Filing Details
- Accession Number:
- 0001329799-14-000068
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-11-26 14:02:44
- Reporting Period:
- 2014-11-24
- Filing Date:
- 2014-11-26
- Accepted Time:
- 2014-11-26 14:02:44
- 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 |
|---|---|---|---|---|---|---|---|
| 1603622 | E Judith Erwin | 406 Blackwell Street Suite 240 Durham NC 27701 | Evp-Venture Capital Services | No | Yes | 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 | 2014-11-24 | 2,354 | $21.66 | 43,760 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Class A Common Stock | 8,000 | Indirect | Restricted Stock IV |
| Class A Common Stock | 10,850 | Indirect | By IRA |
| Class A Common Stock | 2,035 | Indirect | Restricted Stock VI |
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 | 2017-08-02 | 36,240 | 36,240 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2017-08-02 | 36,240 | 36,240 | Direct |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.65 to $21.70 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 vests in three equal annual installments, beginning on November 15, 2014, the first anniversary of the date of the award.
- Restricted stock vests in two equal annual installments, beginning on March 1, 2015.
- Stock options vest in five equal annual installments, beginning on August 2, 2011, the first anniversary of the date of the grant.
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