SEC Form 4 · accession 0001575622-15-000003
TriState Capital Holdings, Inc. · TSC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
E.H. Dewhurst
Director
Period of report
Sep 14, 2015
Accepted (ET)
Sep 16, 2015 · 6:22 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 StockF2,F3 | Sep 14, 2015 | S | 9,000 | $13.1029 | D | 191,000 | I | BY FALCON SEABOARD INVESTMENT COMPANY, L.P. |
| Common StockF4,F3 | Sep 14, 2015 | S | 1,232 | $13.1103 | D | 11,893 | I | By Falcon Seaboard Holdings, LLC |
| Common StockF5,F3 | Sep 15, 2015 | S | 9,768 | $12.8009 | D | 181,232 | I | BY FALCON SEABOARD INVESTMENT COMPANY, L.P. |
| Common Stock | holding | — | — | — | 4,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 9, 2015.
- F2The price reported in Column 4 is the average price. The shares were sold in multiple transactions at prices ranging from $12.92 to $13.29, 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 purchased at each separate price within the range set forth in this footnote.
- F3The Reporting Person is Vice President-Finance, Treasurer and Authorized Representative of this entity.
- F4The price reported in Column 4 is the average price. The shares were sold in multiple transactions at prices ranging from $12.95 to $13.25, 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 purchased at each separate price within the range set forth in this footnote.
- F5The price reported in Column 4 is the average price. The shares were sold in multiple transactions at prices ranging from $12.72 to $12.90, 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 purchased at each separate price within the range set forth in this footnote.