Form 8-K
8-K — Trinity Capital Inc.
Accession: 0001193125-26-269551
Filed: 2026-06-12
Period: 2026-06-10
CIK: 0001786108
Item: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers
Item: Submission of Matters to a Vote of Security Holders
Item: Financial Statements and Exhibits
Documents
8-K — trin-20260610.htm (Primary)
EX-10.1 (trin-ex10_1.htm)
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8-K
8-K (Primary)
Filename: trin-20260610.htm · Sequence: 1
8-K
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): June 10, 2026
TRINITY CAPITAL INC.
(Exact name of Registrant as Specified in Its Charter)
Maryland
001-39958
35-2670395
(State or Other Jurisdiction
of Incorporation)
(Commission File Number)
(IRS Employer
Identification No.)
1 N. 1st Street
Suite 302
Phoenix, Arizona
85004
(Address of Principal Executive Offices)
(Zip Code)
Registrant’s Telephone Number, Including Area Code: (480) 374-5350
Not Applicable
(Former Name or Former Address, if Changed Since Last Report)
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:
☐
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the Act:
Title of each class
Trading
Symbol(s)
Name of each exchange on which registered
Common Stock, par value $0.001 per share
TRIN
Nasdaq Global Select Market
7.875% Notes Due 2029
TRINZ
Nasdaq Global Select Market
7.875% Notes Due 2029
TRINI
Nasdaq Global Select Market
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).
Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
(e) Amendment to the Trinity Capital Inc. 2019 Non-Employee Director Restricted Stock Plan
On June 10, 2026, Trinity Capital Inc. (the “Company”) held its 2026 Annual Meeting of Stockholders (the “Annual Meeting”). At the Annual Meeting, the stockholders of the Company, upon recommendation of the Board of Directors of the Company (the “Board of Directors”), approved an amendment to the Trinity Capital Inc. 2019 Non-Employee Director Restricted Stock Plan, as amended, to increase the total number of shares available for issuance thereunder by 100,000 shares (from 120,000 shares to 220,000 shares).
The foregoing summary does not purport to be complete and is qualified in its entirety by reference to the text of such amendment to the Trinity Capital Inc. 2019 Non-Employee Director Restricted Stock Plan, as amended, which is filed as Exhibit 10.1 to this Current Report on Form 8-K and incorporated herein by reference. A more detailed summary of such amendment can be found in “Proposal 5: Approval of the Amendment to the Trinity Capital Inc. 2019 Non-Employee Director Restricted Stock Plan” in the Company’s definitive proxy statement filed with the Securities and Exchange Commission on April 30, 2026 (the “Proxy Statement”), which description is incorporated by reference herein.
Item 5.07. Submission of Matters to a Vote of Security Holders.
At the Annual Meeting, held on June 10, 2026, the Company submitted five matters to the vote of its stockholders, each of which is described in detail in the Company’s Proxy Statement. As of the close of business on April 13, 2026, the record date for the Annual Meeting, there were 89,030,050 shares of the Company’s common stock outstanding and entitled to vote at the Annual Meeting. A summary of the matters voted upon by the Company’s stockholders at the Annual Meeting is set forth below.
Proposal 1: Election of Directors
The Company’s stockholders re-elected two directors to the Board of Directors to serve until the 2027 Annual Meeting of Stockholders and until their respective successors are duly elected and qualified. The following votes were taken in connection with this proposal:
Name
For
Against
Abstain
Broker
Non-Votes
Ronald E. Estes
25,048,579
2,291,232
1,153,238
32,794,620
Michael E. Zacharia
25,112,395
2,221,279
1,159,375
32,794,620
Proposal 2: Ratification of selection of Ernst & Young LLP
The Company’s stockholders approved the ratification of the selection of Ernst & Young LLP to serve as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2026. The following vote was taken in connection with this proposal:
For
Against
Abstain
59,435,781
670,658
1,181,230
Proposal 3: Approval, on non-binding and advisory basis, of compensation of named executive officers
The Company’s stockholders approved, on a non-binding and advisory basis, the compensation of the Company’s named executive officers. The following vote was taken in connection with this proposal:
For
Against
Abstain
Broker
Non-Votes
25,340,645
1,548,541
1,603,863
32,794,620
Proposal 4: Approval, on non-binding and advisory basis, of the frequency of future non-binding, advisory votes to approve compensation of named executive officers
The Company’s stockholders approved, on a non-binding and advisory basis, the frequency of one year for future non-binding, advisory votes to approve compensation of the Company’s named executive officers. The following vote was taken in connection with this proposal:
1 Year
2 Years
3 Years
Abstain
Broker
Non-Votes
25,569,844
861,720
506,976
1,554,509
32,794,620
Proposal 5: Approval of the amendment to the Trinity Capital Inc. 2019 Non-Employee Director Restricted Stock Plan
The Company’s stockholders approved a proposal to amend the Trinity Capital Inc. 2019 Non-Employee Director Restricted Stock Plan, as amended. The following vote was taken in connection with this proposal:
For
Against
Abstain
Broker
Non-Votes
25,353,161
1,509,816
1,630,072
32,794,620
Item 9.01 Financial Statements and Exhibits.
(d) Exhibits:
Exhibit Number
Description
10.1*
Amendment No. 2 to the Trinity Capital Inc. 2019 Non-Employee Director Restricted Stock Plan.
104
Cover Page Interactive Data File (embedded within the Inline XBRL document)
* Management contract or compensatory plan or arrangement.
SIGNATURES
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.
Trinity Capital Inc.
Date:
June 12, 2026
By:
/s/ Sarah Stanton
Sarah Stanton
General Counsel, Chief Compliance Officer and Secretary
EX-10.1
EX-10.1
Filename: trin-ex10_1.htm · Sequence: 2
EX-10.1
EXHIBIT 10.1
Plan Amendment
Amendment No. 2
TRINITY CAPITAL INC.
2019 NON-EMPLOYEE DIRECTOR RESTRICTED STOCK PLAN
Pursuant to the power reserved to it in Section 9(A) of the Trinity Capital Inc. 2019 Non-Employee Director Restricted Stock Plan (the “Plan”), the Board of Directors of Trinity Capital Inc. hereby amends the Plan, effective June 10, 2026, as follows:
1. Section 3 is hereby amended and restated in its entirety to read as follows:
“3. SHARES SUBJECT TO THE PLAN
The shares subject to this Plan shall be shares of the Company’s common stock, par value $0.001 per share (“Shares”). Subject to the provisions hereof concerning adjustment, the total number of Shares that may be awarded as restricted stock under this Plan shall not exceed two hundred and twenty thousand (220,000) Shares. Any Shares that were granted pursuant to an award of restricted stock under this Plan but that are forfeited pursuant to the terms of the Plan or an award agreement shall again be available under this Plan. Shares used for tax withholding shall not again be available under this Plan. Shares may be made available from authorized, un-issued or reacquired stock or partly from each.”
* * *
To record the adoption of this Amendment No. 2 to the Plan, Trinity Capital Inc. has authorized its officers to affix its corporate name effective as of the date indicated above.
TRINITY CAPITAL INC.
By:
/s/ Michael Testa
Name:
Michael Testa
Title:
Chief Financial Officer
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