SEC Form 4 · accession 0001329799-15-000006
SQUARE 1 FINANCIAL INC · SQBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul Robert Burke
Director
Period of report
Feb 3, 2015
Accepted (ET)
Feb 5, 2015 · 6:46 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001329799
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1 | Feb 3, 2015 | A | 1,031 | $0.00 | A | 6,412 | D | |
| Class A Common StockF2 | holding | — | — | — | 100,774 | I | By Northaven Partners II, L.P. | |
| Class A Common StockF2 | holding | — | — | — | 35,704 | I | By Northaven Partners III, LP | |
| Class A Common StockF2 | holding | — | — | — | 680,069 | I | By Northaven Capital Partners, LP | |
| Class A Common StockF2 | holding | — | — | — | 57,409 | I | By Northaven Offshore Ltd. | |
| Class A Common StockF2 | holding | — | — | — | 574,252 | I | By Northaven Partners, LP |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F11,145 RSUs vested 100% on February 3, 2015. 1,031 RSUs were awarded on February 3, 2015 and will vest 100% on February 3, 2016.
- F2Mr. Burke serves as a shareholder in Northaven Management, Inc., and is a member of Northaven Associates, LLC, the general partner of each of Northaven Partners, L.P., Northaven Partners II, L.P., Northaven Partners III, L.P., and Northaven Capital Partners, L.P., and Northaven Offshore Ltd. As such, Mr. Burke may be deemed to have beneficial ownership of the securities owned by these entities. Mr. Burke disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that he is a beneficial owner of such securities for the purposes of Section 16.