SEC Form 4 · accession 0001575607-16-000002
TriState Capital Holdings, Inc. · TSC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James E. Minnick
Director · 10% Owner
Period of report
Dec 15, 2016
Accepted (ET)
Dec 19, 2016 · 5:29 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 | Dec 15, 2016 | A | 3,000 | $0.00 | A | 9,000 | D | |
| Common StockF1 | holding | — | — | — | 3,373,693 | I | BY LM III TRISTATE HOLDINGS LLC | |
| Common StockF2 | holding | — | — | — | 1,504,356 | I | BY LM III-A TRISTATE HOLDINGS LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Lovell Minnick Partners LLC is the managing member of Fund III UGP LLC, which is, in turn, the general partner of Lovell Minnick Equity Advisors III LP, which is, in turn, the general partner of Lovell Minnick Equity Partners III LP. Lovell Minnick Equity Partners III LP is the managing member of LM III TriState Holdings LLC. As an officer of Lovell Minnick Partners LLC, Mr. Minnick may be deemed to share beneficial ownership of the shares of the issuer's common stock held by the Lovell Minnick funds. Mr. Minnick disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.
- F2Lovell Minnick Partners LLC is the managing member of Fund III UGP LLC, which is, in turn, the general partner of Lovell Minnick Equity Advisors III LP, which is, in turn, the general partner of Lovell Minnick Equity Partners III-A LP. Lovell Minnick Equity Partners III-A LP is the managing member of LM III-A TriState Holdings LLC. As an officer of Lovell Minnick Partners LLC, Mr. Minnick may be deemed to share beneficial ownership of the shares of the issuer's common stock held by the Lovell Minnick funds. Mr. Minnick disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.