Page 1

Table of Contents ( Mark One ) X UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington , D.C. 20549 FORM 10 - K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended December 31 , 2020 OR TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number : 000-56139 Maryland ( State or other jurisdiction of incorporation or organization ) TRINITY CAPITAL INC . ( Exact name of registrant as specified in its charter ) 3075 West Ray Road Suite 525 Chandler , Arizona ( Address of principal executive offices ) Securities registered pursuant to Section 12 ( b ) of the Act : Title of Each Class Common Stock , par value $ 0.001 per share ( 480 ) 374-5350 ( Registrant's telephone number , including area code ) Large accelerated filer Non - accelerated filer Trading Symbol ( s ) TRIN ( IRS Employer Identification No. ) 35-2670395 85226 ( Zip Code ) Securities registered pursuant to Section 12 ( g ) of the Act : None Indicate by check mark if the registrant is a well - known seasoned issuer , as defined in Rule 405 of the Securities Act . Yes No Indicate by check mark if the registrant is not required to file reports to Section 13 or 15 ( d ) of the Act . Yes No Name of each exchange on which registered Nasdaq Global Select Market Indicate by check mark whether the registrant ( 1 ) has filed all reports required to be filed by Section 13 or 15 ( d ) of the Securities Exchange Act of 1934 during the preceding 12 months ( or for such shorter period that the registrant was required to file such reports ) , and ( 2 ) has been subject to such filing requirements for the past 90 days . Yes No Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S - T ( §232.405 of this chapter ) during the preceding 12 months ( or for such shorter period that the registrant was required to submit such files ) . Yes No Accelerated filer Smaller reporting company Emerging growth company Indicate by check mark whether the registrant is a large accelerated filer , an accelerated filer , a non - accelerated filer , a smaller reporting company , or an emerging growth company . See the definitions of “ large accelerated filer , ” “ accelerated filer ” , “ smaller reporting company ” and “ emerging growth company " in Rule 12b - 2 of the Exchange Act : 008 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 . Indicate by check mark whether the registrant has filed a report on and attestation to its management's assessment of the effectiveness of its internal control over financial reporting under Section 404 ( b ) of the Sarbanes - Oxley Act ( 15 U.S.C. 7262 ( b ) ) by the registered public accounting firm that prepared or issued its audit report . Indicate by check mark whether the registrant is a shell Company ( as defined in Rule 12b - 2 of the Act ) . Yes No The aggregate market value of the common stock held by non - affiliates of the registrant as of June 30 , 2020 has not been provided because trading of the registrant's common stock on the Nasdaq Global Select Market did not commence until January 29 , 2021 . As of March 3 , 2021 , the registrant had 26,415,275 shares of common stock ( $ 0.001 par value per share ) outstanding . DOCUMENTS INCORPORATED BY REFERENCE Portions of the registrant's definitive Proxy Statement for its 2021 Annual Meeting of Stockholders , to be filed with the Securities and Exchange Commission within 120 days following the end of the registrant's fiscal year , are incorporated by reference into Part III of this annual report on Form 10 - K .