0001061434-18-000008.txt : 20180910 0001061434-18-000008.hdr.sgml : 20180910 20180910200142 ACCESSION NUMBER: 0001061434-18-000008 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180906 FILED AS OF DATE: 20180910 DATE AS OF CHANGE: 20180910 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GETZ JAMES F CENTRAL INDEX KEY: 0001061434 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35913 FILM NUMBER: 181063726 MAIL ADDRESS: STREET 1: C/O TRISTATE CAPITAL HOLDINGS, INC STREET 2: ONE OXFORD CENTRE, SUITE 2700 CITY: PITTSBURGH STATE: PA ZIP: 15219 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 4 1 wf-form4_153662408637735.xml FORM 4 X0306 4 2018-09-06 0 0001380846 TriState Capital Holdings, Inc. TSC 0001061434 GETZ JAMES F ONE OXFORD CENTRE 301 GRANT STREET, SUITE 2700 PITTSBURGH PA 15219 1 1 0 0 CHAIRMAN, PRESIDENT AND CEO Common Stock 2018-09-06 4 S 0 5000 29.8515 D 145618 I By Stephens Inc. FBO James F. Getz Individual Retirement Account Common Stock 2018-09-07 4 S 0 5000 29.867 D 140618 I By Stephens Inc. FBO James F. Getz Individual Retirement Account Common Stock 287173 I By Getz Enterprises, L.P. Common Stock 242331 D Common Stock 574210 D A portion of the shares were sold by the Reporting Person's IRA, which has as its sole asset shares of common stock of TriState Capital Holdings, Inc. (the "Company"), to provide the IRA with liquid assets sufficient to fund mandatory distributions required to be made to the Reporting Person by the IRA under applicable tax laws. In addition, a portion of the shares were also sold by the Reporting Person's IRA to satisfy estimated tax obligations resulting from the vesting of restricted stock set to occur on January 14, 2019, which restricted stock was previously granted to the Reporting Person pursuant to the Company's 2014 Omnibus Incentive Plan. The price reported in Column 4 is the average price of the trades on the respective days. The shares were sold in multiple transactions on each day at prices ranging from $29.85 to $29.90, 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. The Reporting Person is the beneficiary of this account. The Reporting Person is the general partner of this entity. Owned by the Reporting Person individually. Shares held jointly by the Reporting Person and his wife. /s/ Karla Villatoro de Friedman, General Counsel of TriState Capital Bank, Attorney-in-Fact 2018-09-09