FORM 4
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security | 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 | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security | 8. Price of Derivative Security | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) | 11. Nature of Indirect Beneficial Ownership |
Code | V | (A) | (D) | Date Exercisable | Expriation Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
YASINSKY JOHN B ONE OXFORD CENTER 301 GRANT STREET, SUITE 2700 PITTSBURGH, PA15219 | X |
/s/ Karla Villatoro de Friedman, General Counsel of TriState Capital Bank, Attorney-in-Fact | 2022-06-02 |
**Signature of Reporting Person | Date |
(*) | If the form is filed by more than one reporting person, see Instruction 5(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). |
(1) | Disposed of upon completion of the merger (the "Merger") of Macaroon One LLC, a wholly owned subsidiary of Raymond James Financial, Inc. ("RJF"), with and into the Issuer, effective June 1, 2022. Pursuant to the Agreement and Plan of Merger, dated as of October 20, 2021, by and among the Issuer, RJF, Macaroon One LLC and Macaroon Two LLC (the "Merger Agreement"), upon completion of the Merger, each outstanding share of the Issuer's common stock was converted into the right to receive 0.25 shares of RJF common stock and $6.00 in cash. The closing price per share of RJF common stock on May 31, 2022, the last trading day prior to completion of the Merger, was $98.49. |
(2) | Shares held jointly of record by the Reporting Person and his spouse. |
(3) | Pursuant to the Merger Agreement, upon completion of the Merger, each outstanding restricted share of the Issuer's common stock was converted into the right to receive 0.25 shares of RJF common stock and $6.00 in cash. The closing price per share of RJF common stock on May 31, 2022, the last trading day prior to completion of the Merger, was $98.49. |
(4) | 3,000 of these options vested and became exercisable on or about 6/30/2015, and the remaining 3,000 options vested and became exercisable on 12/31/2017. |
(5) | This option was cancelled pursuant to the Merger Agreement in exchange for a cash payment of $114,317 which is the product (rounded down to the nearest whole number) of 6,000 option shares and i) $29.3029 minus ii) $10.25 (the exercise price of the options). |
(6) | 3,000 of these options vested and became exercisable on 6/13/2016, and the remainder vested and became exercisable on 12/13/2018. |
(7) | This option was cancelled pursuant to the Merger Agreement in exchange for a cash payment of $105,137 which is the product (rounded down to the nearest whole number) of 6,000 option shares and i) $29.3029 minus ii) $11.78 (the exercise price of the options). |
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TriState Capital Holdings Inc. published this content on 02 June 2022 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 02 June 2022 18:41:04 UTC.