SEC Form 5 · accession 0001575602-17-000002
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 15, 2017
Accepted (ET)
Feb 15, 2017 · 2:49 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 | May 14, 2013 | P | 1,500 | $11.50 | A | 100,757 | D | |
| Common StockF3 | 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
- F1.The Reporting Person acquired the shares in the Directed Share Program conducted in connection with the Issuer's initial public offering.
- F2Shares held jointly of record by the Reporting Person and his spouse.
- F3The 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.