SEC Form 4 · accession 0001575462-16-000011
TriState Capital Holdings, Inc. · TSC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark L. Sullivan
Officer — VICE CHAIRMAN AND CFO · Director
Period of report
Nov 11, 2016
Accepted (ET)
Nov 15, 2016 · 4:22 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001380846
Table I — non-derivative securities
No Table I lines on this filing.
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)F2,F1 | $10.00 | Nov 11, 2016 | D | 25,000 | D | Jul 22, 2009 | Jan 22, 2017 | Common Stock | 25,000 | 25,000 | D |
Explanation of responses
- F1250,000 of the original grant of 500,000 options vested and became exercisable on or about 07/22/2009, and the remaining 250,000 options vested and became exercisable on 01/22/2012.
- F2The option was canceled as to 25,000 shares by mutual agreement of the reporting person and TriState Capital Holdings, Inc. The reporting person received $213,750 as consideration for the cancellation.