Sec Form 4 Filing - GETZ JAMES F @ TriState Capital Holdings, Inc. - 2019-08-29

Insider filing report for Changes in Beneficial Ownership
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
What is insider trading>>
FORM 4
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
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Expires: November 30, 2011
Estimated average burden hours per response... 0.5
1. Name and Address of Reporting Person
GETZ JAMES F
2. Issuer Name and Ticker or Trading Symbol
TriState Capital Holdings, Inc. [ TSC]
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/YY)
08/29/2019
(Street)
PITTSBURGH, PA15219
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 08/29/2019 P 12,500 A $ 19.804 ( 1 ) 324,673 ( 2 ) I By Getz Enterprises, L.P. ( 3 )
Common Stock 08/30/2019 P 12,500 A $ 19.763 ( 4 ) 337,173 ( 2 ) I By Getz Enterprises, L.P. ( 3 )
Common Stock 08/29/2019 G V 5,110 D $ 0 ( 5 ) 135,508 I By Stephens Inc. FBO James F. Getz Individual Retirement Account ( 6 )
Common Stock 368,944 D ( 7 )
Common Stock 549,210 D ( 8 )
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
GETZ JAMES F
ONE OXFORD CENTRE
301 GRANT STREET, SUITE 2700
PITTSBURGH, PA15219
X CHAIRMAN, PRESIDENT AND CEO
Signatures
/s/ Karla Villatoro de Friedman, General Counsel of TriState Capital Bank, Attorney-in-Fact 08/30/2019
Signature of Reporting Person Date
Explanation of Responses:
( 1 )The price reported in Column 4 is the weighted average price of the trades on August 29, 2019. The shares were purchased in multiple transactions at prices ranging from $19.69 to $19.84 per share. The Reporting Person undertakes to provide to TriState Capital Holdings, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
( 2 )The Reporting Person previously filed a Form 4 on August 28, 2019 that reported the open-market purchase of shares on August 27 and August 28, 2019. Footnotes 1 and 3 of that filing inadvertently referred to the transactions as sales instead of purchases. These transactions were purchases, as reflected in the reporting of such transactions in Table I to the Form 4, and the shares held reported herein include the shares acquired in such purchases.
( 3 )The Reporting Person is the general partner of this entity.
( 4 )The price reported in Column 4 is the weighted average price of the trades on August 30, 2019. The shares were purchased in multiple transactions at prices ranging from $19.58 to $19.95 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
( 5 )The transaction represents a gift of shares of the Issuer's common stock held through the Reporting Person's individual retirement account.
( 6 )The Reporting Person is the beneficiary of this account.
( 7 )Owned by the Reporting Person, individually.
( 8 )Shares held jointly by the Reporting Person and his spouse.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.