Filing Details
- Accession Number:
- 0001713310-19-000004
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-07-26 14:39:10
- Reporting Period:
- 2019-07-24
- Accepted Time:
- 2019-07-26 14:39:10
- 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 |
---|---|---|---|---|---|---|---|
1713310 | S Brian Fetterolf | 301 Grant Street Suite 2700 Pittsburgh PA 15219 | Ceo, Tsc Bank, Director Tsc | 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 | 2019-07-24 | 7,500 | $12.00 | 54,585 | No | 4 | M | Direct | |
Common Stock | Disposition | 2019-07-24 | 5,276 | $20.50 | 49,309 | No | 4 | F | Direct | |
Common Stock | Disposition | 2019-07-24 | 2,224 | $20.84 | 47,085 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | F | 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 | 2019-07-24 | 7,500 | $0.00 | 7,500 | $12.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2012-01-27 | 2019-07-27 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 158,695 | Direct | |
Depositary Shares | 4,000 | Direct | |
Common Stock | 10,750 | Indirect | Crosshair Ventures, L.P. |
Common Stock | 13,334 | Indirect | Trust for Donald L. Fetterolf |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Stock Options (Right to Buy) | $8.00 | 2013-07-01 | 2021-01-01 | 5,000 | 5,000 | Direct |
Common Stock | Stock Options (Right to Buy) | $9.32 | 2014-06-30 | 2021-12-31 | 5,000 | 5,000 | Direct |
Common Stock | Stock Options (Right to Buy) | $10.25 | 2015-06-30 | 2022-12-31 | 5,000 | 5,000 | Direct |
Common Stock | Stock Options (Right to Buy) | $11.66 | 2016-07-02 | 2024-01-02 | 10,000 | 10,000 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2021-01-01 | 5,000 | 5,000 | Direct |
2021-12-31 | 5,000 | 5,000 | Direct |
2022-12-31 | 5,000 | 5,000 | Direct |
2024-01-02 | 10,000 | 10,000 | Direct |
Footnotes
- Held jointly with Reporting Person's spouse.
- Reflects the withholding of 5,276 shares of common stock in payment of the exercise price and to satisfy tax obligations resulting from the exercise of stock options expiring July 27, 2019. The number of shares withheld was determined on July 24, 2019 based on the closing price of the Issuer's common stock on July 23, 2019 and is not a market sale of securities.
- The price represents the approximate weighted average price per share of sales of the Issuer's common stock in connection with the exercise of stock options expiring July 27, 2019, which were executed at prices ranging from $20.809 to $20.90 per share. The Reporting Person undertakes to provide, upon request by the Securities and Exchange Commission staff, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each price.
- The Reporting Person is a limited partner of Crosshair Ventures, L.P. and the President of and has an interest in its general partner.
- The Reporting Person is one of two trustees and a beneficiary of the Trust.