Filing Details
- Accession Number:
- 0001329799-14-000045
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-11-10 16:21:35
- Reporting Period:
- 2014-11-06
- Filing Date:
- 2014-11-10
- Accepted Time:
- 2014-11-10 16:21:35
- 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 | Acquisiton | 2014-11-06 | 10,000 | $6.00 | 152,362 | No | 4 | M | Direct | |
| Class A Common Stock | Disposition | 2014-11-06 | 7,000 | $20.33 | 145,362 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2014-11-07 | 900 | $20.27 | 144,462 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2014-11-10 | 6,400 | $20.73 | 138,062 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Class A Common Stock | Stock Option (Right to Buy) | Disposition | 2014-11-06 | 10,000 | $6.00 | 10,000 | $6.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 126,000 | 2012-10-05 | 2017-08-02 | No | 4 | M | 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 |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions on November 6, 2014 at prices ranging from $20.15 to $20.55 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 7, 2014 at prices ranging from $20.25 to $20.30 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 10, 2014 at prices ranging from $20.65 to $20.78 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.
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