Filing Details
- Accession Number:
- 0001061434-18-000002
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-02-20 17:09:11
- Reporting Period:
- 2018-02-15
- Accepted Time:
- 2018-02-20 17:09:11
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1380846 | Tristate Capital Holdings Inc. | TSC | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1061434 | F James Getz | One Oxford Centre 301 Grant Street, Suite 2700 Pittsburgh PA 15219 | Chairman, President And Ceo | Yes | Yes | 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 | 2018-02-15 | 5,000 | $10.25 | 760,289 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-02-15 | 5,000 | $23.20 | 755,289 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2018-02-16 | 5,000 | $10.25 | 760,289 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-02-16 | 5,000 | $23.16 | 755,289 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | 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 | 2018-02-15 | 5,000 | $0.00 | 5,000 | $10.25 |
| Common Stock | Stock Options (Right to Buy) | Disposition | 2018-02-16 | 5,000 | $0.00 | 5,000 | $10.25 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 42,500 | 2015-06-30 | 2022-12-31 | No | 4 | M | Direct |
| 37,500 | 2015-06-30 | 2022-12-31 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 287,173 | Indirect | By Getz Enterprises, L.P. |
| Common Stock | 160,618 | Indirect | By Barclays Capital, Inc. FBO James F. Getz Individual Retirement Account |
| Common Stock | 61,252 | 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) | $11.66 | 2016-07-02 | 2024-01-02 | 29,232 | 29,232 | Direct |
| Common Stock | Stock Options (Right to Buy) | $10.31 | 2017-07-16 | 2025-01-16 | 64,161 | 64,161 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2024-01-02 | 29,232 | 29,232 | Direct |
| 2025-01-16 | 64,161 | 64,161 | Direct |
Footnotes
- The options were exercised and the underlying securities were sold by Mr. Getz to fund his tax obligations with respect to the vesting in 2018 of restricted stock awards made to him under the Company's 2014 Omnibus Incentive Plan.
- The Reporting Person is the general partner of this entity.
- The Reporting Person is the beneficiary of this account.
- Shares held jointly by Mr. Getz and his wife.
- All of these options vested and became exercisable on 12/31/2017.
- 866 of these options vested and became exercisable on 7/2/2016, and the remainder will vest and become exercisable on 1/2/2019.
- 32,080 of these options vested and became exercisable on 7/16/2017, and the remainder will vest and become exercisable on 1/16/2020.
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