to two CLOs issued by Trinitas Capital Management, LLC ("Trinitas").</div>

<div style="MARGIN-BOTTOM: 7.5pt; FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif; FONT-WEIGHT: bold; TEXT-ALIGN: justify">About Trinitas Capital Management</div>

<div style="MARGIN-BOTTOM: 7.5pt; FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif; TEXT-ALIGN: justify">Trinitas Capital Management is a capitalized manager vehicle that manages CLOs and, directly or through subsidiaries, intends to achieve Dodd-Frank and Capital Requirements Regulation risk retention compliance by investing in the requisite risk retention securities.&#160; Trinitas currently has $1 billion in AUM across two CLOs<font style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif">.</font></div>

<div style="MARGIN-BOTTOM: 7.5pt; FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif; FONT-WEIGHT: bold; TEXT-ALIGN: justify">About Triumph Bancorp</div>

<div style="MARGIN-BOTTOM: 7.5pt; FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif; TEXT-ALIGN: justify">Headquartered in Dallas, Texas, Triumph Bancorp, Inc. (Nasdaq:TBK) is a financial holding company with a diversified line of community banking and commercial finance activities. www.triumphbancorp.com</div>

<div style="MARGIN-BOTTOM: 7.5pt; FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif; FONT-WEIGHT: bold; TEXT-ALIGN: justify">Forward-Looking Statements</div>

<div style="MARGIN-BOTTOM: 7.5pt; FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif; TEXT-ALIGN: justify">This press release contains forward-looking statements within the meaning of the federal securities laws. Investors are cautioned that such statements, including statements with respect to the expected benefits of the proposed transactions and the timing of the proposed transactions, are predictions and that actual events or results may differ materially. These forward-looking statements are not guarantees of future results and are subject to factors that could cause actual results to differ materially from those we expect, including, but not limited to: economic, political and market conditions and fluctuations; competition; the possibility that we will not consummate the proposed transaction on the expected terms, if at all; the possibility that the anticipated benefits of the proposed transaction will not be realized; and other factors identified in Triumph Bancorp's filings with the Securities and Exchange Commission (the "SEC")<font style="FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif">.&#160;</font>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 Triumph Bancorp's Annual Report on Form 10-K, filed with the SEC on February 17, 2017. Forward-looking statements speak only as of the date made and Triumph Bancorp undertakes no duty to update the information.</div>

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<div style="MARGIN-BOTTOM: 7.5pt; FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif; TEXT-ALIGN: justify; TEXT-INDENT: 22.5pt">Pine Brook Media Contact</div>

<div style="MARGIN-BOTTOM: 7.5pt; FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif; TEXT-ALIGN: justify; TEXT-INDENT: 22.5pt">Doug Allen</div>

<div style="MARGIN-BOTTOM: 7.5pt; FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif; TEXT-ALIGN: justify; TEXT-INDENT: 22.5pt">DAllen@StantonPRM.com</div>

<div style="MARGIN-BOTTOM: 7.5pt; FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif; TEXT-ALIGN: justify; TEXT-INDENT: 22.5pt">646-502-3530</div>

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<div style="MARGIN-BOTTOM: 7.5pt; FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif; TEXT-ALIGN: justify">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;Senior Vice President, Finance &amp; Investor Relations</div>

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<div style="MARGIN-BOTTOM: 7.5pt; FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif; TEXT-ALIGN: justify">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;Triumph Bancorp, Inc. Media Contact:</div>

<div style="MARGIN-BOTTOM: 7.5pt; FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif; TEXT-ALIGN: justify">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;Amanda Tavackoli</div>

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<div style="MARGIN-BOTTOM: 7.5pt; FONT-SIZE: 10pt; FONT-FAMILY: 'Times New Roman', Times, serif; TEXT-ALIGN: justify">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;atavackoli@tbkbank.com</div>

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