SEC Form 4/A · accession 0000899243-18-014294
TriState Capital Holdings, Inc. · TSC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
James E. Minnick
Director
Period of report
May 25, 2018
Accepted (ET)
May 29, 2018 · 5:43 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001380846
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, no par valueF1,F2,F3,F4,F5 | May 25, 2018 | S | 1,521,535 | $25.71 | D | 1,852,158 | I | By LM III TriState Holdings LLC |
| Common Stock, no par valueF1,F2,F3,F4,F5 | May 25, 2018 | S | 678,465 | $25.71 | D | 825,891 | I | By LM III-A TriState Holdings LLC |
| Common Stock, no par value | holding | — | — | — | 12,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares of TriState Capital Holdings, Inc.'s (the "Issuer") common stock sold in an underwritten secondary offering.
- F2Represents the sale price to the underwriters in the secondary offering of $25.71 per share.
- F3Lovell Minnick Partners LLC ("LMP") is the managing member of Fund III UGP LLC, which is the general partner of Lovell Minnick Equity Advisors III LP, which is, in turn, the general partner of Lovell Minnick Equity Partners III LP ("LMEP III") and Lovell Minnick Equity Partners III-A LP ("LMEP III-A"). LMEP III is the managing member of LM III TriState Holdings LLC and LMEP III-A is the managing member of LM III-A TriState Holdings LLC.
- F4Mr. Minnick may be deemed to beneficially own the shares of common stock reported herein by virtue of his being the co-chairman of LMP.
- F5Mr. Minnick expressly disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein.
Remarks
The original Form 4 filed on May 24, 2018 incorrectly stated the transaction date was May 22, 2018. This amended Form 4 also removes the check next to "10% Owner" as the reporting person ceased to be a 10% Owner as a result of the reported transaction.