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Filing Details

Accession Number:: 0001575622-15-000024
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2015-11-12 14:05:35
Reporting Period:: 2015-11-09

Filing Date:: 2015-11-12
Accepted Time:: 2015-11-12 14:05:35
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
1575622	E.h. Dewhurst	One Oxford Centre 301 Grant Street, Suite 2700 Pittsburgh PA 15219		Yes	No	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2015-11-09	1,232	$12.74	2,037	No	4	S	Indirect	By Falcon Seaboard Holdings, LLC
Common Stock	Disposition	2015-11-09	10,168	$13.10	46,588	No	4	S	Indirect	BY FALCON SEABOARD INVESTMENT COMPANY, L.P.
Common Stock	Disposition	2015-11-10	2,400	$13.13	44,188	No	4	S	Indirect	BY FALCON SEABOARD INVESTMENT COMPANY, L.P.

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Indirect	By Falcon Seaboard Holdings, LLC
No	4	S	Indirect	BY FALCON SEABOARD INVESTMENT COMPANY, L.P.
No	4	S	Indirect	BY FALCON SEABOARD INVESTMENT COMPANY, L.P.

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Options (Right to Buy)	Disposition	2015-11-11	5,000	$3.18	5,000	$10.00
Common Stock	Stock Options (Right to Buy)	Disposition	2015-11-11	5,000	$3.18	5,000	$10.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0	2009-07-22	2017-01-22	No	4	D	Direct
0	2010-06-18	2017-12-18	No	4	D	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	4,000	Direct

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Stock Options (Right to Buy)	$9.32	2014-06-30	2021-12-31	6,000	6,000	Direct
Common Stock	Stock Options (Right to Buy)	$10.25	2015-06-30	2022-12-31	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
Common Stock	Stock Options (Right to Buy)	$8.75	2012-06-15	2019-12-15	6,000	6,000	Direct
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)	$8.00	2013-06-30	2020-12-31	6,000	6,000	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2021-12-31	6,000	6,000	Direct
2022-12-31	6,000	6,000	Direct
2018-12-18	6,000	6,000	Direct
2019-12-15	6,000	6,000	Direct
2023-12-13	6,000	6,000	Direct
2020-12-31	6,000	6,000	Direct

Footnotes

The 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.
The 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.
The Reporting Person is Vice President-Finance, Treasurer and Authorized Representative of this entity.
The 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.
The 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.
2,500 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.
The 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.
2,500 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.
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.
3,000 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.
3,000 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.
3,000 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.
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.
3,000 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.