SEC Form 4 · accession 0001575602-16-000010
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
Dec 9, 2016
Accepted (ET)
Dec 13, 2016 · 7:01 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 Stock | Dec 9, 2016 | M | 3,000 | $9.32 | A | 10,625 | D | |
| Common Stock | Dec 9, 2016 | M | 3,000 | $10.25 | A | 13,625 | D | |
| Common StockF1 | Dec 9, 2016 | S | 6,000 | $20.5422 | D | 7,625 | 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 | |
| Common StockF2 | holding | — | — | — | 100,632 | D |
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)F3 | $9.32 | Dec 9, 2016 | M | 3,000 | D | Jun 30, 2014 | Dec 31, 2021 | Common Stock | 3,000 | 3,000 | D |
| Stock Options (Right to Buy)F4 | $10.25 | Dec 9, 2016 | M | 3,000 | D | Jun 30, 2015 | Dec 31, 2022 | Common Stock | 3,000 | 3,000 | D |
| Stock Options (Right to Buy)F5 | $11.78 | holding | — | — | — | Jun 13, 2016 | Dec 13, 2023 | Common Stock | 6,000 | 6,000 | D |
| Stock Options (Right to Buy)F6 | $12.00 | holding | — | — | — | Jun 18, 2011 | Dec 18, 2018 | Common Stock | 6,000 | 6,000 | D |
Explanation of responses
- F1The price reported in Column 4 is the average price. The shares were sold in multiple transactions at prices ranging from $20.50 to $20.575, 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.
- F2Shares held jointly of record by the Reporting Person and his spouse.
- F33,000 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.
- F43,000 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.
- F53,000 of these options will vest and become exercisable on 6/13/2016, and the remainder will vest and become exercisable on 12/13/2018.
- F63,000 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.