SEC Form 4 · accession 0001329799-15-000008
SQUARE 1 FINANCIAL INC · SQBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Norman Creighton
Director
Period of report
Feb 3, 2015
Accepted (ET)
Feb 5, 2015 · 6:53 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 | 167,212 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrants to purchase Class A Common Stock | $10.00 | holding | — | — | — | Jul 11, 2005 | Jul 11, 2015 | Class A Common Stock | 4,000 | 4,000 | D |
| Stock Option (Right to Buy)F2 | $6.00 | holding | — | — | — | — | Aug 2, 2017 | Class A Common Stock | 25,000 | 25,000 | D |
Explanation of responses
- F11,031 RSUs were awarded on February 3, 2015 which will vest 100% on February 3, 2016.
- F2Stock options vest in five equal annual installments, beginning on August 2, 2011, the first anniversary of the date of the grant.