Statement of Changes in Beneficial Ownership (4)
January 26 2022 - 8:54AM
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
*
Demas David J |
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)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Chief Financial Officer |
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(Last)
(First)
(Middle)
ONE OXFORD CENTRE, 301 GRANT STREET, SUITE 2700 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/14/2022 |
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(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 | 1/14/2022 | | F | | 937 (1) | D | $32.25 | 64476 | D | |
| Common Stock | 1/17/2022 | | F | | 1026 (2) | D | $32.32 | 63450 | D | |
| Common Stock | 1/20/2022 | | A | | 13617 | A | $0 | 77067 | D | |
| Common Stock | | | | | | | | 3000 | D (3) | |
| Common Stock | | | | | | | | 3200 | I | Vanguard fbo David J. Demas IRA |
| Common Stock | | | | | | | | 8000 | I | Vanguard fbo Shannon L Hungerford IRA (4) |
| Depositary Shares - Series A | | | | | | | | 1000 | I | Vanguard fbo Shannon L Hungerford IRA |
| Depositary Shares - Series A | | | | | | | | 2450 | D | |
| Depositary Shares - Series B | | | | | | | | 1100 | I | Vanguard fbo Shannon L Hungerford IRA |
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) | Reflects the withholding of 937 shares of common stock to satisfy tax obligations resulting from the vesting of 3,295 shares of restricted stock. The number of shares withheld was determined on January 14, 2022 based on the closing price of the Issuer's common stock on January 13, 2022 and is not a market sale of securities. |
| (2) | Reflects the withholding of 1,026 shares of common stock to satisfy tax obligations resulting from the vesting of 3,603 shares of restricted stock. The number of shares withheld was determined on January 17, 2022 based on the closing price of the Issuer's common stock on January 14, 2022 and is not a market sale of securities. |
| (3) | Shares held jointly by the Reporting person and his spouse. |
| (4) | Shannon L Hungerford is the Reporting person's spouse. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Demas David J
ONE OXFORD CENTRE
301 GRANT STREET, SUITE 2700
PITTSBURGH, PA 15219 |
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| Chief Financial Officer |
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Signatures
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| /s/ Karla Villatoro de Friedman, General Counsel of TriState Capital Bank, Attorney-in-Fact | | 1/25/2022 |
| **Signature of Reporting Person | Date |
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