Filing Details

Accession Number:
0001575602-16-000010
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-12-13 19:01:13
Reporting Period:
2016-12-09
Filing Date:
2016-12-13
Accepted Time:
2016-12-13 19:01:13
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1380846 Tristate Capital Holdings Inc. TSC State Commercial Banks (6022) 204929029
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1575602 J. James Dolan One Oxford Centre
301 Grant Street, Suite 2700
Pittsburgh PA 15219
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2016-12-09 3,000 $9.32 10,625 No 4 M Direct
Common Stock Acquisiton 2016-12-09 3,000 $10.25 13,625 No 4 M Direct
Common Stock Disposition 2016-12-09 6,000 $20.54 7,625 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Options (Right to Buy) Disposition 2016-12-09 3,000 $0.00 3,000 $9.32
Common Stock Stock Options (Right to Buy) Disposition 2016-12-09 3,000 $0.00 3,000 $10.25
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
3,000 2014-06-30 2021-12-31 No 4 M Direct
3,000 2015-06-30 2022-12-31 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 3,200 Indirect Owned by spouse
Common Stock 2,500 Indirect Charles Scwab and Co, Inc., Custodian of James J Dolan Roth Contributory IRA
Common Stock 100,632 Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Stock Options (Right to Buy) $11.78 2016-06-13 2023-12-13 6,000 6,000 Direct
Common Stock Stock Options (Right to Buy) $12.00 2011-06-18 2018-12-18 6,000 6,000 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2023-12-13 6,000 6,000 Direct
2018-12-18 6,000 6,000 Direct
Footnotes
  1. The price reported in Column 4 is the average price. The shares were sold in multiple transactions at prices ranging from $20.50 to $20.575, 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 sold at each separate price within the range set forth in this footnote.
  2. Shares held jointly of record by the Reporting Person and his spouse.
  3. 3,000 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.
  4. 3,000 of these options will vest and become exercisable on or about 6/30/2015, and the remaining 3,000 options will vest and become exercisable on 12/31/2017.
  5. 3,000 of these options will vest and become exercisable on 6/13/2016, and the remainder will vest and become exercisable on 12/13/2018.
  6. 3,000 of these options vested and became exercisable on 06/18/2011, and the remaining 3,000 options will vest and become exercisable on 12/18/2013.