Statement of Changes in Beneficial Ownership (4)
10 Novembre 2021 - 11:34PM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
GETZ JAMES F |
2. Issuer Name and Ticker or Trading Symbol
TriState Capital Holdings, Inc.
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TSC
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) CHAIRMAN, PRESIDENT AND CEO |
(Last)
(First)
(Middle)
ONE OXFORD CENTRE, 301 GRANT STREET, SUITE 2700 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/1/2021 |
(Street)
PITTSBURGH, PA 15219
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 11/1/2021 | | S(1) | | 3586 | D | $30.05 | 141922 | I | By Stephens Inc. FBO James F. Getz Individual Retirement Account (2) |
Common Stock | | | | | | | | 347173 | I | By Getz Enterprises, L.P. (3) |
Common Stock | | | | | | | | 418197 | D (4) | |
Common Stock | | | | | | | | 549210 | D (5) | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | The shares were sold by the Reporting Person's IRA, which has as its sole assets shares of the Company, to provide the IRA with liquid assets sufficient to fund mandatory distributions required to be made to the Reporting Person by the IRA under applicable tax laws. |
(2) | The Reporting Person is the beneficiary of this account. |
(3) | The Reporting Person is the general partner of this entity. |
(4) | Owned by the Reporting Person individually. |
(5) | Shares held jointly by the Reporting Person and spouse. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
GETZ JAMES F ONE OXFORD CENTRE 301 GRANT STREET, SUITE 2700 PITTSBURGH, PA 15219 | X |
| CHAIRMAN, PRESIDENT AND CEO |
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Signatures
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/s/ Karla Villatoro de Friedman, General Counsel of TriState Capital Bank, Attorney-in-Fact | | 11/10/2021 |
**Signature of Reporting Person | Date |
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