SEC Form 4 · accession 0001061434-16-000008
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
Nov 3, 2016
Accepted (ET)
Nov 7, 2016 · 5:20 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,F2 | Nov 3, 2016 | P | 5,000 | $16.8992 | A | 56,252 | D | |
| Common StockF3 | holding | — | — | — | 512,958 | D | ||
| Common StockF4 | holding | — | — | — | 287,173 | I | By Getz Enterprises, L.P. | |
| Common StockF5 | holding | — | — | — | 180,618 | I | By Barclays Capital, Inc. FBO James F. Getz Individual Retirement Account |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is the average price. The shares were purchased in multiple transactions at prices ranging from $16.875 to $16.90, 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 purchased at each separate price within the range set forth in this footnote.
- F2Shares held jointly of record by Mr. Getz and his spouse.
- F3Owned by Mr. Getz individually
- F4The Reporting Person is the general partner of this entity, which owns a total of 287,173 shares of the Issuers' common stock.
- F5The Reporting Person is the beneficiary of this account, which owns a total of 180,618 shares of the Issuer's common stock.