SEC Form 4 · accession 0001575602-16-000006
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
Aug 17, 2016
Accepted (ET)
Aug 19, 2016 · 4:26 pm EDT
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 | Aug 17, 2016 | D | 5,000 | D | Jun 18, 2010 | Dec 18, 2017 | Common Stock | 5,000 | 0 | D |
| Stock Options (Right to Buy)F2,F3 | $10.00 | Aug 17, 2016 | D | 5,000 | D | Jul 22, 2009 | Jan 22, 2017 | Common Stock | 5,000 | 0 | D |
| Stock Options (Right to Buy)F4 | $11.78 | holding | — | — | — | Jun 13, 2016 | Dec 13, 2023 | Common Stock | 6,000 | 6,000 | D |
| Stock Options (Right to Buy)F5 | $8.75 | holding | — | — | — | Jun 15, 2012 | Dec 15, 2019 | Common Stock | 6,000 | 6,000 | D |
| Stock Options (Right to Buy)F6 | $10.25 | holding | — | — | — | Jun 30, 2015 | Dec 31, 2022 | Common Stock | 6,000 | 6,000 | D |
| Stock Options (Right to Buy)F7 | $9.32 | holding | — | — | — | Jun 30, 2014 | Dec 31, 2021 | Common Stock | 6,000 | 6,000 | D |
| Stock Options (Right to Buy)F8 | $12.00 | holding | — | — | — | Jun 18, 2011 | Dec 18, 2018 | Common Stock | 6,000 | 6,000 | D |
| Stock Options (Right to Buy)F9 | $8.00 | holding | — | — | — | Jun 30, 2013 | Dec 31, 2020 | Common Stock | 6,000 | 6,000 | D |
Explanation of responses
- F12,500 of these options vested and became exercisable on or about 06/18/2010, and the remaining 2,500 options vested and became exercisable on 12/18/2012.
- F2The option was canceled by mutual agreement of the reporting person and TriState Capital Holdings, Inc. The reporting person received $22,550 as consideration for the cancellation.
- F32,500 of these options vested and became exercisable on or about 07/22/2009, and the remaining 2,500 options vested and became exercisable on 01/22/2012.
- F43,000 of these options will vest and become exercisable on 6/13/2016, and the remainder will vest and become exercisable on 12/13/2018.
- F53,000 of these options vested and became exercisable on 06/15/2012, and the remaining 3,000 options will vest and become exercisable on 12/15/2014.
- F63,000 of these options will vest and become exercisable on or about 6/30/2015, and the remaining 3,000 options will vest and become exercisable on 12/31/2017.
- F73,000 of these options vested and became exercisable on or about 6/30/2014, and the remaining 3,000 options will vest and become exercisable on 12/31/2016.
- F83,000 of these options vested and became exercisable on 06/18/2011, and the remaining 3,000 options will vest and become exercisable on 12/18/2013.
- F93,000 of these options will vest and become exercisable on or about 06/30/2013, and the remaining 3,000 options will vest and become exercisable on 12/31/2015.