SEC Form 4 · accession 0001726123-18-000013
TriState Capital Holdings, Inc. · TSC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David J Demas
Officer — Chief Financial Officer
Period of report
Jun 1, 2018
Accepted (ET)
Jun 5, 2018 · 8:36 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 StockF1,F2 | Jun 1, 2018 | S | 210 | $25.891 | D | 4,788 | I | Vanguard fbo Shannon L Hungerford IRA |
| Common StockF3,F2 | Jun 1, 2018 | P | 210 | $25.9299 | A | 4,998 | I | Vanguard fbo Shannon L Hungerford IRA |
| Common Stock | holding | — | — | — | 31,859 | D | ||
| Common Stock | holding | — | — | — | 200 | I | Vanguard fbo David J. Demas IRA | |
| Common StockF4 | holding | — | — | — | 2,500 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction was an inadvertent broker-initiated sale of shares from an account maintained by the reporting person's spouse. Such sale is matchable under Section 16(b) of the Securities Exchange Act of 1934 against a portion of the reporting person's purchase of 1,000 shares of the Company's common stock on February 28, 2018, at a price of $22.80 per share. The reporting person has paid the Company $649.11, representing the full amount of profit realized in connection with the inadvertent sale.
- F2Shannon L Hungerford is the reporting person's Spouse.
- F3This transaction reflects the purchase of shares of common stock of the Company promptly following the receipt of notice of the inadvertent broker-initiated sale of shares discussed in Footnote 1 above.
- F4Shares held jointly by the reporting person and his spouse.