Filing Details
- Accession Number:
- 0001329799-14-000038
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-11-03 19:56:37
- Reporting Period:
- 2014-10-30
- Filing Date:
- 2014-11-03
- Accepted Time:
- 2014-11-03 19:56:37
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1329799 | Square 1 Financial Inc | SQBK | State Commercial Banks (6022) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1604032 | G Susan Casey | 406 Blackwell Street Suite 240 Durham NC 27701 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Disposition | 2014-10-30 | 3,500 | $20.15 | 144,562 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2014-10-31 | 500 | $20.17 | 144,062 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2014-11-03 | 1,200 | $20.21 | 142,862 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Class A Common Stock | 763 | Indirect | Restricted Stock V |
| Class A Common Stock | 13,500 | Indirect | By IRA |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Stock Option (Right to Buy) | $6.00 | 2012-10-05 | 2017-08-02 | 136,000 | 136,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2017-08-02 | 136,000 | 136,000 | Direct |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions on October 30, 2014 at prices ranging from $20.10 to $20.1601 inclusive. The reporting person undertakes to provide to Square 1 Financial, Inc., any security holder of Square 1 Financial, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares at each separate price within the ranges set forth in this footnote.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions on October 31, 2014 at prices ranging from $20.17 to $20.18 inclusive. The reporting person undertakes to provide to Square 1 Financial, Inc., any security holder of Square 1 Financial, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares at each separate price within the ranges set forth in this footnote.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions on November 3, 2014 at prices ranging from $20.12 to $20.25 inclusive. The reporting person undertakes to provide to Square 1 Financial, Inc., any security holder of Square 1 Financial, Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares at each separate price within the ranges set forth in this footnote.
- Restricted stock fully vests on February 3, 2015.
- Stock options are fully vested and exerciseable.
Billionaire Hedge Funds
