Insider · CIK 0001395226

Bhaumik Sam

Reports to the SEC for 2 companies · PALO ALTO, CA

sec.gov

Transactions

Companies

Filings

CIK

0001395226

Forms 4 and 5

Insider transactions

46 trades

Date	Company	Role	Code	Shares	Price	Value	Shares after
2015-10-06	SQUARE 1 FINANCIAL INCStock Option (Right to Buy)D Disposition to Issuer	EVP-Silicon Valley Banking	DDisposition to Issuer	−24K sh	—	—	0
2015-10-06	SQUARE 1 FINANCIAL INCRestricted Stock UnitsD Disposition to Issuer	EVP-Silicon Valley Banking	DDisposition to Issuer	−9,435 sh	—	—	0
2015-10-06	SQUARE 1 FINANCIAL INCD Disposition to Issuer	EVP-Silicon Valley Banking	DDisposition to Issuer	−34.5K sh	—	—	0
2015-10-06	SQUARE 1 FINANCIAL INCD Disposition to Issuer	EVP-Silicon Valley Banking	DDisposition to Issuer	−15.9K sh	—	—	0
2015-08-31	SQUARE 1 FINANCIAL INCStock Option (Right to Buy)M Exercise/Conversion	EVP-Silicon Valley Banking	MExercise/Conversion	−18K sh	—	—	24,000
2015-08-31	SQUARE 1 FINANCIAL INCM Exercise/Conversion	EVP-Silicon Valley Banking	MExercise/Conversion	+18K sh	$6.00	+$108K	34,467
2015-08-28	SQUARE 1 FINANCIAL INCM Exercise/Conversion	EVP-Silicon Valley Banking	MExercise/Conversion	+18K sh	$6.00	+$108K	20,778
2015-08-28	SQUARE 1 FINANCIAL INCStock Option (Right to Buy)M Exercise/Conversion	EVP-Silicon Valley Banking	MExercise/Conversion	−18K sh	—	—	42,000
2015-08-28	SQUARE 1 FINANCIAL INCF Tax Payment	EVP-Silicon Valley Banking	FTax Payment	−4,311 sh	$25.05	−$108K	16,467
2015-03-03	SQUARE 1 FINANCIAL INCF Tax Payment	EVP-Silicon Valley Banking	FTax Payment	−375 sh	$26.00	−$9,750	25,338
2015-03-02	SQUARE 1 FINANCIAL INCA Award	EVP-Silicon Valley Banking	AAward	+1,626 sh	—	—	25,917
2015-03-02	SQUARE 1 FINANCIAL INCF Tax Payment	EVP-Silicon Valley Banking	FTax Payment	−204 sh	$27.68	−$5,646.72	25,713
2014-11-15	SQUARE 1 FINANCIAL INCJ Other	EVP-Silicon Valley Banking	JOther	−3,667 sh	—	—	7,333
2014-11-15	SQUARE 1 FINANCIAL INCJ Other	EVP-Silicon Valley Banking	JOther	+3,667 sh	—	—	16,302
2014-11-15	SQUARE 1 FINANCIAL INCF Tax Payment	EVP-Silicon Valley Banking	FTax Payment	−1,379 sh	$21.43	−$29.6K	14,923
2014-03-27	SQUARE 1 FINANCIAL INCP Purchase	EVP-Silicon Valley Banking	PPurchase	+2,778 sh	$18.00	+$50K	2,778
2011-09-17	HTGCHercules Capital, Inc.F Tax Payment	Senior Managing Director	FTax Payment	−230 sh	$9.38	−$2,157.4	196,274
2011-09-16	HTGCHercules Capital, Inc.F Tax Payment	Senior Managing Director	FTax Payment	−459 sh	$9.38	−$4,305.42	196,504
2011-08-17	HTGCHercules Capital, Inc.F Tax Payment	Senior Managing Director	FTax Payment	−230 sh	$9.19	−$2,113.7	196,963
2011-08-16	HTGCHercules Capital, Inc.F Tax Payment	Senior Managing Director	FTax Payment	−459 sh	$9.11	−$4,181.49	197,193
2011-08-15	HTGCHercules Capital, Inc.F Tax Payment	Senior Managing Director	FTax Payment	−276 sh	$9.23	−$2,547.48	197,652
2011-07-17	HTGCHercules Capital, Inc.F Tax Payment	Senior Managing Director	FTax Payment	−230 sh	$10.33	−$2,375.9	27,414
2011-07-16	HTGCHercules Capital, Inc.F Tax Payment	Senior Managing Director	FTax Payment	−459 sh	$10.33	−$4,741.47	27,644
2011-06-17	HTGCHercules Capital, Inc.F Tax Payment	Senior Managing Director	FTax Payment	−230 sh	$10.28	−$2,364.4	196,256
2011-06-16	HTGCHercules Capital, Inc.F Tax Payment	Senior Managing Director	FTax Payment	−459 sh	$10.34	−$4,746.06	196,486
2011-05-31	HTGCHercules Capital, Inc.S Sale	Senior Managing Director	SSale	−20K sh	$10.77	−$215K	196,945
2011-05-17	HTGCHercules Capital, Inc.F Tax Payment	Senior Managing Director	FTax Payment	−230 sh	$10.37	−$2,385.1	216,945
2011-05-16	HTGCHercules Capital, Inc.F Tax Payment	Senior Managing Director	FTax Payment	−459 sh	$10.35	−$4,750.65	217,175
2011-04-17	HTGCHercules Capital, Inc.F Tax Payment	Senior Managing Director	FTax Payment	−230 sh	$10.33	−$2,375.9	217,634
2011-04-16	HTGCHercules Capital, Inc.F Tax Payment	Senior Managing Director	FTax Payment	−459 sh	$10.33	−$4,741.47	217,864
2011-03-30	HTGCHercules Capital, Inc.A Award	Senior Managing Director	AAward	+45K sh	—	—	218,323
2010-12-21	HTGCHercules Capital, Inc.F Tax Payment	Senior Managing Director	FTax Payment	−18.7K sh	$10.38	−$194K	171,539
2010-12-21	HTGCHercules Capital, Inc.M Exercise/Conversion	Senior Managing Director	MExercise/Conversion	+34.3K sh	$4.21	+$144K	190,204
2010-12-21	HTGCHercules Capital, Inc. · Option to Purchase Common StockM Exercise/Conversion	Senior Managing Director	MExercise/Conversion	−34.3K sh	—	—	30,684
2010-12-17	HTGCHercules Capital, Inc.F Tax Payment	Senior Managing Director	FTax Payment	−230 sh	$10.10	−$2,323	153,218
2010-11-17	HTGCHercules Capital, Inc.F Tax Payment	Senior Managing Director	FTax Payment	−230 sh	$10.19	−$2,343.7	153,448
2010-05-27	HTGCHercules Capital, Inc.P Purchase	Senior Managing Director	PPurchase	+500 sh	$8.97	+$4,485	148,266
2010-03-16	HTGCHercules Capital, Inc.A Award	Senior Managing Director	AAward	+60K sh	—	—	146,281
2010-03-10	HTGCHercules Capital, Inc.S Sale	Senior Managing Director	SSale	−3,500 sh	$10.25	−$35.9K	86,281
2009-12-31	HTGCHercules Capital, Inc.A Award	Senior Managing Director	AAward	+292 sh	—	—	89,782
2009-12-23	HTGCHercules Capital, Inc.S Sale	Senior Managing Director	SSale	−5,000 sh	$10.41	−$52.1K	89,490
2009-03-17	HTGCHercules Capital, Inc.A Award	Senior Managing Director	AAward	+30K sh	—	—	78,983
2009-03-17	HTGCHercules Capital, Inc. · Options to Purchase Common StockA Award	Senior Managing Director	AAward	+65K sh	—	—	292,533
2008-07-30	HTGCHercules Capital, Inc.A Award	Senior Managing Director	AAward	+3,000 sh	—	—	47,383
2008-07-30	HTGCHercules Capital, Inc. · Options to Purchase Common StockA Award	Senior Managing Director	AAward	+6,000 sh	—	—	227,533
2008-05-16	HTGCHercules Capital, Inc.P Purchase	Senior Managing Director	PPurchase	+500 sh	$10.13	+$5,064	44,383

Recent filings

Accepted (ET)
Oct 84
SQUARE 1 FINANCIAL INC0001104659-15-069904
SEC(opens sec.gov)
Aug 314
SQUARE 1 FINANCIAL INC0001329799-15-000091
SEC(opens sec.gov)
Mar 44
SQUARE 1 FINANCIAL INC0001329799-15-000036
SEC(opens sec.gov)
Nov 184
SQUARE 1 FINANCIAL INC0001329799-14-000059
SEC(opens sec.gov)
Mar 314
Square 1 Financial Inc0001225208-14-009251
SEC(opens sec.gov)
Sep 204
Bhaumik Sam0001209191-11-048455
SEC(opens sec.gov)
Aug 184
Bhaumik Sam0001209191-11-044808
SEC(opens sec.gov)

Companies

Address

C/O HERCULES TECHNOLOGY GROWTH CAPITAL 400 HAMILTON AVENUE

PALO ALTO, CA, 94301