SEC Form 4 · accession 0001575602-16-000005
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
Jun 12, 2015
Accepted (ET)
Mar 17, 2016 · 4:38 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 StockF1 | Jun 12, 2015 | G | 20,000 | $0.00 | D | 105,000 | D | |
| Common StockF2,F1 | Mar 15, 2016 | S | 868 | $12.5166 | D | 104,132 | D | |
| Common Stock | holding | — | — | — | 6,125 | D | ||
| Common Stock | holding | — | — | — | 3,200 | I | Owned by spouse | |
| Common Stock | holding | — | — | — | 2,500 | I | Charles Scwab and Co, Inc., Custodian of James J Dolan Roth Contributory IRA |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares held jointly of record by the Reporting Person and his spouse.
- F2The price reported in Column 4 is the average price. The shares were sold in multiple transactions at prices ranging from $12.50 to $12.5504, 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.