SEC Form 4 · accession 0001575606-18-000005
TriState Capital Holdings, Inc. · TSC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard B. Seidel
Director
Period of report
Nov 26, 2018
Accepted (ET)
Nov 28, 2018 · 3:36 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 26, 2018 | M | 6,000 | $12.00 | A | 41,905 | D | |
| Common StockF2 | Nov 26, 2018 | S | 6,000 | $25.214 | D | 35,905 | D | |
| Common StockF1 | holding | — | — | — | 5,000 | I | By spouse | |
| Common Stock | holding | — | — | — | 35,905 | 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) | $12.00 | Nov 26, 2018 | M | 6,000 | D | Jun 18, 2011 | Dec 18, 2018 | Common Stock | 6,000 | 0 | D |
Explanation of responses
- F1The Reporting Person disclaims beneficial ownership of these securities except to the extent of any of his indirect pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all the reported shares for purposes of Section 16 or for any other purpose.
- F2This price represents the approximate weighted average price per share of sales of the Issuer's common stock, which were executed at prices ranging from $25.20 to $25.325 per share. The Reporting Person undertakes to provide, upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each price.