Dolan James J. Form 4 TriState Capital / James J. Dolan ownership change

SEC Form 4

FORM 4

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
or Section 30(h) of the Investment Company Act of 1940

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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).

1. Name and Address of Reporting Person^*

Dolan James J.

(Last) (First) (Middle)

ONE OXFORD CENTRE

301 GRANT STREET, SUITE 2700

(Street)

PITTSBURGH PA 15219

(City) (State) (Zip)

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
	Officer (give title below)	Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
10/12/2016

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	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	11/11/2016		M		6,000	A	$8.75	12,125	D
Common Stock	11/11/2016		M		6,000	A	$8	18,125	D
Common Stock	11/11/2016		S		12,000	D	$19.0463(1)	6,125	D
Common Stock	10/12/2016		G		5,000	D	$0	94,132	D(2)
Common Stock								3,200	I	Owned by spouse(3)
Common Stock								2,500	I	Charles Scwab and Co, Inc., Custodian of James J Dolan Roth Contributory IRA

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 (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	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 (Month/Day/Year)		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: 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
Stock Options (Right to Buy)	$8.75	11/11/2016		M			6,000	06/15/2012(4)	12/15/2019	Common Stock	6,000	$0	0	D
Stock Options (Right to Buy)	$8	11/11/2016		M			6,000	06/30/2013(5)	12/31/2020	Common Stock	6,000	$0	0	D
Stock Options (Right to Buy)	$11.78							06/13/2016(6)	12/13/2023	Common Stock	6,000		6,000	D
Stock Options (Right to Buy)	$10.25							06/30/2015(7)	12/31/2022	Common Stock	6,000		6,000	D
Stock Options (Right to Buy)	$9.32							06/30/2014(8)	12/31/2021	Common Stock	6,000		6,000	D
Stock Options (Right to Buy)	$12							06/18/2011(9)	12/18/2018	Common Stock	6,000		6,000	D

Explanation of Responses:

1. The price reported in Column 4 is the average price. The shares were sold in multiple transactions at prices ranging from $19.00 to $19.05, 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 sold at each separate price within the range set forth in this footnote.

2. Shares held jointly of record by the Reporting Person and his spouse.

3. The Reporting Person disclaims beneficial ownership of these securities except to the extent of any indirect pecuniary interest therein. This Form shall not be deemed an admission that he is a beneficial owner of any securities for purposes of Section 16 of the Securities Exchange Act of 1934 or for any other purpose.

4. 3,000 of these options vested and became exercisable on 06/15/2012, and the remaining 3,000 options vested and became exercisable on 12/15/2014.

5. 3,000 of these options will vest and become exercisable on or about 06/30/2013, and the remaining 3,000 options vested and became exercisable on 12/31/2015.

6. 3,000 of these options will vest and become exercisable on 6/13/2016, and the remainder will vest and become exercisable on 12/13/2018.

7. 3,000 of these options will vest and become exercisable on or about 6/30/2015, and the remaining 3,000 options will vest and become exercisable on 12/31/2017.

8. 3,000 of these options vested and became exercisable on or about 6/30/2014, and the remaining 3,000 options will vest and become exercisable on 12/31/2016.

9. 3,000 of these options vested and became exercisable on 06/18/2011, and the remaining 3,000 options vested and became exercisable on 12/18/2013.

Remarks:

	/s/ Keevican Weiss Bauerle & Hirsch LLC by David J. Hirsch, Attorney-in-Fact	11/15/2016
	** Signature of Reporting Person	Date
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