Filing Details
- Accession Number:
- 0001061434-16-000007
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-09-07 12:28:10
- Reporting Period:
- 2016-09-07
- Filing Date:
- 2016-09-07
- Accepted Time:
- 2016-09-07 12:28:10
- 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 | 2016-09-07 | 47,500 | $10.25 | 665,845 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-09-07 | 47,500 | $15.25 | 618,345 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-09-07 | 27,500 | $11.66 | 645,845 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-09-07 | 27,500 | $15.25 | 618,345 | 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 | 2016-09-07 | 47,500 | $0.00 | 47,500 | $10.25 |
| Common Stock | Stock Options (Right to Buy) | Disposition | 2016-09-07 | 27,500 | $0.00 | 27,500 | $11.66 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 47,500 | 2015-06-30 | 2022-12-31 | No | 4 | M | Direct |
| 29,232 | 2016-07-02 | 2024-01-02 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 51,252 | Direct | |
| Common Stock | 287,173 | Indirect | By Getz Enterprises, L.P. |
| Common Stock | 180,618 | Indirect | By Barclays Capital, Inc. FBO James F. Getz Individual Retirement Account |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| 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 |
|---|---|---|---|
| 2025-01-16 | 64,161 | 64,161 | Direct |
Footnotes
- Owned by Mr. Getz individually
- Shares held jointly of record by Mr. Getz and his spouse.
- The Reporting Person is the general partner of this entity, which owns a total of 287,173 shares of the Issuers' common stock.
- The Reporting Person is the beneficiary of this account, which owns a total of 180,618 shares of the Issuer's common stock.
- 47,500 of these options vested and became exercisable on or about 06/30/2015, and the remaining 47,500 options will vest and become exercisable on 12/31/2017.
- 28,366 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 will vest and become exercisable on 7/16/2017, and the remainder will vest and become exercisable on 1/16/2020.
Billionaire Hedge Funds
