Filing Details
- Accession Number:
- 0001061434-18-000003
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-02-22 16:41:32
- Reporting Period:
- 2018-02-20
- Accepted Time:
- 2018-02-22 16:41:32
- 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 | 2018-02-20 | 5,000 | $10.25 | 760,289 | No | 4 | M | Direct | |
Common Stock | Disposition | 2018-02-20 | 5,000 | $22.96 | 755,289 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
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 | 2018-02-20 | 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 |
---|---|---|---|---|---|---|
32,500 | 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) | $10.31 | 2017-07-16 | 2025-01-16 | 64,161 | 64,161 | Direct |
Common Stock | Stock Options (Right to Buy) | $11.66 | 2016-07-02 | 2024-01-02 | 29,232 | 29,232 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2025-01-16 | 64,161 | 64,161 | Direct |
2024-01-02 | 29,232 | 29,232 | 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 price reported in Column 4 is the average price. The shares were sold in multiple transactions at prices ranging from $22.80 to $23.10, 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.
- 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.
- 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.
- 866 of these options vested and became exercisable on 7/2/2016, and the remainder will vest and become exercisable on 1/2/2019.