Form Type: 4

SEC EDGAR Link
Accession Number:0001329799-14-000068
Date:2014-11-24
Issuer: SQUARE 1 FINANCIAL INC (SQBK)
Original Submission Date:

Reporting Person:

ERWIN JUDITH E
406 BLACKWELL STREET
SUITE 240 DURHAM, NC 27701

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
CLASS A COMMON STOCK 2014-11-24 S 2,354 d $21.66 43,760 direct
CLASS A COMMON STOCK 2014-11-24 0 $0.00 8,000 indirect f2
CLASS A COMMON STOCK 2014-11-24 0 $0.00 10,850 indirect
CLASS A COMMON STOCK 2014-11-24 0 $0.00 2,035 indirect f3
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTION (RIGHT TO BUY) 6.0 2014-11-24 deemed execution date 0 ( ) 2017-08-02 class a common stock 36,240 $6.00 36,240 direct
Footnotes
IDfootnote
f1 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $21.65 to $21.70 inclusive. the reporting person undertakes to provide to square 1 financial, inc., any security holder of square 1 financial, inc. or the staff of the securities and exchange commission, upon request, full information regarding the number of shares at each separate price within the ranges set forth in this footnote.
f2 restricted stock vests in three equal annual installments, beginning on november 15, 2014, the first anniversary of the date of the award.
f3 restricted stock vests in two equal annual installments, beginning on march 1, 2015.
f4 stock options vest in five equal annual installments, beginning on august 2, 2011, the first anniversary of the date of the grant.
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