| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | |||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
TriState Capital Holdings, Inc. [ TSC ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 08/29/2019 | ||||||||||||||||||||||||||
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4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock | 08/29/2019 | P | 12,500 | A | $19.804(1) | 324,673(2) | I | By Getz Enterprises, L.P.(3) | ||
| Common Stock | 08/30/2019 | P | 12,500 | A | $19.763(4) | 337,173(2) | I | By Getz Enterprises, L.P.(3) | ||
| Common Stock | 08/29/2019 | G | V | 5,110 | D | $0(5) | 135,508 | I | By Stephens Inc. FBO James F. Getz Individual Retirement Account(6) | |
| Common Stock | 368,944 | D(7) | ||||||||
| Common Stock | 549,210 | D(8) | ||||||||
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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| 1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Explanation of Responses: |
| 1. The price reported in Column 4 is the weighted average price of the trades on August 29, 2019. The shares were purchased in multiple transactions at prices ranging from $19.69 to $19.84 per share. The Reporting Person undertakes to provide to TriState Capital Holdings, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. |
| 2. The Reporting Person previously filed a Form 4 on August 28, 2019 that reported the open-market purchase of shares on August 27 and August 28, 2019. Footnotes 1 and 3 of that filing inadvertently referred to the transactions as sales instead of purchases. These transactions were purchases, as reflected in the reporting of such transactions in Table I to the Form 4, and the shares held reported herein include the shares acquired in such purchases. |
| 3. The Reporting Person is the general partner of this entity. |
| 4. The price reported in Column 4 is the weighted average price of the trades on August 30, 2019. The shares were purchased in multiple transactions at prices ranging from $19.58 to $19.95 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. |
| 5. The transaction represents a gift of shares of the Issuer's common stock held through the Reporting Person's individual retirement account. |
| 6. The Reporting Person is the beneficiary of this account. |
| 7. Owned by the Reporting Person, individually. |
| 8. Shares held jointly by the Reporting Person and his spouse. |
| Remarks: |
| /s/ Karla Villatoro de Friedman, General Counsel of TriState Capital Bank, Attorney-in-Fact | 08/30/2019 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||