UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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FORM 8-K
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CURRENT REPORT
Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): October 19, 2016
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TRISTATE CAPITAL HOLDINGS, INC.
(Exact name of registrant as specified in its charter)
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| Pennsylvania | 001-35913 | 20-4929029 | ||
| (State or other jurisdiction of incorporation or organization) | (Commission File Number) | (I.R.S. Employer Identification No.) | ||
| One Oxford Centre |
| 301 Grant Street, Suite 2700 |
| Pittsburgh, Pennsylvania 15219 |
| (Address of principal executive offices) |
| (Zip Code) |
(412) 304-0304 |
| (Registrant’s telephone number, including area code) |
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Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
| ¨ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| ¨ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| ¨ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| ¨ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
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Item 2.02. Results of Operations and Financial Condition.
On October 19, 2016, TriState Capital Holdings, Inc. issued a press release which disclosed results of operations for the three and nine months ended September 30, 2016. A copy of the press release is included as Exhibit 99.1 to this report.
The information in this report, including the exhibit attached hereto, is furnished solely pursuant to Item 2.02 of this Form 8-K and shall not be deemed “filed” for the purposes of Section 18 of the Securities Exchange Act of 1934, as amended, nor shall such information be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, except as expressly set forth by specific reference in such a filing.
Item 8.01. Other Events.
On October 19, 2016, TriState Capital Holdings, Inc. entered into a definitive agreement to acquire certain assets of Aberdeen Asset Management, Inc. Information regarding this agreement was disclosed in a press release dated October 19, 2016. A copy of the press release is included as Exhibit 99.2 to this report.
Item 9.01. Financial Statements and Exhibits.
| Exhibit No. | Description |
| 99.1 | Press release dated October 19, 2016, filed herewith, for item 2.02. |
| 99.2 | Press release dated October 19, 2016, filed herewith, for item 8.01. |
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
| TRISTATE CAPITAL HOLDINGS, INC. | |
| By | /s/ James F. Getz |
| James F. Getz | |
| Chairman, President and Chief Executive Officer | |
Date: October 19, 2016
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EXHIBIT INDEX
| Exhibit No. | Description |
| 99.1 | Press release dated October 19, 2016, filed herewith, for item 2.02. |
| 99.2 | Press release dated October 19, 2016, filed herewith, for item 8.01. |
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