SEC Form 4 · accession 0001575622-15-000024
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
Nov 9, 2015
Accepted (ET)
Nov 12, 2015 · 2:05 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 StockF2,F3 | Nov 9, 2015 | S | 1,232 | $12.7375 | D | 2,037 | I | By Falcon Seaboard Holdings, LLC |
| Common StockF4,F3 | Nov 9, 2015 | S | 10,168 | $13.0955 | D | 46,588 | I | BY FALCON SEABOARD INVESTMENT COMPANY, L.P. |
| Common StockF5,F3 | Nov 10, 2015 | S | 2,400 | $13.1316 | D | 44,188 | I | BY FALCON SEABOARD INVESTMENT COMPANY, L.P. |
| Common Stock | holding | — | — | — | 4,000 | 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)F7,F6 | $10.00 | Nov 11, 2015 | D | 5,000 | D | Jul 22, 2009 | Jan 22, 2017 | Common Stock | 5,000 | 0 | D |
| Stock Options (Right to Buy)F7,F8 | $10.00 | Nov 11, 2015 | D | 5,000 | D | Jun 18, 2010 | Dec 18, 2017 | Common Stock | 5,000 | 0 | D |
| Stock Options (Right to Buy)F9 | $9.32 | holding | — | — | — | Jun 30, 2014 | Dec 31, 2021 | Common Stock | 6,000 | 6,000 | D |
| Stock Options (Right to Buy)F10 | $10.25 | holding | — | — | — | Jun 30, 2015 | Dec 31, 2022 | Common Stock | 6,000 | 6,000 | D |
| Stock Options (Right to Buy)F11 | $12.00 | holding | — | — | — | Jun 18, 2011 | Dec 18, 2018 | Common Stock | 6,000 | 6,000 | D |
| Stock Options (Right to Buy)F12 | $8.75 | holding | — | — | — | Jun 15, 2012 | Dec 15, 2019 | Common Stock | 6,000 | 6,000 | D |
| Stock Options (Right to Buy)F13 | $11.78 | holding | — | — | — | Jun 13, 2016 | Dec 13, 2023 | Common Stock | 6,000 | 6,000 | D |
| Stock Options (Right to Buy)F14 | $8.00 | holding | — | — | — | Jun 30, 2013 | Dec 31, 2020 | Common Stock | 6,000 | 6,000 | D |
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.
- F103,000 of these options vested and become exercisable on or about 6/30/2015, and the remaining 3,000 options will vest and become exercisable on 12/31/2017.
- F113,000 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.
- F123,000 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.
- F133,000 of these options will vest and become exercisable on 6/13/2016, and the remainder will vest and become exercisable on 12/13/2018.
- F143,000 of these options vested and became exercisable on or about 06/30/2013, and the remaining 3,000 options will vest and become exercisable on 12/31/2015.
- F2The price reported in Column 4 is the average price. The shares were sold in multiple transactions at prices ranging from $12.00 to $13.025, 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 $12.56 to $13.30, 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 $12.97 to $13.22, 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.
- F62,500 of these options vested and became exercisable on or about 07/22/2009, and the remaining 2,500 options vested and became exercisable on 01/22/2012.
- F7The option was canceled by mutual agreement of the reporting person and TriState Capital Holdings, Inc. The reporting person received $15,900 as consideration for the cancellation.
- F82,500 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.
- F93,000 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.