SEC Form 4 · accession 0001575602-16-000007
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
Sep 2, 2016
Accepted (ET)
Sep 6, 2016 · 4:27 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 | Sep 2, 2016 | G | 5,000 | $0.00 | D | 99,132 | D | |
| Common Stock | holding | — | — | — | 6,125 | D | ||
| Common StockF2 | 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 Reporting Person disclaims beneficial ownership of these securities except to the extent of any indirect pecuniary interest therein. This Form shall not be deemed an admission that he is a beneficial owner of any securities for purposes of Section 16 of the Securities Exchange Act of 1934 or for any other purpose.