Accession Number: | 0001329799-14-000068 |
Date: | 2014-11-24 |
Issuer: | SQUARE 1 FINANCIAL INC (SQBK) |
Original Submission Date: |
ERWIN JUDITH E
406 BLACKWELL STREET
SUITE 240
DURHAM, NC 27701
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature 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 |
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 Exercisable | Expiration 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 |
ID | footnote |
---|---|
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. |