Основная статистика
| CIK | 1329799 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Square 1 Financial Inc
SEC Filings (Chronological Order)
На этой странице представлен полный хронологический список документов SEC, за исключением документов о собственности, которые мы предоставляем в других местах.
| October 19, 2015 |
15-12B 1 a15-2108711512b.htm 15-12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 001-36372 SQUARE 1 FINANCIAL, INC. (Exac |
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| October 7, 2015 |
As filed with the Securities and Exchange Commission on October 7, 2015 S-8 POS 1 a15-204691s8pos.htm S-8 POS As filed with the Securities and Exchange Commission on October 7, 2015 Registration No. 333-195221 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 REGISTRATION STATEMENT NO. 333-195221 UNDER THE SECURITIES ACT OF 1933 SQUARE 1 FINANCIAL, INC. (Exact name of registrant as specified in its chart |
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| October 7, 2015 |
8-K 1 a15-2046818k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 6, 2015 SQUARE 1 FINANCIAL, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001- |
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| August 14, 2015 |
PacWest Bancorp 8-K (Prospectus) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 August 14, 2015 Date of Report (Date of Earliest Event Reported) PACWEST BANCORP (Exact Name of Registrant as Specified in Charter) DELAWARE 00-30747 33-0885320 (State or Other Jurisdiction of Incorporation) (Commission File Number) |
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| August 14, 2015 |
Investor Presentation 2015 Second Quarter Results Exhibit 99.1 Filed by PacWest Bancorp Pursuant to Rule 425 under the Securities Act of 1933 And Deemed Filed Pursuant to Rule 14a-12 of the Securities and Exchange Act of 1934 Subject Company: Square 1 Financial, Inc. Commission File No.: 001-36372 Investor Presentation 2015 Second Quarter Results Forward-Looking Statements This communication contains certain ?forward-looking statements? about Pac |
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| August 12, 2015 |
SQBK / Square 1 Financial Inc 10-Q - Quarterly Report - 10-Q 10-Q 1 sqbk630201510q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2015 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OF 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: |
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| August 3, 2015 |
Submission of Matters to a Vote of Security Holders 8-K 1 sqbk8kshareholdersmeeting0.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 29, 2015 SQUARE 1 FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-36372 20-1872698 (State or other juri |
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| July 15, 2015 |
PACWEST BANCORP ANNOUNCES RESULTS FOR THE SECOND QUARTER OF 2015 Exhibit 99.1 Filed by PacWest Bancorp pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Square 1 Financial, Inc. Commission File No.: 001-36372 PRESS RELEASE PacWest Bancorp (NASDAQ: PACW) Contact: Matthew P. Wagner Victor R. Santoro President and CEO Executive Vice President and CFO 10250 Const |
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| July 15, 2015 |
PacWest Bancorp 8-K (Prospectus) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) July 15, 2015 PacWest Bancorp (Exact name of registrant as specified in its charter) Delaware 00-30747 33-0885320 (State of (Commission File Number) (IRS Employer Incorporation) Identi |
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| July 15, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 a2015q2sqbk8kearningsrelea.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 15, 2015 SQUARE 1 FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-36372 20-1872698 (State or other juri |
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| July 15, 2015 |
SQUARE 1 FINANCIAL REPORTS SECOND QUARTER 2015 RESULTS EX-99.1 2 ex991pressrelease2015q2.htm EXHIBIT 99.1 Exhibit 99.1 Press Release For Release: For More Information Contact: July 15, 2015 Patrick Oakes, Executive Vice President and Chief Financial Officer 919.627.6366, [email protected] SQUARE 1 FINANCIAL REPORTS SECOND QUARTER 2015 RESULTS Durham, NC, July 15, 2015 - Square 1 Financial, Inc. (Nasdaq: SQBK) today announced results for the quart |
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| June 23, 2015 |
DEFM14A 1 a2225197zdefm14a.htm DEFM14A Use these links to rapidly review the document TABLE OF CONTENTS TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ý Filed |
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| May 20, 2015 |
Investor Presentation 2015 First Quarter Results EX-99.1 2 a15-123761ex99d1.htm EX-99.1 Exhibit 99.1 Filed by PacWest Bancorp Pursuant to Rule 425 under the Securities Act of 1933 And Deemed Filed Pursuant to Rule 14a-12 of the Securities and Exchange Act of 1934 Subject Company: Square 1 Financial, Inc. Commission File No: 001-36372 Investor Presentation 2015 First Quarter Results Forward-Looking Statements This communication contains certain “ |
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| May 20, 2015 |
PacWest Bancorp 8-K (Prospectus) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 May 20, 2015 Date of Report (Date of Earliest Event Reported) PACWEST BANCORP (Exact Name of Registrant as Specified in Charter) DELAWARE 00-30747 33-0885320 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IR |
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| May 13, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q 10-Q 1 sqbk331201510q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2015 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OF 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: |
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| April 16, 2015 |
PACWEST BANCORP ANNOUNCES RESULTS FOR THE FIRST QUARTER OF 2015 Exhibit 99.1 Filed by PacWest Bancorp pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Square 1 Financial, Inc. Commission File No.: 001-36372 PRESS RELEASE PacWest Bancorp (NASDAQ: PACW) Contact: Matthew P. Wagner Victor R. Santoro President and CEO Executive Vice President and CFO 10250 Const |
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| April 16, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 16, 2015 SQUARE 1 FINANCIAL, INC. |
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| April 16, 2015 |
PacWest Bancorp 8-K (Prospectus) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) April 16, 2015 PacWest Bancorp (Exact name of registrant as specified in its charter) Delaware 00-30747 33-0885320 (State of (Commission File Number) (IRS Employer Incorporation) Ident |
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| April 16, 2015 |
SQUARE 1 FINANCIAL REPORTS FIRST QUARTER 2015 RESULTS Exhibit 99.1 Press Release For Release: For More Information Contact: April 16, 2015 Patrick Oakes, Executive Vice President and Chief Financial Officer 919.627.6366, [email protected] SQUARE 1 FINANCIAL REPORTS FIRST QUARTER 2015 RESULTS Durham, NC, April 16, 2015 - Square 1 Financial, Inc. (Nasdaq: SQBK) today announced results for the quarter ended March 31, 2015. Consolidated net income a |
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| March 20, 2015 |
EXHIBIT 10.12 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (the “Agreement”) is entered into as of the 1st day of March, 2015, by and among SQUARE 1 FINANCIAL, Inc., a Delaware corporation (“Company”), SQUARE 1 Bank, a North Carolina chartered commercial bank (the “Bank”), and FRANK TOWER (“Executive”). RECITALS WHEREAS, Company and the Bank wish to continue to employ Executive in a position of |
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| March 20, 2015 |
EXHIBIT 10.8 March 1, 2015 Dear Patrick, This letter agreement (this “Letter Agreement”) memorializes our discussions and agreement concerning certain changes in the terms of the Employment Agreement, dated as of July 19, 2012, by and among you, Square 1 Financial, Inc. (the “Company”) and Square 1 Bank, as amended on December 31, 2012 and October 31, 2013 (the “Employment Agreement”), that are be |
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| March 20, 2015 |
EXHIBIT 21.1 SUBSIDIARIES OF REGISTRANT State or Other Jurisdiction of Incorporation Percentage Owned Parent Square 1 Financial, Inc. Delaware N/A Subsidiaries(1) Square 1 Bank North Carolina 100% Square 1 Ventures, LLC Delaware 100% Subsidiary of Square 1 Bank(1) Square 1 Asset Management, Inc. North Carolina 100% (1) Operations of Square 1 Financial, Inc.’s wholly owned direct subsidiary, Square |
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| March 20, 2015 |
EXHIBIT 10.11 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (the “Agreement”) is entered into as of the 1st day of March, 2015, by and among SQUARE 1 FINANCIAL, Inc., a Delaware corporation (“Company”), SQUARE 1 Bank, a North Carolina chartered commercial bank (the “Bank”), and JASON KRANACK (“Executive”). RECITALS WHEREAS, Company and the Bank wish to continue to employ Executive in a position o |
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| March 20, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2014 ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-36372 SQUARE 1 FINANCIAL, INC. |
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| March 20, 2015 |
EXHIBIT 10.10 March 1, 2015 Dear Gregory, This letter agreement (this “Letter Agreement”) memorializes our discussions and agreement concerning certain changes in the terms of the Employment Agreement, dated as of July 27, 2011, by and among you, Square 1 Financial, Inc. (the “Company”) and Square 1 Bank, as amended on April 26, 2013 (the “Employment Agreement”), that are being entered into in con |
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| March 10, 2015 |
SANDLER O’NEILL WEST COAST FINANCIAL SERVICES CONFERENCE PHOENIX, ARIZONA March 11, 2015 EX-99.1 2 a15-64421ex99d1.htm EX-99.1 Exhibit 99.1 SANDLER O’NEILL WEST COAST FINANCIAL SERVICES CONFERENCE PHOENIX, ARIZONA March 11, 2015 Forward-Looking Statements This communication contains certain “forward-looking statements” about the Company and its subsidiaries, Square 1, and the combined company after the close of the transaction within the meaning of the Private Securities Litigation Re |
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| March 10, 2015 |
PacWest Bancorp 8-K (Prospectus) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 March 10, 2015 Date of Report (Date of Earliest Event Reported) PACWEST BANCORP (Exact Name of Registrant as Specified in Charter) DELAWARE 00-30747 33-0885320 (State or Other Jurisdiction of Incorporation) (Commission File Number) ( |
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| March 5, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) March 1, 2015 SQUARE 1 FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-36372 20-1872698 (State of (Commission File Number) (IRS Employer Incorporati |
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| March 5, 2015 |
Exhibit 2.1 AGREEMENT AND PLAN OF MERGER dated as of March 1, 2015 by and between PacWest Bancorp and Square 1 Financial, Inc. TABLE OF CONTENTS Page RECITALS ARTICLE 1 CERTAIN DEFINITIONS 1.01 Certain Definitions 2 ARTICLE 2 THE MERGER 2.01 The Merger 12 2.02 Closing; Effective Time 12 ARTICLE 3 CONSIDERATION; EXCHANGE PROCEDURES 3.01 Effect on Capital Stock 12 3.02 Rights as Stockholders; Stock |
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| March 5, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) March 1, 2015 SQUARE 1 FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-36372 20-1872698 (State of (Commission File Number) (IRS Employer Incorporati |
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| March 5, 2015 |
Schedule I: Shareholder Address Exhibit 99.1 March 1, 2015 PacWest Bancorp 10250 Constellation Boulevard, Suite 1640 Los Angeles, CA 90067 Ladies and Gentlemen: As a holder of Company Common Stock (as defined below), the undersigned on behalf of [?] (the ?Stockholder?) understands that Square 1 Financial, Inc., a Delaware corporation (the ?Company?), and PacWest Bancorp, a Delaware corporation (?Parent?), are concurrently enteri |
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| March 5, 2015 |
Exhibit 2.1 AGREEMENT AND PLAN OF MERGER dated as of March 1, 2015 by and between PacWest Bancorp and Square 1 Financial, Inc. TABLE OF CONTENTS Page RECITALS ARTICLE 1 CERTAIN DEFINITIONS 1.01 Certain Definitions 2 ARTICLE 2 THE MERGER 2.01 The Merger 12 2.02 Closing; Effective Time 12 ARTICLE 3 CONSIDERATION; EXCHANGE PROCEDURES 3.01 Effect on Capital Stock 12 3.02 Rights as Stockholders; Stock |
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| March 5, 2015 |
Exhibit 2.1 AGREEMENT AND PLAN OF MERGER dated as of March 1, 2015 by and between PacWest Bancorp and Square 1 Financial, Inc. TABLE OF CONTENTS Page RECITALS ARTICLE 1 CERTAIN DEFINITIONS 1.01 Certain Definitions 2 ARTICLE 2 THE MERGER 2.01 The Merger 12 2.02 Closing; Effective Time 12 ARTICLE 3 CONSIDERATION; EXCHANGE PROCEDURES 3.01 Effect on Capital Stock 12 3.02 Rights as Stockholders; Stock |
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| March 5, 2015 |
PacWest Bancorp 8-K (Prospectus) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) March 1, 2015 PacWest Bancorp (Exact name of registrant as specified in its charter) Delaware 00-30747 33-0885320 (State of (Commission File Number) (IRS Employer Incorporation) Identi |
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| March 2, 2015 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) March 1, 2015 SQUARE 1 FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-36372 20-1872698 (State of (Commission File Number) (IRS Employer Incorporati |
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| March 2, 2015 |
ACQUISITION OF SQUARE 1 FINANCIAL March 2, 2015 Exhibit 99.2 ACQUISITION OF SQUARE 1 FINANCIAL March 2, 2015 This communication contains certain forward-looking information about PacWest, Square 1, and the combined company after the close of the transaction that is intended to be covered by the safe harbor for “forward-looking statements” provided by the Private Securities Litigation Reform Act of 1995. All statements other than statements of h |
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| March 2, 2015 |
Exhibit 99.1 PRESS RELEASE PacWest Bancorp 10250 Constellation Blvd., Suite 1640 Los Angeles, CA 90067 Square 1 Financial, Inc. 406 Blackwell Street, Suite 240 Durham, NC 27701 Contacts: Matthew P. Wagner President and Chief Executive Officer (310) 728-1020 Contacts: Douglas H. Bowers President and Chief Executive Officer (919) 627-6339 FOR IMMEDIATE RELEASE March 2, 2015 PACWEST BANCORP AND SQUAR |
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| March 2, 2015 |
PACW / PacWest Bancorp 425 - Merger Prospectus - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) March 1, 2015 PacWest Bancorp (Exact name of registrant as specified in its charter) Delaware 00-30747 33-0885320 (State of (Commission File Number) (IRS Employer Incorporation) Identi |
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| March 2, 2015 |
ACQUISITION OF SQUARE 1 FINANCIAL March 2, 2015 Exhibit 99.2 ACQUISITION OF SQUARE 1 FINANCIAL March 2, 2015 This communication contains certain forward-looking information about PacWest, Square 1, and the combined company after the close of the transaction that is intended to be covered by the safe harbor for “forward-looking statements” provided by the Private Securities Litigation Reform Act of 1995. All statements other than statements of h |
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| March 2, 2015 |
ACQUISITION OF SQUARE 1 FINANCIAL March 2, 2015 EX-99.2 3 a15-56671ex99d2.htm EX-99.2 Exhibit 99.2 ACQUISITION OF SQUARE 1 FINANCIAL March 2, 2015 This communication contains certain forward-looking information about PacWest, Square 1, and the combined company after the close of the transaction that is intended to be covered by the safe harbor for “forward-looking statements” provided by the Private Securities Litigation Reform Act of 1995. All |
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| March 2, 2015 |
Exhibit 99.1 PRESS RELEASE PacWest Bancorp 10250 Constellation Blvd., Suite 1640 Los Angeles, CA 90067 Square 1 Financial, Inc. 406 Blackwell Street, Suite 240 Durham, NC 27701 Contacts: Matthew P. Wagner President and Chief Executive Officer (310) 728-1020 Contacts: Douglas H. Bowers President and Chief Executive Officer (919) 627-6339 FOR IMMEDIATE RELEASE March 2, 2015 PACWEST BANCORP AND SQUAR |
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| March 2, 2015 |
SQBK / Square 1 Financial Inc 425 - Merger Prospectus - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported) March 1, 2015 SQUARE 1 FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 001-36372 20-1872698 (State of (Commission File Number) (IRS Employer Incorporati |
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| March 2, 2015 |
Exhibit 99.1 PRESS RELEASE PacWest Bancorp 10250 Constellation Blvd., Suite 1640 Los Angeles, CA 90067 Square 1 Financial, Inc. 406 Blackwell Street, Suite 240 Durham, NC 27701 Contacts: Matthew P. Wagner President and Chief Executive Officer (310) 728-1020 Contacts: Douglas H. Bowers President and Chief Executive Officer (919) 627-6339 FOR IMMEDIATE RELEASE March 2, 2015 PACWEST BANCORP AND SQUAR |
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| February 17, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Square 1 Financial, Inc. (Name of Issuer) Common Stock, par value $0.01 (Title of Class of Securities) 85223W101 (CUSIP Number) December 31, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursu |
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| February 11, 2015 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 11, 2015 SQUARE 1 FINANCIAL, INC. |
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| February 11, 2015 |
EX-99.1 2 sqbkpresentation02112015.htm EXHIBIT 99.1 INVESTOR UPDATE PRESENTATION Investor Update Fourth Quarter 2014 Douglas H. Bowers President Chief Executive Officer Patrick Oakes Executive Vice President Chief Financial Officer NASDAQ: SQBK www.square1financial.com Disclosure Fourth Quarter 2014 | 2 This report contains forward-looking statements within the meaning of the Private Securities Li |
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| January 22, 2015 |
SQBK / Square 1 Financial Inc / CASTLE CREEK CAPITAL PARTNERS IV, LP - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Square 1 Financial, Inc. (Name of Issuer) Common Stock, Par Value $0.01 (Title of Class of Securities) 85223W101 (CUSIP Number) March 27, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| January 22, 2015 |
EX-1 2 a15-28412ex1.htm EX-1 Exhibit 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a Statement on Schedule 13G (including any and all amendments thereto) with respect to shares of Common Stock of Square 1 Financial, Inc. and that this Joint Filing Agreement shal |
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| January 21, 2015 |
SQUARE 1 FINANCIAL REPORTS FOURTH QUARTER AND FULL YEAR 2014 RESULTS Exhibit 99.1 Press Release For Release: For More Information Contact: January 21, 2015 Patrick Oakes, Executive Vice President and Chief Financial Officer 919.627.6366, [email protected] SQUARE 1 FINANCIAL REPORTS FOURTH QUARTER AND FULL YEAR 2014 RESULTS Durham, NC, January 21, 2015 - Square 1 Financial, Inc. (Nasdaq: SQBK) today announced results for the fourth quarter and year ended Decemb |
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| January 21, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 21, 2015 SQUARE 1 FINANCIAL, INC. |
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| November 10, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2014 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OF 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36372 SQUARE 1 FINANCI |
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| October 23, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 23, 2014 SQUARE 1 FINANCIAL, INC. |
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| October 23, 2014 |
SQUARE 1 FINANCIAL REPORTS THIRD QUARTER 2014 RESULTS Exhibit 99.1 Press Release For Release: For More Information Contact: October 23, 2014 Patrick Oakes, Executive Vice President and Chief Financial Officer 919.627.6366, [email protected] SQUARE 1 FINANCIAL REPORTS THIRD QUARTER 2014 RESULTS Durham, NC, October 23, 2014 - Square 1 Financial, Inc. (Nasdaq: SQBK) today announced results for the quarter ended September 30, 2014. Consolidated net |
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| August 11, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2014 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OF 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36372 SQUARE 1 FINANCIAL, I |
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| August 11, 2014 |
SECOND AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF SQUARE 1 FINANCIAL, INC. |
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| July 29, 2014 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 29, 2014 SQUARE 1 FINANCIAL, INC. |
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| July 29, 2014 |
sqbk2014q2investorpresen Company Profile and Financial Results Second Quarter 2014 Disclosure Second Quarter 2014 | 2 This report contains forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995. |
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| July 25, 2014 |
SQUARE 1 FINANCIAL REPORTS SECOND QUARTER 2014 RESULTS Exhibit 99.1 Press Release For Release: For More Information Contact: July 25, 2014 Patrick Oakes, Executive Vice President and Chief Financial Officer 919.627.6366, [email protected] SQUARE 1 FINANCIAL REPORTS SECOND QUARTER 2014 RESULTS Durham, NC, July 25, 2014 - Square 1 Financial, Inc. (Nasdaq: SQBK) today announced results for the quarter ended June 30, 2014. Consolidated net income ava |
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| July 25, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 25, 2014 SQUARE 1 FINANCIAL, INC. |
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| June 26, 2014 |
Submission of Matters to a Vote of Security Holders - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 24, 2014 SQUARE 1 FINANCIAL, INC. |
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| May 23, 2014 |
DEF 14A 1 c379557def14a.htm DEFINITIVE PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive |
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| May 20, 2014 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 20, 2014 SQUARE 1 FINANCIAL, INC. |
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| May 20, 2014 |
a2014sqbk8k05202014 Company Profile and Financial Results First Quarter 2014 Disclosure First Quarter 2014 | 2 This report contains forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995. |
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| May 14, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2014 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OF 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36372 SQUARE 1 FINANCIAL, |
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| April 30, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 30, 2014 SQUARE 1 FINANCIAL, INC. |
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| April 30, 2014 |
SQUARE 1 FINANCIAL REPORTS FIRST QUARTER 2014 RESULTS EX-99.1 2 ex991pressrelease.htm EXHIBIT 99.1 Exhibit 99.1 Press Release For Release: For More Information Contact: April 30, 2014 Patrick Oakes, Executive Vice President and Chief Financial Officer 919.627.6366, [email protected] SQUARE 1 FINANCIAL REPORTS FIRST QUARTER 2014 RESULTS Durham, NC, April 30, 2014 - Square 1 Financial, Inc. (Nasdaq: SQBK) today announced results for the quarter en |
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| April 11, 2014 |
EX-5.0 Exhibit 5.0 Suite 900 607 14th St., NW Washington DC 20005-2018 t 202 508 5800 f 202 508 5858 www.KilpatrickTownsend.com April 11, 2014 Board of Directors Square 1 Financial, Inc. 406 Blackwell Street, Suite 240 Durham, North Carolina 27701 Re: Square 1 Financial, Inc. 2009 Stock Incentive Plan Board Members: We have been requested by Square 1 Financial, Inc., a Delaware corporation (the “C |
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| April 11, 2014 |
SQUARE 1 FINANCIAL, INC. 2009 STOCK INCENTIVE PLAN, AS AMENDED EX-99.1 4 d708743dex991.htm EX-99.1 Exhibit 99.1 SQUARE 1 FINANCIAL, INC. 2009 STOCK INCENTIVE PLAN, AS AMENDED 1. PURPOSE. The purpose of this 2009 Stock Incentive Plan (the “Plan”) is to aid Square 1 Financial, Inc., a Delaware corporation (together with its successors and assigns, the “Company”), in attracting, retaining, motivating and rewarding employees and non-employee directors of the Comp |
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| April 11, 2014 |
S-8 As filed with the Securities and Exchange Commission on April 11, 2014 Registration No. |
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| April 9, 2014 |
SQBK / Square 1 Financial Inc / PATRIOT FINANCIAL PARTNERS LP - SCHEDULE 13D Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. ) Square 1 Financial, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 85223W101 (CUSIP Number) W. Kirk Wycoff Patriot Financia |
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| April 4, 2014 |
Square 1 Financial, Inc. Announces Closing of Its Over-Allotment Option EX-99.1 Exhibit 99.1 Square 1 Financial, Inc. Announces Closing of Its Over-Allotment Option DURHAM, North Carolina, April 2, 2014 — Square 1 Financial, Inc. (the “Company”) (NASDAQ: SQBK) today announced that the underwriters exercised in full the underwriters’ purchase option granted in connection with the initial public offering, at the initial public offering price of $18.00. Of the 867,167 sh |
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| April 4, 2014 |
Financial Statements and Exhibits, Other Events Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 2, 2014 SQUARE 1 FINANCIAL, INC. |
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| April 1, 2014 |
Square 1 Financial, Inc. Announces Pricing of Its Initial Public Offering EX-99.1 3 d704525dex991.htm EX-99.1 Exhibit 99.1 Square 1 Financial, Inc. Announces Pricing of Its Initial Public Offering Square 1 Financial, Inc. (“Square 1”) today announced the pricing of its initial public offering of 5,781,126 shares of its Class A common stock at a price to the public of $18.00 per share. Of the5,781,126 shares sold in the public offering, 3,125,000 were shares of Class A c |
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| April 1, 2014 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 26, 2014 SQUARE 1 FINANCIAL, INC. |
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| April 1, 2014 |
Square 1 Financial, Inc. Announces Closing of Its Initial Public Offering EX-99.2 4 d704525dex992.htm EX-99.2 Exhibit 99.2 Square 1 Financial, Inc. Announces Closing of Its Initial Public Offering DURHAM, North Carolina, March 31, 2014 — Square 1 Financial, Inc. (“Square 1”) today announced the closing of its initial public offering of common stock. Square 1 sold a total of 3,125,000 shares of Class A common stock and selling shareholders sold a total of 2,206,126 share |
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| April 1, 2014 |
EX-1.1 Exhibit 1.1 EXECUTION COPY 5,781,126 Shares Square 1 Financial, Inc. Common Stock $0.01 par value per share Underwriting Agreement March 26, 2014 Sandler O’Neill & Partners, L.P. 1251 Avenue of the Americas, 6th Floor New York, New York 10020 as representative of the Underwriters named in Schedule I hereto Ladies and Gentlemen: Square 1 Financial, Inc., a Delaware corporation (the “Company” |
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| March 27, 2014 |
424B4 Table of Contents Filed Pursuant to Rule 424(b)(4) Registration No. 333-193197 PROSPECTUS 5,781,126 Shares Common Stock This prospectus relates to the initial public offering of Square 1 Financial’s Class A common stock. We are offering 3,125,000 shares of our Class A common stock. The selling shareholders identified in this prospectus are offering 2,206,126 shares of our Class A common stoc |
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| March 25, 2014 |
CORRESP Square 1 Financial, Inc. 406 Blackwell Street, Suite 240 Durham, North Carolina 27701 March 25, 2014 VIA EDGAR U. S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, DC 20549 Re: Square 1 Financial, Inc. Registration Statement on Form S-1, as amended (File No. 333-193197) Request for Acceleration of Effectiveness Ladies and Gentlemen: Pursuant |
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| March 25, 2014 |
- PRE-EFFECTIVE AMENDMENT NO 4 TO FORM S-1 Pre-Effective Amendment No 4 to Form S-1 Table of Contents As filed with the Securities and Exchange Commission on March 25, 2014 Registration No. |
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| March 25, 2014 |
CORRESP March 25, 2014 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, DC 20549 Re: Square 1 Financial, Inc. Registration Statement on Form S-1, as amended (File No. 333-193197) Request for Acceleration of Effectiveness Ladies and Gentlemen: Pursuant to Rule 461 under the Securities Act of 1933, as amended (the “Securities Act”), we, t |
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| March 25, 2014 |
CORRESP [LETTERHEAD OF KILPATRICK TOWNSEND STOCKTON LLP] Suite 900 607 14th St., NW Washington DC 20005-2018 t 202 508 5800 f 202 508 5858 March 25, 2014 direct dial 202 508 5884 direct fax 202 204 5611 [email protected] Mr. Michael R. Clampitt Senior Attorney Division of Corporation Finance U.S. Securities and Exchange Commission Washington, D.C. 20549 Re: Square 1 Financial, Inc. R |
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| March 24, 2014 |
8-A12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 SQUARE 1 FINANCIAL, INC. |
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| March 17, 2014 |
FWP Filed Pursuant to Rule 433 Registration No. 333-193197 March 2014 1 square 1 financial Initial Public Offering March 2014 Offering Disclosure This presentation has been prepared by Square 1 Financial, Inc. (“Square 1” or the “Company”) solely for informational purposes based on its own information, as well as information from public sources. This presentation has been prepared to assist intere |
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| March 14, 2014 |
S-1/A Table of Contents As filed with the Securities and Exchange Commission on March 14, 2014 Registration No. |
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| March 5, 2014 |
Table of Contents As filed with the Securities and Exchange Commission on March 5, 2014 Registration No. |
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| March 5, 2014 |
Correspondence Suite 900 607 14th St., NW Washington DC 20005-2018 t 202 508 5800 f 202 508 5858 direct dial 202 508 5884 direct fax 202 204 5611 March 5, 2014 [email protected] Mr. Michael R. Clampitt Senior Attorney Division of Corporation Finance U.S. Securities and Exchange Commission Washington, D.C. 20549 Re: Square 1 Financial, Inc. Pre-effective Amendment No. 2 to the Registr |
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| January 27, 2014 |
CORRESP [LETTERHEAD OF KILPATRICK TOWNSEND & STOCKTON LLP] Suite 900 607 14th St., NW Washington DC 20005-2018 t 202 508 5800 f 202 508 5858 January 27, 2014 direct dial 202 508 5884 direct fax 202 204 5611 [email protected] Mr. Michael R. Clampitt Senior Attorney Division of Corporation Finance U.S. Securities and Exchange Commission Washington, D.C. 20549 Re: Square 1 Financial, In |
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| January 27, 2014 |
[—] Shares Square 1 Financial, Inc. Common Stock $0.01 par value per share Underwriting Agreement EX-1.1 Exhibit 1.1 [—] Shares Square 1 Financial, Inc. Common Stock $0.01 par value per share Underwriting Agreement [—], 2014 Sandler O’Neill & Partners, L.P. 1251 Avenue of the Americas, 6th Floor New York, New York 10020 as representative of the Underwriters named in Schedule I hereto Ladies and Gentlemen: Square 1 Financial, Inc., a Delaware corporation (the “Company”), proposes, subject to th |
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| January 27, 2014 |
- PRE-EFFECTIVE AMENDMENT NO. 1 Pre-Effective Amendment No. 1 Table of Contents As filed with the Securities and Exchange Commission on January 27, 2014 Registration No. 333-193197 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 PRE-EFFECTIVE AMENDMENT NO. 1 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 SQUARE 1 FINANCIAL, INC. (Exact name of registrant as specified in its charter) Del |
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| January 6, 2014 |
EX-3.1 2 d618912dex31.htm EXHIBIT 3.1 Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF SQUARE 1 FINANCIAL, INC. (Duly adopted in accordance with Sections 242 and 245 of the Delaware General Corporation Law) Square 1 Financial, Inc. was originally incorporated as New Holding Company and its original Certificate of Incorporation was filed with the Secretary of State of the State of D |
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| January 6, 2014 |
SQUARE 1 FINANCIAL, INC. STOCK PURCHASE AGREEMENT Exhibit 10.11 Exhibit 10.11 SQUARE 1 FINANCIAL, INC. STOCK PURCHASE AGREEMENT This STOCK PURCHASE AGREEMENT (this “Agreement”), dated as of March 2, 2010, is by and between Square 1 Financial, Inc. a Delaware corporation (the “Corporation”), and the entities identified on Exhibit A (collectively referred to herein as the “Purchaser”). WITNESSETH: WHEREAS, the Company proposes to conduct an offerin |
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| January 6, 2014 |
Exhibit 10.8 Exhibit 10.8 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (the “Agreement”) is entered into as of the 27th day of July, 2011, by and between SQUARE 1 FINANCIAL, INC., a Delaware corporation (“Company”), SQUARE 1 BANK, a North Carolina chartered commercial bank (the “Bank”), and GREGORY THOMPSON (“Executive”). RECITALS WHEREAS, Company and the Bank wish to employ Executive in a posit |
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| January 6, 2014 |
SPLIT DOLLAR LIFE INSURANCE AGREEMENT Exhibit 10.19 Exhibit 10.19 SPLIT DOLLAR LIFE INSURANCE AGREEMENT THIS AGREEMENT (the “Agreement”) is made and entered into this 20th day of June, 2012 by and between Square 1 Bank, a North Carolina bank, located in Durham, NC (the “Bank”), and Gregory Thompson, a current employee of the Bank (hereinafter referred to as the “Employee”). INTRODUCTION WHEREAS, Employee is an officer or other highly |
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| January 6, 2014 |
Exhibit 10.4 Exhibit 10.4 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (the “Agreement”) is entered into as of the 4th day of October, 2011, by and between SQUARE 1 FINANCIAL, INC., a Delaware corporation (“Company”), SQUARE 1 BANK, a North Carolina chartered commercial bank (the “Bank”), and SAM BHAUMIK (“Executive”). RECITALS WHEREAS, Company and the Bank wish to employ Executive in a position |
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| January 6, 2014 |
SQUARE 1 FINANCIAL, INC. ARTICLE I—STOCKHOLDERS Exhibit 3.2 Exhibit 3.2 SQUARE 1 FINANCIAL, INC. BYLAWS ARTICLE I—STOCKHOLDERS Section 1. Annual Meeting. An annual meeting of the stockholders, for the election of Directors to succeed those whose terms expire and for the transaction of such other business as may properly come before the meeting, shall be held at such place, on such date, and at such time as the Board of Directors shall each year |
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| January 6, 2014 |
Registration Statement - FORM S-1 S-1 1 d618912ds1.htm FORM S-1 Table of Contents As filed with the Securities and Exchange Commission on January 6, 2014 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 SQUARE 1 FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 6022 20-187698 State or other juri |
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| January 6, 2014 |
SPLIT DOLLAR LIFE INSURANCE AGREEMENT EX-10.17 21 d618912dex1017.htm EXHIBIT 10.17 Exhibit 10.17 SPLIT DOLLAR LIFE INSURANCE AGREEMENT THIS AGREEMENT (the “Agreement”) is made and entered into this 20th day of June, 2012 by and between Square 1 Bank, a North Carolina bank, located in Durham, NC (the “Bank”), and Douglas Bowers, a current employee of the Bank (hereinafter referred to as the “Employee”). INTRODUCTION WHEREAS, Employee i |
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| January 6, 2014 |
AMENDED AND RESTATED EMPLOYMENT AGREEMENT Exhibit 10.6 Exhibit 10.6 AMENDED AND RESTATED EMPLOYMENT AGREEMENT THIS AMENDED AND RESTATED EMPLOYMENT AGREEMENT (this “Agreement”) dated as of March 16, 2007, amends and restates that certain Employment Agreement dated December 12, 2006 (the “Original Agreement”), is made by and between Square 1 Bank, a North Carolina-chartered commercial bank (the “Bank”), Square 1 Financial, Inc., a Delaware |
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| January 6, 2014 |
FIXED RATE JUNIOR SUBORDINATED CONVERTIBLE DEBT SECURITY DUE 2038 EX-10.16 20 d618912dex1016.htm EXHIBIT 10.16 Exhibit 10.16 FIXED RATE JUNIOR SUBORDINATED CONVERTIBLE DEBT SECURITY DUE 2038 THIS SECURITY HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR ANY STATE SECURITIES LAWS OR ANY OTHER APPLICABLE SECURITIES LAWS. NEITHER THIS SECURITY NOR ANY INTEREST OR PARTICIPATION HEREIN MAY BE REOFFERED, SOLD, ASSIGNED, T |
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| January 6, 2014 |
Exhibit 10.14 Exhibit 10.14 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (the “Agreement”) is made and entered into as of this 26th day of September 2012 by and among Square 1 Financial, Inc., a Delaware corporation (the “Corporation”) and each of the other persons executing this Agreement (each, a “Holder” and collectively, the “Holders”), and is entered into in connection wit |
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| January 6, 2014 |
Exhibit 10.12 Exhibit 10.12 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (the “Agreement”) is made and entered into as of this 2nd day of March 2010 by and among Square 1 Financial, Inc., a Delaware corporation (the “Corporation”) and each of the other persons executing this Agreement (each, a “Holder” and collectively, the “Holders”), and is entered into in connection with the |
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| January 6, 2014 |
Square 1 Bank Amended and Restated Corporate Incentive Plan EX-10.1 5 d618912dex101.htm EXHIBIT 10.1 Exhibit 10.1 Square 1 Bank Amended and Restated Corporate Incentive Plan 1. Purpose. The purpose of this Amended and Restated Corporate Incentive Plan (the “CIP”) is to attract, retain and motivate key employees by providing cash and equity incentive awards to designated executive, managerial and professional employees of Square 1 Bank (the “Bank”). The CIP |
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| January 6, 2014 |
Correspondence Suite 900 607 14th St., NW Washington DC 20005-2018 t 202 508 5800 f 202 508 5858 January 6, 2014 direct dial 202 508 5884 direct fax 202 204 5611 [email protected] Mr. Michael R. Clampitt Senior Attorney Division of Corporation Finance U.S. Securities and Exchange Commission Washington, D.C. 20549 Re: Square 1 Financial, Inc. Confidential Draft Registration Statement |
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| January 6, 2014 |
SQUARE 1 FINANCIAL, INC. 2009 STOCK INCENTIVE PLAN Exhibit 10.2 Exhibit 10.2 SQUARE 1 FINANCIAL, INC. 2009 STOCK INCENTIVE PLAN 1. PURPOSE. The purpose of this 2009 Stock Incentive Plan (the “Plan”) is to aid Square 1 Financial, Inc., a Delaware corporation (together with its successors and assigns, the “Company”), in attracting, retaining, motivating and rewarding employees and non-employee directors of the Company or its Subsidiaries or Affiliat |
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| January 6, 2014 |
Exhibit 10.7 Exhibit 10.7 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (the “Agreement”) is entered into as of the 19th day of July, 2012, by and between SQUARE 1 FINANCIAL, INC., a Delaware corporation (“Company”), SQUARE 1 BANK, a North Carolina chartered commercial bank (the “Bank”), and PATRICK OAKES (“Executive”). RECITALS WHEREAS, Company and the Bank wish to employ Executive in positions |
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| January 6, 2014 |
SPLIT DOLLAR LIFE INSURANCE AGREEMENT Exhibit 10.20 Exhibit 10.20 SPLIT DOLLAR LIFE INSURANCE AGREEMENT THIS AGREEMENT (the “Agreement”) is made and entered into this 15th day of August, 2013, by and between Square I Bank, a North Carolina bank, located in Durham, NC (the “Bank”), “Employee”).and PATRICK OAKES, a current employee of the Bank (hereinafter referred to as the “Employee”). INTRODUCTION WHEREAS, Employee is an officer or o |
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| January 6, 2014 |
AMENDED AND RESTATED EMPLOYMENT AGREEMENT Exhibit 10.9 Exhibit 10.9 AMENDED AND RESTATED EMPLOYMENT AGREEMENT THIS AMENDED AND RESTATED EMPLOYMENT AGREEMENT (this “Agreement”) dated as of March 16, 2007, amends and restates that certain Employment Agreement dated December 12, 2006 (the “Original Agreement”), is made by and between Square 1 Bank, a North Carolina-chartered commercial bank (the “Bank”), Square 1 Financial, Inc., a Delaware |
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| January 6, 2014 |
EX-10.10 14 d618912dex1010.htm EXHIBIT 10.10 Exhibit 10.10 SQUARE 1 BANK AND SQUARE 1 FINANCIAL, INC. AMENDED AND RESTATED WARRANT INCENTIVE COMPENSATION PLAN ARTICLE I INTRODUCTION 1.1 General. This Plan is an incentive compensation program that is intended to provide incentive compensation to key employees of Square 1 Bank and Square 1 Financial, Inc. to encourage them to remain as employees of |
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| January 6, 2014 |
Exhibit 10.15 Exhibit 10.15 GUARANTEE AGREEMENT SQUARE 1 FINANCIAL, INC. Dated as of September 30, 2008 TABLE OF CONTENTS ARTICLE I DEFINITIONS AND INTERPRETATION SECTION 1.1. Definitions and Interpretation. 1 ARTICLE II POWERS, DUTIES AND RIGHTS OF THE GUARANTEE TRUSTEE SECTION 2.1. Powers and Duties of the Guarantee Trustee. 4 SECTION 2.2. Certain Rights of the Guarantee Trustee. 5 SECTION 2.3. |
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| January 6, 2014 |
EX-21.0 25 d618912dex210.htm EXHIBIT 21.0 EXHIBIT 21.0 SUBSIDIARIES OF REGISTRANT State or Other Jurisdiction of Incorporation Percentage Owned Parent Square 1 Financial, Inc. Delaware Subsidiaries(1) Square 1 Bank North Carolina 100 % Square 1 Ventures LLC Delaware 100 Square 1 Capital Trust 1 Delaware 100 Subsidiaries of Square 1 Bank(1) Square 1 Asset Management, Inc. North Carolina 100 (1) Ope |
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| January 6, 2014 |
EX-10.5 9 d618912dex105.htm EXHIBIT 10.5 Exhibit 10.5 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (the “Agreement”) is entered into as of the 15th day of October, 2012, by and between SQUARE 1 FINANCIAL, INC., a Delaware corporation (“Company”), SQUARE 1 BANK, a North Carolina chartered commercial bank (the “Bank”), and DIANE EARLE (“Executive”). RECITALS WHEREAS, Company and the Bank wish to e |
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| January 6, 2014 |
SPLIT DOLLAR LIFE INSURANCE AGREEMENT EX-10.18 22 d618912dex1018.htm EXHIBIT 10.18 Exhibit 10.18 SPLIT DOLLAR LIFE INSURANCE AGREEMENT THIS AGREEMENT (the “Agreement”) is made and entered into this 20th day of June, 2012, by and between Square 1 Bank, a North Carolina bank, located in Durham, NC (the “Bank”), and Judith Erwin, a current employee of the Bank (hereinafter referred to as the “Employee”). INTRODUCTION WHEREAS, Employee is |
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| January 6, 2014 |
SQUARE 1 FINANCIAL, INC. STOCK PURCHASE AGREEMENT Exhibit 10.13 Exhibit 10.13 SQUARE 1 FINANCIAL, INC. STOCK PURCHASE AGREEMENT This STOCK PURCHASE AGREEMENT (this “Agreement”), dated as of September 26, 2012, is by and between Square 1 Financial, Inc. a Delaware corporation (the “Company”), and the entities identified on Exhibit A (referred to herein as “Purchaser” or “Purchasers”). WITNESSETH: WHEREAS, the Company proposes to conduct an offerin |
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| January 6, 2014 |
Exhibit 10.3 Exhibit 10.3 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (the “Agreement”) is entered into as of the 23rd day of March, 2011, by and between SQUARE 1 FINANCIAL, INC., a Delaware corporation (“Company”), SQUARE 1 BANK, a North Carolina chartered commercial bank (the “Bank”), and DOUGLAS H. BOWERS (“Executive”). RECITALS WHEREAS, Company and the Bank wish to employ Executive in posit |
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| January 6, 2014 |
Exhibit 4.1 Exhibit 4.1 Exhibit 4.1 ZQ|CERT#|COY|CLS|RGSTRY|ACCT#|TRANSTYPE|RUN#|TRANS# CLASS A COMMON STOCK PAR VALUE $.01 Certificate Number ZQ00000000 THIS CERTIFIES THAT is the owner of 1 SQUARE 1 FINANCIAL, INC. INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE CLASS A COMMON STOCK THIS CERTIFICATE IS TRANSFERABLE IN CANTON, MA AND NEW YORK, NY Shares * * 000000* * * * * * * * * * * * * * |
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| November 26, 2013 |
EX-10.15 Exhibit 10.15 GUARANTEE AGREEMENT SQUARE 1 FINANCIAL, INC. Dated as of September 30, 2008 TABLE OF CONTENTS ARTICLE I DEFINITIONS AND INTERPRETATION SECTION 1.1. Definitions and Interpretation. 1 ARTICLE II POWERS, DUTIES AND RIGHTS OF THE GUARANTEE TRUSTEE SECTION 2.1. Powers and Duties of the Guarantee Trustee. 4 SECTION 2.2. Certain Rights of the Guarantee Trustee. 5 SECTION 2.3. Not R |
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| November 26, 2013 |
AMENDED AND RESTATED EMPLOYMENT AGREEMENT EX-10.9 Exhibit 10.9 AMENDED AND RESTATED EMPLOYMENT AGREEMENT THIS AMENDED AND RESTATED EMPLOYMENT AGREEMENT (this “Agreement”) dated as of March 16, 2007, amends and restates that certain Employment Agreement dated December 12, 2006 (the “Original Agreement”), is made by and between Square 1 Bank, a North Carolina-chartered commercial bank (the “Bank”), Square 1 Financial, Inc., a Delaware corpo |
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| November 26, 2013 |
SQUARE 1 FINANCIAL, INC. STOCK PURCHASE AGREEMENT EX-10.11 Exhibit 10.11 SQUARE 1 FINANCIAL, INC. STOCK PURCHASE AGREEMENT This STOCK PURCHASE AGREEMENT (this “Agreement”), dated as of March 2, 2010, is by and between Square 1 Financial, Inc. a Delaware corporation (the “Corporation”), and the entities identified on Exhibit A (collectively referred to herein as the “Purchaser”). WITNESSETH: WHEREAS, the Company proposes to conduct an offering of |
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| November 26, 2013 |
EX-10.4 Exhibit 10.4 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (the “Agreement”) is entered into as of the 4th day of October, 2011, by and between SQUARE 1 FINANCIAL, INC., a Delaware corporation (“Company”), SQUARE 1 BANK, a North Carolina chartered commercial bank (the “Bank”), and SAM BHAUMIK (“Executive”). RECITALS WHEREAS, Company and the Bank wish to employ Executive in a position of s |
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| November 26, 2013 |
Square 1 Bank Amended and Restated Corporate Incentive Plan EX-10.1 Exhibit 10.1 Square 1 Bank Amended and Restated Corporate Incentive Plan 1. Purpose. The purpose of this Amended and Restated Corporate Incentive Plan (the “CIP”) is to attract, retain and motivate key employees by providing cash and equity incentive awards to designated executive, managerial and professional employees of Square 1 Bank (the “Bank”). The CIP, as amended and restated, is eff |
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| November 26, 2013 |
EX-21.0 EXHIBIT 21.0 SUBSIDIARIES OF REGISTRANT State or Other Jurisdiction of Incorporation Percentage Owned Parent Square 1 Financial, Inc. Delaware Subsidiaries(1) Square 1 Bank North Carolina 100 % Square 1 Ventures LLC Delaware 100 Square 1 Capital Trust 1 Delaware 100 Subsidiaries of Square 1 Bank(1) Square 1 Asset Management, Inc. North Carolina 100 (1) Operations of Square 1 Financial, Inc |
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| November 26, 2013 |
EX-10.3 Exhibit 10.3 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (the “Agreement”) is entered into as of the 23rd day of March, 2011, by and between SQUARE 1 FINANCIAL, INC., a Delaware corporation (“Company”), SQUARE 1 BANK, a North Carolina chartered commercial bank (the “Bank”), and DOUGLAS H. BOWERS (“Executive”). RECITALS WHEREAS, Company and the Bank wish to employ Executive in positions |
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| November 26, 2013 |
SPLIT DOLLAR LIFE INSURANCE AGREEMENT EX-10.18 Exhibit 10.18 SPLIT DOLLAR LIFE INSURANCE AGREEMENT THIS AGREEMENT (the “Agreement”) is made and entered into this 20th day of June, 2012, by and between Square 1 Bank, a North Carolina bank, located in Durham, NC (the “Bank”), and Judith Erwin, a current employee of the Bank (hereinafter referred to as the “Employee”). INTRODUCTION WHEREAS, Employee is an officer or other highly paid emp |
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| November 26, 2013 |
SPLIT DOLLAR LIFE INSURANCE AGREEMENT EX-10.20 Exhibit 10.20 SPLIT DOLLAR LIFE INSURANCE AGREEMENT THIS AGREEMENT (the “Agreement”) is made and entered into this 15th day of August, 2013, by and between Square I Bank, a North Carolina bank, located in Durham, NC (the “Bank”), “Employee”).and PATRICK OAKES, a current employee of the Bank (hereinafter referred to as the “Employee”). INTRODUCTION WHEREAS, Employee is an officer or other |
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| November 26, 2013 |
FIXED RATE JUNIOR SUBORDINATED CONVERTIBLE DEBT SECURITY DUE 2038 EX-10.16 Exhibit 10.16 FIXED RATE JUNIOR SUBORDINATED CONVERTIBLE DEBT SECURITY DUE 2038 THIS SECURITY HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR ANY STATE SECURITIES LAWS OR ANY OTHER APPLICABLE SECURITIES LAWS. NEITHER THIS SECURITY NOR ANY INTEREST OR PARTICIPATION HEREIN MAY BE REOFFERED, SOLD, ASSIGNED, TRANSFERRED, PLEDGED, ENCUMBERED OR O |
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| November 26, 2013 |
AMENDED AND RESTATED EMPLOYMENT AGREEMENT EX-10.6 Exhibit 10.6 AMENDED AND RESTATED EMPLOYMENT AGREEMENT THIS AMENDED AND RESTATED EMPLOYMENT AGREEMENT (this “Agreement”) dated as of March 16, 2007, amends and restates that certain Employment Agreement dated December 12, 2006 (the “Original Agreement”), is made by and between Square 1 Bank, a North Carolina-chartered commercial bank (the “Bank”), Square 1 Financial, Inc., a Delaware corpo |
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| November 26, 2013 |
SQUARE 1 FINANCIAL, INC. 2009 STOCK INCENTIVE PLAN EX-10 6 filename6.htm Exhibit 10.2 SQUARE 1 FINANCIAL, INC. 2009 STOCK INCENTIVE PLAN 1. PURPOSE. The purpose of this 2009 Stock Incentive Plan (the “Plan”) is to aid Square 1 Financial, Inc., a Delaware corporation (together with its successors and assigns, the “Company”), in attracting, retaining, motivating and rewarding employees and non-employee directors of the Company or its Subsidiaries or |
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| November 26, 2013 |
SPLIT DOLLAR LIFE INSURANCE AGREEMENT EX-10 23 filename23.htm Exhibit 10.19 SPLIT DOLLAR LIFE INSURANCE AGREEMENT THIS AGREEMENT (the “Agreement”) is made and entered into this 20th day of June, 2012 by and between Square 1 Bank, a North Carolina bank, located in Durham, NC (the “Bank”), and Gregory Thompson, a current employee of the Bank (hereinafter referred to as the “Employee”). INTRODUCTION WHEREAS, Employee is an officer or oth |
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| November 26, 2013 |
EX-10.12 Exhibit 10.12 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (the “Agreement”) is made and entered into as of this 2nd day of March 2010 by and among Square 1 Financial, Inc., a Delaware corporation (the “Corporation”) and each of the other persons executing this Agreement (each, a “Holder” and collectively, the “Holders”), and is entered into in connection with the Stoc |
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| November 26, 2013 |
CORRESP Table of Contents CONFIDENTIAL TREATMENT REQUESTED Confidential Draft Submission No. |
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| November 26, 2013 |
EX-10.7 Exhibit 10.7 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (the “Agreement”) is entered into as of the 19th day of July, 2012, by and between SQUARE 1 FINANCIAL, INC., a Delaware corporation (“Company”), SQUARE 1 BANK, a North Carolina chartered commercial bank (the “Bank”), and PATRICK OAKES (“Executive”). RECITALS WHEREAS, Company and the Bank wish to employ Executive in positions of su |
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| November 26, 2013 |
EX-10.10 Exhibit 10.10 SQUARE 1 BANK AND SQUARE 1 FINANCIAL, INC. AMENDED AND RESTATED WARRANT INCENTIVE COMPENSATION PLAN ARTICLE I INTRODUCTION 1.1 General. This Plan is an incentive compensation program that is intended to provide incentive compensation to key employees of Square 1 Bank and Square 1 Financial, Inc. to encourage them to remain as employees of such entities, reward them for contr |
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| November 26, 2013 |
EX-4.1 Exhibit 4.1 Exhibit 4.1 ZQ|CERT#|COY|CLS|RGSTRY|ACCT#|TRANSTYPE|RUN#|TRANS# CLASS A COMMON STOCK PAR VALUE $.01 Certificate Number ZQ00000000 THIS CERTIFIES THAT is the owner of 1 SQUARE 1 FINANCIAL, INC. INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE CLASS A COMMON STOCK THIS CERTIFICATE IS TRANSFERABLE IN CANTON, MA AND NEW YORK, NY Shares * * 000000* * * * * * * * * * * * * * * * * |
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| November 26, 2013 |
SQUARE 1 FINANCIAL, INC. STOCK PURCHASE AGREEMENT EX-10.13 Exhibit 10.13 SQUARE 1 FINANCIAL, INC. STOCK PURCHASE AGREEMENT This STOCK PURCHASE AGREEMENT (this “Agreement”), dated as of September 26, 2012, is by and between Square 1 Financial, Inc. a Delaware corporation (the “Company”), and the entities identified on Exhibit A (referred to herein as “Purchaser” or “Purchasers”). WITNESSETH: WHEREAS, the Company proposes to conduct an offering of |
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| November 26, 2013 |
SPLIT DOLLAR LIFE INSURANCE AGREEMENT EX-10.17 Exhibit 10.17 SPLIT DOLLAR LIFE INSURANCE AGREEMENT THIS AGREEMENT (the “Agreement”) is made and entered into this 20th day of June, 2012 by and between Square 1 Bank, a North Carolina bank, located in Durham, NC (the “Bank”), and Douglas Bowers, a current employee of the Bank (hereinafter referred to as the “Employee”). INTRODUCTION WHEREAS, Employee is an officer or other highly paid em |
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| November 26, 2013 |
EX-10.5 Exhibit 10.5 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (the “Agreement”) is entered into as of the 15th day of October, 2012, by and between SQUARE 1 FINANCIAL, INC., a Delaware corporation (“Company”), SQUARE 1 BANK, a North Carolina chartered commercial bank (the “Bank”), and DIANE EARLE (“Executive”). RECITALS WHEREAS, Company and the Bank wish to employ Executive in positions of s |
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| November 26, 2013 |
EX-10.8 Exhibit 10.8 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (the “Agreement”) is entered into as of the 27th day of July, 2011, by and between SQUARE 1 FINANCIAL, INC., a Delaware corporation (“Company”), SQUARE 1 BANK, a North Carolina chartered commercial bank (the “Bank”), and GREGORY THOMPSON (“Executive”). RECITALS WHEREAS, Company and the Bank wish to employ Executive in a position o |
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| November 26, 2013 |
EX-10.14 Exhibit 10.14 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (the “Agreement”) is made and entered into as of this 26th day of September 2012 by and among Square 1 Financial, Inc., a Delaware corporation (the “Corporation”) and each of the other persons executing this Agreement (each, a “Holder” and collectively, the “Holders”), and is entered into in connection with the |
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| November 26, 2013 |
SQUARE 1 FINANCIAL, INC. ARTICLE I—STOCKHOLDERS EX-3.2 Exhibit 3.2 SQUARE 1 FINANCIAL, INC. BYLAWS ARTICLE I—STOCKHOLDERS Section 1. Annual Meeting. An annual meeting of the stockholders, for the election of Directors to succeed those whose terms expire and for the transaction of such other business as may properly come before the meeting, shall be held at such place, on such date, and at such time as the Board of Directors shall each year fix. |
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| November 26, 2013 |
EX-3.1 Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF SQUARE 1 FINANCIAL, INC. (Duly adopted in accordance with Sections 242 and 245 of the Delaware General Corporation Law) Square 1 Financial, Inc. was originally incorporated as New Holding Company and its original Certificate of Incorporation was filed with the Secretary of State of the State of Delaware on October 6, 2004. FIR |
