SEC Form 4 · accession 0001575604-16-000002
TriState Capital Holdings, Inc. · TSC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard A. Zappala
Director
Period of report
Sep 8, 2016
Accepted (ET)
Sep 9, 2016 · 5:10 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 Stock | Sep 8, 2016 | M | 5,000 | $10.00 | A | 124,980 | D | |
| Common StockF1 | Sep 8, 2016 | S | 5,000 | $15.5676 | D | 119,980 | 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)F2 | $10.00 | Sep 8, 2016 | M | 5,000 | D | Jun 18, 2010 | Dec 18, 2017 | Common Stock | 5,000 | 0 | D |
| Stock Options (Right to Buy)F3 | $12.00 | holding | — | — | — | Jun 18, 2011 | Dec 18, 2018 | Common Stock | 6,000 | 6,000 | D |
| Stock Options (Right to Buy)F4 | $8.75 | holding | — | — | — | Jun 15, 2012 | Dec 15, 2019 | Common Stock | 6,000 | 6,000 | 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 | $8.00 | holding | — | — | — | Jun 30, 2013 | Dec 31, 2020 | Common Stock | 6,000 | 6,000 | D |
| Stock Options (Right to Buy)F7 | $9.32 | holding | — | — | — | Jun 30, 2014 | Dec 31, 2021 | Common Stock | 6,000 | 6,000 | D |
| Stock Options (Right to Buy)F8 | $10.25 | holding | — | — | — | Jun 30, 2015 | Dec 31, 2022 | 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 $15.55 to $15.67, 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.
- F22,500 of these options vested and became exercisable on or about 06/18/2010, and the remaining 2,500 options vested and became exercisable on 12/18/2012.
- F33,000 of these options vested and became exercisable on 06/18/2011, and the remaining 3,000 options vested and became exercisable on 12/18/2013.
- F43,000 of these options vested and became exercisable on 06/15/2012, and the remaining 3,000 options vested and became exercisable on 12/15/2014.
- 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 or about 06/30/2013, and the remaining 3,000 options vested and became exercisable on 12/31/2015.
- F73,000 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.
- F83,000 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.