SEC Form 4 · accession 0001061434-15-000002
TriState Capital Holdings, Inc. · TSC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James F Getz
Officer — CHAIRMAN, PRESIDENT AND CEO · Director
Period of report
Jan 16, 2015
Accepted (ET)
Feb 10, 2015 · 3:50 pm EST
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 StockF1 | Jan 16, 2015 | A | 9,624 | $0.00 | A | 512,958 | D | |
| Common StockF2 | holding | — | — | — | 44,252 | D | ||
| Common StockF3 | holding | — | — | — | 287,173 | I | By Getz Enterprises, L.P. | |
| Common StockF4 | holding | — | — | — | 180,618 | I | By Barclays Capital, Inc. FBO James F. Getz Individual Retirement Account |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to Buy)F5 | $10.31 | Jan 16, 2015 | A | 64,161 | A | Jul 16, 2017 | Jan 16, 2025 | Common Stock | 64,161 | 64,161 | D |
| Stock Options (Right to Buy)F6 | $10.25 | holding | — | — | — | Jun 30, 2015 | Dec 31, 2022 | Common Stock | 95,000 | 95,000 | D |
| Stock Options (Right to Buy)F7 | $11.66 | holding | — | — | — | Jul 2, 2016 | Jan 2, 2024 | Common Stock | 56,732 | 56,732 | D |
Explanation of responses
- F1Owned by Mr. Getz individually
- F2Shares held jointly of record by Mr. Getz and his spouse.
- F3The Reporting Person is the general partner of this entity, which owns a total of 287,173 shares of the Issuers' common stock.
- F4The Reporting Person is the beneficiary of this account, which owns a total of 180,618 shares of the Issuer's common stock.
- F532,080 of these options will vest and become exercisable on 7/16/2017, and the remainder will vest and become exercisable on 1/16/2020.
- F647,500 of these options vested and became exercisable on or about 06/30/2015, and the remaining 47,500 options will vest and become exercisable on 12/31/2017.
- F728,366 of these options will vest and become exercisable on 7/2/2016, and the remainder will vest and become exercisable on 1/2/2019.