SEC Form 4 · accession 0001575602-18-000004
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
Oct 26, 2018
Accepted (ET)
Oct 31, 2018 · 3:15 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,F2,F3 | Oct 26, 2018 | P | 6,000 | $24.34 | A | 31,632 | D | |
| Common StockF4,F3 | Oct 29, 2018 | P | 2,000 | $24.88 | A | 33,632 | D | |
| Common StockF5,F6 | holding | — | — | — | 12,125 | D | ||
| Common Stock | holding | — | — | — | 2,500 | I | Charles Scwab and Co, Inc., Custodian of James J Dolan Roth Contributory IRA | |
| Common StockF7 | holding | — | — | — | 3,200 | I | Owned by spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is the weighted average price of the trades on October 26, 2018. The shares were sold in multiple transactions at prices ranging from $24.00 to $24.90 per share. The reporting person undertakes to provide to TriState Capital Holdings, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F2The reporting person's prior Form 4 over reported this amount by 1,500 shares. The number reported herein conforms to the reporting person's holdings disclosed in the Definitive Proxy Statement filed by TriState Capital Holdings, Inc. on April 16, 2018 (the "2018 Proxy Statement").
- F3Shares held jointly of record by the Reporting Person and his spouse.
- F4The price reported in Column 4 is the weighted average price of the trades on October 29, 2018. The shares were sold in multiple transactions at prices ranging from $24.85 to $24.90 per share. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F5The reporting person's prior Form 4 over reported this amount by 125 shares. The number reported herein conforms to the reporting person's holdings disclosed in the 2018 Proxy Statement.
- F6Shares held individually by Reporting Person
- F7The 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.