0001575602-18-000004.txt : 20181031 0001575602-18-000004.hdr.sgml : 20181031 20181031151534 ACCESSION NUMBER: 0001575602-18-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181026 FILED AS OF DATE: 20181031 DATE AS OF CHANGE: 20181031 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: 181149991 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_154101331788899.xml FORM 4 X0306 4 2018-10-26 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 2018-10-26 4 P 0 6000 24.34 A 31632 D Common Stock 2018-10-29 4 P 0 2000 24.88 A 33632 D Common Stock 12125 D Common Stock 2500 I Charles Scwab and Co, Inc., Custodian of James J Dolan Roth Contributory IRA Common Stock 3200 I Owned by spouse The price reported in Column 4 is the weighted average price of the trades on October 26, 2018. The shares were sold in multiple transactions at prices ranging from $24.00 to $24.90 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 sold at each separate price within the range set forth in this footnote. The reporting person's prior Form 4 over reported this amount by 1,500 shares. The number reported herein conforms to the reporting person's holdings disclosed in the Definitive Proxy Statement filed by TriState Capital Holdings, Inc. on April 16, 2018 (the "2018 Proxy Statement"). Shares held jointly of record by the Reporting Person and his spouse. The price reported in Column 4 is the weighted average price of the trades on October 29, 2018. The shares were sold in multiple transactions at prices ranging from $24.85 to $24.90 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 sold at each separate price within the range set forth in this footnote. The reporting person's prior Form 4 over reported this amount by 125 shares. The number reported herein conforms to the reporting person's holdings disclosed in the 2018 Proxy Statement. Shares held individually by Reporting Person 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. /s/ Karla Villatoro de Friedman, General Counsel of TriState Capital Bank, Attorney-in-Fact 2018-10-31