SEC Form 4 · accession 0001575602-17-000003
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 11, 2017
Accepted (ET)
Dec 1, 2017 · 1:44 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 | Nov 29, 2017 | M | 6,000 | $12.00 | A | 16,625 | D | |
| Common Stock | Nov 29, 2017 | M | 3,000 | $9.32 | A | 19,625 | D | |
| Common Stock | Nov 29, 2017 | M | 3,000 | $11.78 | A | 22,625 | D | |
| Common StockF1 | Nov 29, 2017 | S | 12,000 | $24.3216 | D | 10,625 | D | |
| Common StockF2 | Aug 11, 2017 | G | 10,000 | $0.00 | D | 90,757 | 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
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to Buy)F4 | $12.00 | Nov 29, 2017 | M | 6,000 | D | Jun 18, 2011 | Dec 18, 2018 | Common Stock | 6,000 | 0 | D |
| Stock Options (Right to Buy)F5 | $9.32 | Nov 29, 2017 | M | 3,000 | D | Jun 30, 2014 | Dec 31, 2021 | Common Stock | 3,000 | 0 | D |
| Stock Options (Right to Buy)F6 | $11.78 | Nov 29, 2017 | M | 3,000 | D | Jun 13, 2016 | Dec 13, 2023 | Common Stock | 6,000 | 3,000 | D |
| Stock Options (Right to Buy)F7 | $10.25 | holding | — | — | — | Jun 30, 2015 | Dec 31, 2022 | Common Stock | 3,000 | 3,000 | 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 $24.30 to $24.40, 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.
- 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.
- F43,000 of these options vested and became exercisable on 6/18/2011, and the remainder vested and became exercisable on 12/18/2013.
- F5These options vested and became exercisable on 12/31/2016. There originally were 6,000 options, 3,000 of which vested and became exercisable on June 30, 2014 and were previously exercised.
- F63,000 of these options vested and became exercisable on 6/13/2016, and the remainder will vest and become exercisable on 12/13/2018.
- F7These options will vest and become exercisable on 12/31/2017. There originally were 6,000 options, 3,000 of which vested and became exercisable on June 30, 2015 and were previously exercised.