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