SEC Form 4 · accession 0001329799-15-000057
SQUARE 1 FINANCIAL INC · SQBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert S Muehlenbeck
Director
Period of report
May 6, 2015
Accepted (ET)
May 6, 2015 · 5:17 pm 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 | May 6, 2015 | X | 4,000 | $10.00 | A | 4,000 | D | |
| Class A Common StockF1 | May 6, 2015 | G | 4,000 | $0.00 | D | 0 | D | |
| Class A Common StockF1,F2 | May 6, 2015 | G | 4,000 | $0.00 | A | 69,412 | 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 | May 6, 2015 | X | 4,000 | D | Jul 11, 2005 | Jul 11, 2015 | Class A Common Stock | 4,000 | 0 | D |
| Stock Option (Right to Buy)F3 | $6.00 | holding | — | — | — | — | Aug 2, 2017 | Class A Common Stock | 10,000 | 10,000 | D |
Explanation of responses
- F1On May 6, 2015 Mr. Muehlenbeck gifted 4,000 shares to his Family Trust.
- F2Class A Common Stock includes 1,031 RSUs which will vest 100% on February 3, 2016.
- F3Stock options vest in two equal annual installments, with the first installment vesting on August 2, 2014.