SEC Form 4 · accession 0001329799-15-000101
SQUARE 1 FINANCIAL INC · SQBK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Susan G Casey
Director
Period of report
Sep 29, 2015
Accepted (ET)
Sep 30, 2015 · 5:19 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 | Sep 29, 2015 | M | 30,000 | $6.00 | A | 224,357 | D | |
| Class A Common StockF1 | Sep 29, 2015 | M | 30,000 | $6.00 | A | 254,357 | D | |
| Class A Common Stock | holding | — | — | — | 13,500 | I | By IRA |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $6.00 | Sep 29, 2015 | M | 30,000 | D | Oct 5, 2012 | Aug 2, 2017 | Class A Common Stock | 30,000 | 30,000 | D |
| Stock Option (Right to Buy)F2 | $6.00 | Sep 29, 2015 | M | 30,000 | D | Oct 5, 2012 | Aug 2, 2017 | Class A Common Stock | 30,000 | 0 | D |
Explanation of responses
- F1Class A Common Stock includes 721 RSUs which will vest 100% on February 3, 2016.
- F2Stock options are fully vested and exerciseable.