Filing Details
- Accession Number:
- 0001061434-18-000006
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-09-06 21:31:29
- Reporting Period:
- 2018-09-04
- Accepted Time:
- 2018-09-06 21:31:29
- 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 | Disposition | 2018-09-04 | 5,000 | $29.75 | 155,618 | No | 4 | S | Indirect | By Stephens Inc. FBO James F. Getz Individual Retirement Account |
| Common Stock | Disposition | 2018-09-05 | 5,000 | $29.78 | 150,618 | No | 4 | S | Indirect | By Stephens Inc. FBO James F. Getz Individual Retirement Account |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | By Stephens Inc. FBO James F. Getz Individual Retirement Account |
| No | 4 | S | Indirect | By Stephens Inc. FBO James F. Getz Individual Retirement Account |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 287,173 | Indirect | By Getz Enterprises, L.P. |
| Common Stock | 242,331 | Direct | |
| Common Stock | 574,210 | Direct |
Footnotes
- A portion of the shares were sold by Mr. Getz's IRA, which has as its sole asset shares of common stock of TriState Capital Holdings, Inc. (the "Company"), to provide the IRA with liquid assets sufficient to fund mandatory distributions required to be made to Mr. Getz by the IRA under applicable tax laws. In addition, a portion of the shares were also sold by Mr. Getz to satisfy estimated tax obligations resulting from the vesting of restricted stock set to occur on January 14, 2019, which restricted stock was previously granted to Mr. Getz pursuant to 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 $29.75 to $30.00, 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 beneficiary of this account.
- The Reporting Person is the general partner of this entity.
- Form 4s previously filed by the Reporting Person with the Securities and Exchange Commission correctly stated the aggregated holdings of this person but inadvertently misstated the number of shares held by the Reporting Person in his individual capacity and the number of shares held by the Reporting Person jointly with his wife. The holdings reported in this Form 4 are the corrected numbers of shares held by the Reporting Person in his individual capacity and jointly with his wife.
- Owned by Mr. Getz individually.
- Shares held jointly by Mr. Getz and his wife.
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