SEC Form 4/A · accession 0001329799-15-000047
SQUARE 1 FINANCIAL INC · SQBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Norman Creighton
Director
Period of report
Feb 3, 2015
Accepted (ET)
Mar 26, 2015 · 10:10 am EDT
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 Stock | 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)F1 | $6.00 | holding | — | — | — | — | Aug 2, 2017 | Class A Common Stock | 10,000 | 10,000 | D |
Explanation of responses
- F1This amendment to the Statement of Changes in Beneficial Ownership on Form 4, filed with the Securities and Exchange Commission on February 5, 2015, is being filed to correct an administrative error in the original Form 4 pursuant to which 25,000 stock options, which were granted to Mr. Creighton on August 2, 2010, were disclosed for Mr. Creighton. 15,000 of those 25,000 stock options were exercised in January 2014. The remaining stock options vest in two equal annual installments, beginning on August 2, 2014, the fourth anniversary of the date of the grant.