SEC Form 4 · accession 0001061434-17-000003
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
Jun 12, 2017
Accepted (ET)
Jun 14, 2017 · 5:40 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 StockF2,F3 | Jun 12, 2017 | S | 15,000 | $24.9968 | D | 165,618 | I | By Barclays Capital, Inc. FBO James F. Getz Individual Retirement Account |
| Common StockF4,F3 | Jun 13, 2017 | S | 5,000 | $25.2419 | D | 160,618 | I | By Barclays Capital, Inc. FBO James F. Getz Individual Retirement Account |
| Common StockF5 | holding | — | — | — | 287,173 | I | By Getz Enterprises, L.P. | |
| Common StockF6 | holding | — | — | — | 61,252 | D | ||
| Common StockF7 | holding | — | — | — | 668,138 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The securities were sold by Mr. Getz's IRA, which has as its sole asset shares of Common Stock of TriState Capital Holdings, Inc., to provide the IRA with liquid assets sufficient to fund mandatory distributions required to be made to Mr. Getz by the IRA under applicable tax laws.
- F2The price reported in Column 4 is the average price. The shares were sold in multiple transactions at prices ranging from $24.65 to $25.08, 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.
- F3The Reporting Person is the beneficiary of this account.
- F4The price reported in Column 4 is the average price. The shares were sold in multiple transactions at prices ranging from $25.05 to $25.30, 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.
- F5The Reporting Person is the general partner of this entity.
- F6Shares held jointly by Mr. Getz and his wife.
- F7Owned by Mr. Getz individually