0001575602-17-000003.txt : 20171201 0001575602-17-000003.hdr.sgml : 20171201 20171201134427 ACCESSION NUMBER: 0001575602-17-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170811 FILED AS OF DATE: 20171201 DATE AS OF CHANGE: 20171201 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: 171233638 MAIL ADDRESS: STREET 1: C/O TRISTATE CAPITAL HOLDINGS, INC. STREET 2: ONE OXFORD CENTRE, SUITE 200 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_151215385247805.xml FORM 4 X0306 4 2017-08-11 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 2017-11-29 4 M 0 6000 12 A 16625 D Common Stock 2017-11-29 4 M 0 3000 9.32 A 19625 D Common Stock 2017-11-29 4 M 0 3000 11.78 A 22625 D Common Stock 2017-11-29 4 S 0 12000 24.3216 D 10625 D Common Stock 2017-08-11 4 G 0 10000 0 D 90757 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) 12.0 2017-11-29 4 M 0 6000 0 D 2011-06-18 2018-12-18 Common Stock 6000.0 0 D Stock Options (Right to Buy) 9.32 2017-11-29 4 M 0 3000 0 D 2014-06-30 2021-12-31 Common Stock 3000.0 0 D Stock Options (Right to Buy) 11.78 2017-11-29 4 M 0 3000 0 D 2016-06-13 2023-12-13 Common Stock 6000.0 3000 D Stock Options (Right to Buy) 10.25 2015-06-30 2022-12-31 Common Stock 3000.0 3000 D The price reported in Column 4 is the average price. The shares were sold in multiple transactions at prices ranging from $24.30 to $24.40, 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 6/18/2011, and the remainder vested and became exercisable on 12/18/2013. These options vested and became exercisable on 12/31/2016. There originally were 6,000 options, 3,000 of which vested and became exercisable on June 30, 2014 and were previously exercised. 3,000 of these options vested and became exercisable on 6/13/2016, and the remainder will vest and become exercisable on 12/13/2018. These options will vest and become exercisable on 12/31/2017. There originally were 6,000 options, 3,000 of which vested and became exercisable on June 30, 2015 and were previously exercised. /s/ Keevican Weiss Bauerle & Hirsch LLC by David J. Hirsch, Attorney-in-Fact 2017-11-29