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
  1. Held jointly with Reporting Person's spouse.
  2. 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.
  3. 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.
  4. The Reporting Person is a limited partner of Crosshair Ventures, L.P. and the President of and has an interest in its general partner.
  5. The Reporting Person is one of two trustees and a beneficiary of the Trust.