SEC Form 4 · accession 0001061434-18-000002
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
Feb 15, 2018
Accepted (ET)
Feb 20, 2018 · 5:09 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 Stock | Feb 15, 2018 | M | 5,000 | $10.25 | A | 760,289 | D | |
| Common Stock | Feb 15, 2018 | S | 5,000 | $23.20 | D | 755,289 | D | |
| Common Stock | Feb 16, 2018 | M | 5,000 | $10.25 | A | 760,289 | D | |
| Common Stock | Feb 16, 2018 | S | 5,000 | $23.156 | D | 755,289 | D | |
| Common StockF2 | holding | — | — | — | 287,173 | I | By Getz Enterprises, L.P. | |
| Common StockF3 | holding | — | — | — | 160,618 | I | By Barclays Capital, Inc. FBO James F. Getz Individual Retirement Account | |
| Common StockF4 | holding | — | — | — | 61,252 | D |
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 | $10.25 | Feb 15, 2018 | M | 5,000 | D | Jun 30, 2015 | Dec 31, 2022 | Common Stock | 5,000 | 42,500 | D |
| Stock Options (Right to Buy)F5 | $10.25 | Feb 16, 2018 | M | 5,000 | D | Jun 30, 2015 | Dec 31, 2022 | Common Stock | 5,000 | 37,500 | D |
| Stock Options (Right to Buy)F6 | $11.66 | holding | — | — | — | Jul 2, 2016 | Jan 2, 2024 | Common Stock | 29,232 | 29,232 | D |
| Stock Options (Right to Buy)F7 | $10.31 | holding | — | — | — | Jul 16, 2017 | Jan 16, 2025 | Common Stock | 64,161 | 64,161 | D |
Explanation of responses
- F1The options were exercised and the underlying securities were sold by Mr. Getz to fund his tax obligations with respect to the vesting in 2018 of restricted stock awards made to him under the Company's 2014 Omnibus Incentive Plan.
- F2The Reporting Person is the general partner of this entity.
- F3The Reporting Person is the beneficiary of this account.
- F4Shares held jointly by Mr. Getz and his wife.
- F5All of these options vested and became exercisable on 12/31/2017.
- F6866 of these options vested and became exercisable on 7/2/2016, and the remainder will vest and become exercisable on 1/2/2019.
- F732,080 of these options vested and became exercisable on 7/16/2017, and the remainder will vest and become exercisable on 1/16/2020.