0001575602-16-000008.txt : 20161115
0001575602-16-000008.hdr.sgml : 20161115
20161115162750
ACCESSION NUMBER: 0001575602-16-000008
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161012
FILED AS OF DATE: 20161115
DATE AS OF CHANGE: 20161115
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: TriState Capital Holdings, Inc.
CENTRAL INDEX KEY: 0001380846
STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022]
IRS NUMBER: 204929029
STATE OF INCORPORATION: PA
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: ONE OXFORD CENTRE
STREET 2: 301 GRANT STREET, SUITE 2700
CITY: PITTSBURGH
STATE: pa
ZIP: 15219
BUSINESS PHONE: (412) 304-0304
MAIL ADDRESS:
STREET 1: ONE OXFORD CENTRE
STREET 2: 301 GRANT STREET, SUITE 2700
CITY: PITTSBURGH
STATE: pa
ZIP: 15219
FORMER COMPANY:
FORMER CONFORMED NAME: TriState Capital Holdings Inc
DATE OF NAME CHANGE: 20100617
FORMER COMPANY:
FORMER CONFORMED NAME: Tristate CapitalHoldings Inc
DATE OF NAME CHANGE: 20061113
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Dolan James J.
CENTRAL INDEX KEY: 0001575602
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35913
FILM NUMBER: 162000005
MAIL ADDRESS:
STREET 1: C/O TRISTATE CAPITAL HOLDINGS, INC.
STREET 2: ONE OXFORD CENTRE, SUITE 200
CITY: PITTSBURGH
STATE: PA
ZIP: 15219
4
1
wf-form4_147924525340345.xml
FORM 4
X0306
4
2016-10-12
0
0001380846
TriState Capital Holdings, Inc.
TSC
0001575602
Dolan James J.
ONE OXFORD CENTRE
301 GRANT STREET, SUITE 2700
PITTSBURGH
PA
15219
1
0
0
0
Common Stock
2016-11-11
4
M
0
6000
8.75
A
12125
D
Common Stock
2016-11-11
4
M
0
6000
8
A
18125
D
Common Stock
2016-11-11
4
S
0
12000
19.0463
D
6125
D
Common Stock
2016-10-12
4
G
0
5000
0
D
94132
D
Common Stock
3200
I
Owned by spouse
Common Stock
2500
I
Charles Scwab and Co, Inc., Custodian of James J Dolan Roth Contributory IRA
Stock Options (Right to Buy)
8.75
2016-11-11
4
M
0
6000
0
D
2012-06-15
2019-12-15
Common Stock
6000.0
0
D
Stock Options (Right to Buy)
8.0
2016-11-11
4
M
0
6000
0
D
2013-06-30
2020-12-31
Common Stock
6000.0
0
D
Stock Options (Right to Buy)
11.78
2016-06-13
2023-12-13
Common Stock
6000.0
6000
D
Stock Options (Right to Buy)
10.25
2015-06-30
2022-12-31
Common Stock
6000.0
6000
D
Stock Options (Right to Buy)
9.32
2014-06-30
2021-12-31
Common Stock
6000.0
6000
D
Stock Options (Right to Buy)
12.0
2011-06-18
2018-12-18
Common Stock
6000.0
6000
D
The price reported in Column 4 is the average price. The shares were sold in multiple transactions at prices ranging from $19.00 to $19.05, inclusive. The Reporting Person undertakes to provide to any security holder of TriState Capital Holdings, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Shares held jointly of record by the Reporting Person and his spouse.
The Reporting Person disclaims beneficial ownership of these securities except to the extent of any indirect pecuniary interest therein. This Form shall not be deemed an admission that he is a beneficial owner of any securities for purposes of Section 16 of the Securities Exchange Act of 1934 or for any other purpose.
3,000 of these options vested and became exercisable on 06/15/2012, and the remaining 3,000 options vested and became exercisable on 12/15/2014.
3,000 of these options will vest and become exercisable on or about 06/30/2013, and the remaining 3,000 options vested and became exercisable on 12/31/2015.
3,000 of these options will vest and become exercisable on 6/13/2016, and the remainder will vest and become exercisable on 12/13/2018.
3,000 of these options will vest and become exercisable on or about 6/30/2015, and the remaining 3,000 options will vest and become exercisable on 12/31/2017.
3,000 of these options vested and became exercisable on or about 6/30/2014, and the remaining 3,000 options will vest and become exercisable on 12/31/2016.
3,000 of these options vested and became exercisable on 06/18/2011, and the remaining 3,000 options vested and became exercisable on 12/18/2013.
/s/ Keevican Weiss Bauerle & Hirsch LLC by David J. Hirsch, Attorney-in-Fact
2016-11-15