SEC Form 4 · accession 0001575602-15-000002
TriState Capital Holdings, Inc. · TSC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James J. Dolan
Director
Period of report
Feb 3, 2015
Accepted (ET)
Feb 3, 2015 · 3:34 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 | Feb 3, 2015 | A | 2,500 | $9.9824 | A | 2,500 | I | Charles Scwab and Co, Inc., Custodian of James J Dolan Roth Contributory IRA |
| Common StockF3 | holding | — | — | — | 125,000 | D | ||
| Common Stock | holding | — | — | — | 3,125 | D | ||
| Common StockF4 | holding | — | — | — | 3,200 | I | Owned by spouse |
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 $9.935 to $9.9865, 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.
- F2The Reporting Person is the beneficiary of this account.
- F3Shares held jointly of record by the Reporting Person and his spouse.
- F4The Reporting Person disclaims beneficial ownership of these securities except to the extent of any indirect pecuniary interest therein.