Minnick James E. 4
4 · TriState Capital Holdings, Inc. · Filed May 14, 2013
Insider Transaction Report
Form 4
Minnick James E.
Director10% Owner
Transactions
- Other
COMMON STOCK
2013-05-14+3,373,693→ 3,373,693 total(indirect: By LLC) - Other
COMMON STOCK
2013-05-14+1,504,356→ 1,504,356 total(indirect: By LLC) - Conversion
PERPETUAL CONVERTIBLE PREFERRED STOCK, SERIES C
2013-05-14−33,736.927→ 0 total(indirect: By LLC)From: 2012-08-10→ COMMON STOCK (3,373,693 underlying) - Conversion
PERPETUAL CONVERTIBLE PREFERRED STOCK, SERIES C
2013-05-14−15,043.561→ 0 total(indirect: By LLC)From: 2012-08-10→ COMMON STOCK (1,504,356 underlying)
Footnotes (8)
- [F1]Shares of the issuer's common stock were acquired as a result of conversion of 33,736.927 shares of the issuer's Perpetual Convertible Preferred Stock, Series C, pursuant to an agreement entered into in connection with the closing of the initial public offering of the issuer (the "IPO") and the subscription and purchase of 0.3 shares of issuer's common stock from the issuer.
- [F2]Shares of the issuer's common stock were acquired as a result of conversion of 15,043.561 shares of the issuer's Perpetual Convertible Preferred Stock, Series C, pursuant to an agreement entered into in connection with the closing of the IPO.
- [F3]The issuer's Perpetual Convertible Preferred Stock, Series C was converted into shares of the issuer's common stock, with a conversion ratio of 100 shares of common stock for each share of Perpetual Convertible Preferred Stock, Series C.
- [F4]Lovell Minnick Partners LLC is the managing member of Fund III UGP LLC, which is, in turn, the general partner of Lovell Minnick Equity Advisors III LP, which is, in turn, the general partner of Lovell Minnick Equity Partners III LP. Lovell Minnick Equity Partners III LP is the managing member of LM III TriState Holdings LLC. As an officer of Lovell Minnick Partners LLC, Mr. Minnick may be deemed to share beneficial ownership of the shares of the issuer's common stock held by the Lovell Minnick funds. Mr. Minnick disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.
- [F5]Lovell Minnick Partners LLC is the managing member of Fund III UGP LLC, which is, in turn, the general partner of Lovell Minnick Equity Advisors III LP, which is, in turn, the general partner of Lovell Minnick Equity Partners III-A LP. Lovell Minnick Equity Partners III-A LP is the managing member of LM III-A TriState Holdings LLC. As an officer of Lovell Minnick Partners LLC, Mr. Minnick may be deemed to share beneficial ownership of the shares of the issuer's common stock held by the Lovell Minnick funds. Mr. Minnick disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.
- [F6]The issuer's Perpetual Convertible Preferred Stock, Series C is perpetual and does not have an expiration date.
- [F7]Lovell Minnick Partners LLC is the managing member of Fund III UGP LLC, which is, in turn, the general partner of Lovell Minnick Equity Advisors III LP, which is, in turn, the general partner of Lovell Minnick Equity Partners III LP. Lovell Minnick Equity Partners III LP is the managing member of LM III TriState Holdings LLC. As an officer of Lovell Minnick Partners LLC, Mr. Minnick may be deemed to share beneficial ownership of the shares of the issuer's Perpetual Convertible Preferred Stock, Series C held by the Lovell Minnick funds. Mr. Minnick disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.
- [F8]Lovell Minnick Partners LLC is the managing member of Fund III UGP LLC, which is, in turn, the general partner of Lovell Minnick Equity Advisors III LP, which is, in turn, the general partner of Lovell Minnick Equity Partners III-A LP. Lovell Minnick Equity Partners III-A LP is the managing member of LM III-A TriState Holdings LLC. As an officer of Lovell Minnick Partners LLC, Mr. Minnick may be deemed to share beneficial ownership of the shares of the issuer's Perpetual Convertible Preferred Stock, Series C held by the Lovell Minnick funds. Mr. Minnick disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.