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
  1. 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.
  2. 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.
  3. 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.
  4. Restricted stock fully vests on February 3, 2015.
  5. Stock options are fully vested and exerciseable.