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Filing Details

Accession Number:: 0001575602-18-000004
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2018-10-31 15:15:34
Reporting Period:: 2018-10-26

Accepted Time:: 2018-10-31 15:15:34
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

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2018-10-26	6,000	$24.34	31,632	No	4	P	Direct
Common Stock	Acquisiton	2018-10-29	2,000	$24.88	33,632	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct
No	4	P	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	12,125	Direct
Common Stock	2,500	Indirect	Charles Scwab and Co, Inc., Custodian of James J Dolan Roth Contributory IRA
Common Stock	3,200	Indirect	Owned by spouse

Footnotes

The price reported in Column 4 is the weighted average price of the trades on October 26, 2018. The shares were sold in multiple transactions at prices ranging from $24.00 to $24.90 per share. The reporting person undertakes to provide to TriState Capital Holdings, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The reporting person's prior Form 4 over reported this amount by 1,500 shares. The number reported herein conforms to the reporting person's holdings disclosed in the Definitive Proxy Statement filed by TriState Capital Holdings, Inc. on April 16, 2018 (the "2018 Proxy Statement").
Shares held jointly of record by the Reporting Person and his spouse.
The price reported in Column 4 is the weighted average price of the trades on October 29, 2018. The shares were sold in multiple transactions at prices ranging from $24.85 to $24.90 per share. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The reporting person's prior Form 4 over reported this amount by 125 shares. The number reported herein conforms to the reporting person's holdings disclosed in the 2018 Proxy Statement.
Shares held individually by Reporting Person
The Reporting Person disclaims beneficial ownership of these securities except to the extent of any indirect pecuniary interest therein. This Form shall not be deemed an admission that he is a beneficial owner of any securities for purposes of Section 16 of the Securities Exchange Act of 1934 or for any other purpose.