SEC Form 4 · accession 0001061434-18-000010
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
Dec 3, 2018
Accepted (ET)
Dec 6, 2018 · 3:42 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 | holding | — | — | — | 287,173 | I | By Getz Enterprises, L.P. | |
| Common StockF2 | holding | — | — | — | 140,618 | I | By Stephens Inc. FBO James F. Getz Individual Retirement Account | |
| Common StockF3 | holding | — | — | — | 242,331 | D | ||
| Common StockF4 | holding | — | — | — | 574,210 | 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 | Dec 3, 2018 | D | 32,500 | D | Jun 30, 2015 | Dec 31, 2022 | Common Stock | 32,500 | 0 | D |
| Stock Options (Right to Buy)F6 | $11.66 | Dec 3, 2018 | D | 866 | D | Jul 2, 2016 | Jan 2, 2024 | Common Stock | 866 | 28,366 | D |
| Stock Options (Right to Buy)F7 | $10.31 | Dec 3, 2018 | D | 32,080 | D | Jul 16, 2017 | Jan 16, 2025 | Common Stock | 32,080 | 32,081 | D |
Explanation of responses
- F1The Reporting Person is the general partner of this entity.
- F2The Reporting Person is the beneficiary of this account.
- F3Owned by the Reporting Person individually.
- F4Shares held jointly by the Reporting Person and his wife.
- F5The option was canceled by mutual agreement of the Reporting Person and TriState Capital Holdings, Inc. to satisfy an estimated tax obligation resulting from vesting of restricted stock in the amount of 105,387 shares set to occur on January 14, 2019, which restricted stock was previously granted to the Reporting Person pursuant to the Company's 2014 Omnibus Incentive Plan. The Reporting Person received $470,925.00 as consideration for the cancellation.
- F6The option was canceled by mutual agreement of the Reporting Person and TriState Capital Holdings, Inc. to satisfy an estimated tax obligation resulting from vesting of restricted stock in the amount of 105,387 shares set to occur on January 14, 2019, which restricted stock was previously granted to the Reporting Person pursuant to the Company's 2014 Omnibus Incentive Plan. The Reporting Person received $11,327.28 as consideration for the cancellation.
- F7The option was canceled by mutual agreement of the Reporting Person and TriState Capital Holdings, Inc. to satisfy an estimated tax obligation resulting from vesting of restricted stock in the amount of 105,387 shares set to occur on January 14, 2019, which restricted stock was previously granted to the Reporting Person pursuant to the Company's 2014 Omnibus Incentive Plan. The Reporting Person received $462,914.40 as consideration for the cancellation.