0001225208-14-009256.txt : 20140331 0001225208-14-009256.hdr.sgml : 20140331 20140331194826 ACCESSION NUMBER: 0001225208-14-009256 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140327 FILED AS OF DATE: 20140331 DATE AS OF CHANGE: 20140331 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Square 1 Financial Inc CENTRAL INDEX KEY: 0001329799 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 406 BLACKWELL STREET STREET 2: SUITE 240 CITY: DURHAM STATE: NC ZIP: 27701 BUSINESS PHONE: 919-314-3040 MAIL ADDRESS: STREET 1: 406 BLACKWELL STREET STREET 2: SUITE 240 CITY: DURHAM STATE: NC ZIP: 27701 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Erwin Judith E CENTRAL INDEX KEY: 0001603622 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36372 FILM NUMBER: 14731924 MAIL ADDRESS: STREET 1: 406 BLACKWELL STREET STREET 2: SUITE 240 CITY: DURHAM STATE: NC ZIP: 27701 4 1 doc4.xml X0306 4 2014-03-27 0001329799 Square 1 Financial Inc SQBK 0001603622 Erwin Judith E 406 BLACKWELL STREET SUITE 240 DURHAM NC 27701 1 EVP-Venture Capital Services Class A Common Stock 2014-03-27 4 P 0 1000.0000 18.0000 A 14022.0000 D Class A Common Stock 10850.0000 I By IRA Class A Common Stock 12000.0000 I Restricted Stock IV Class A Common Stock 2035.0000 I Restricted Stock VI Stock Option (Right to Buy) 6.0000 2017-08-02 Class A Common Stock 90000.0000 90000.0000 D Trust Preferred Securities 10.0000 2008-09-30 2038-09-30 Class A Common Stock 4000.0000 40.0000 D Restricted stock vests in three equal annual installments, beginning on November 15, 2014, the first anniversary of the date of the award. Restricted stock vests in two equal annual installments, beginning on March 1, 2015. Stock options vest in five equal annual installments, beginning on August 2, 2011, the first anniversary of the date of the grant. /s/ Judith E. Erwin 2014-03-31