4/A: Trinity Capital COO Amends Share Ownership Disclosure

Trinity Capital Inc.'s Chief Operating Officer, Gerald Harder, filed an amended Form 4 to correct errors in his previously reported beneficial ownership of common stock.

Summary

• Gerald Harder, Chief Operating Officer of Trinity Capital Inc. (TRIN), filed an amended Form 4 (Form 4/A) on December 19, 2025, to correct errors in a previous filing dated December 17, 2025.
• The original filing inadvertently overstated the total beneficial ownership by 28,204 shares due to scrivener's errors.
• The amendment clarifies the distribution of shares between direct ownership and indirect ownership through the Harder Family Living Trust, dated May 26, 2000.
• Shares previously held directly were transferred to the Harder Family Living Trust, and amounts indirectly owned through an IRA are now reported as directly owned.
• Following the correction, Mr. Harder directly owns 132,168 shares of common stock and indirectly owns 150,962 shares through the Harder Family Living Trust.

Sentiment

Score: 5

Explanation: The filing is a neutral correction of previous reporting errors, not indicative of positive or negative company performance or strategic shifts.

Positives

• The company and its officer are ensuring accuracy and transparency in beneficial ownership reporting by correcting previous errors.

Negatives

• The initial Form 4 filing contained "scrivener's errors" which led to an overstatement of total beneficial ownership by 28,204 shares and misclassification of direct versus indirect holdings.

Future Outlook

NA

Management Comments

• On December 17, 2025, the reporting person filed a Form 4 (the "Prior Form 4") which inadvertently reported an overstatement in the number of shares held directly and an understatement in the number of shares held by the Harder Family Living Trust, dated May 26, 2000.
• Due to scrivener's errors, the total ownership by reporting person in the Prior Form 4 was overstated by 28,204 shares.
• The reporting person also transferred shares directly owned in his individual name to the Harder Family Living Trust, dated May 26, 2000, which was not reflected in the Prior Form 4.
• Additionally, amounts previously reported as indirectly owned through an IRA are now included in the amount of securities beneficially owned directly by the reporting person.

Industry Context

This filing is specific to an individual's beneficial ownership reporting and does not directly relate to broader industry trends or competitors, beyond the general regulatory requirement for all public company insiders to accurately report their holdings.

Corporate Governance

Stakeholder Impact

• Shareholders: Provides accurate and transparent information regarding insider ownership, which is crucial for investment decisions.
• Regulators: Ensures compliance with SEC reporting requirements under Section 16(a).

Key Dates

Keywords

Trinity Capital Inc., TRIN, SEC Form 4/A, Beneficial Ownership, Insider Trading, Officer, Share Ownership, Amendment, Corporate Governance, Gerald Harder