Filing Details
- Accession Number:
- 0000899243-18-014294
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2018-05-29 17:43:11
- Reporting Period:
- 2018-05-25
- Accepted Time:
- 2018-05-29 17:43:11
- Original Submission Date:
- 2018-05-24
- 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 |
|---|---|---|---|---|---|---|---|
| 1575607 | E. James Minnick | 150 N. Radnor Chester Road, Suite A200 Radnor PA 19087 | Yes | No | 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, No Par Value | Disposition | 2018-05-25 | 1,521,535 | $25.71 | 1,852,158 | No | 4 | S | Indirect | By LM III TriState Holdings LLC |
| Common Stock, No Par Value | Disposition | 2018-05-25 | 678,465 | $25.71 | 825,891 | No | 4 | S | Indirect | By LM III-A TriState Holdings LLC |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | By LM III TriState Holdings LLC |
| No | 4 | S | Indirect | By LM III-A TriState Holdings LLC |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock, No Par Value | 12,000 | Direct |
Footnotes
- Represents shares of TriState Capital Holdings, Inc.'s (the "Issuer") common stock sold in an underwritten secondary offering.
- Represents the sale price to the underwriters in the secondary offering of $25.71 per share.
- Lovell Minnick Partners LLC ("LMP") is the managing member of Fund III UGP LLC, which is the general partner of Lovell Minnick Equity Advisors III LP, which is, in turn, the general partner of Lovell Minnick Equity Partners III LP ("LMEP III") and Lovell Minnick Equity Partners III-A LP ("LMEP III-A"). LMEP III is the managing member of LM III TriState Holdings LLC and LMEP III-A is the managing member of LM III-A TriState Holdings LLC.
- Mr. Minnick may be deemed to beneficially own the shares of common stock reported herein by virtue of his being the co-chairman of LMP.
- Mr. Minnick expressly disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest therein.
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