Form Type: 4

SEC EDGAR Link
Accession Number:0001713310-21-000011
Date:2021-05-10
Issuer: TRISTATE CAPITAL HOLDINGS, INC. (TSC)
Original Submission Date:

Reporting Person:

FETTEROLF BRIAN S
301 GRANT STREET
SUITE 2700 PITTSBURGH, PA 15219

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-05-10 P 700 a $23.40 87,339 f2 direct
COMMON STOCK 2021-05-10 0 $0.00 250,929 direct
COMMON STOCK 2021-05-10 0 $0.00 13,334 indirect f3
COMMON STOCK 2021-05-10 0 $0.00 10,750 indirect f4
DEPOSITARY SHARES - SERIES A 2021-05-10 0 $0.00 4,000 direct
DEPOSITARY SHARES - SERIES B 2021-05-10 0 $0.00 1,000 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 the price reported in column 4 is the weighted average price. the shares were purchased in multiple transactions at prices ranging from $23.40 to $23.43, inclusive. the reporting person undertakes to provide to any security holder of tristate capital holdings, inc. or the staff of the securities and exchange commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
f2 held jointly with reporting person's spouse.
f3 the reporting person is one of two trustees and a beneficiary of the trust.
f4 the reporting person is a limited partner of crosshair ventures, l.p. and the president of and has an interest in its general partner.
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