SEC Form 4 · accession 0001329799-15-000012
SQUARE 1 FINANCIAL INC · SQBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Pietrzak
Director
Period of report
Feb 3, 2015
Accepted (ET)
Feb 5, 2015 · 7:00 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,F2 | Feb 3, 2015 | A | 1,031 | $0.00 | A | 1,899,873 | I | By Castle Creek Capital Partners IV, LP |
| Class B Common Stock | holding | — | — | — | 2,563,383 | I | By Castle Creek Capital Partners IV, LP |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F11,031 RSUs were awarded on February 3, 2015 which will vest 100% on February 3, 2016.
- F2John T. Pietrzak serves as a principal of Castle Creek Capital Partners IV, L.P. As such, Mr. Pietrzak may be deemed to have beneficial ownership of the securities owned by this entity. Mr. Pietrzak 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.