Document:

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* * * * * * * * * * * * * * * * * * 

	 *
	  
	 * * 000000* * * * * * * * * * * * * * * * * 

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	 * * * 000000* * * * * * * * * * * * * * * * 

	 *
	  
	 * * * * 000000* * * * * * * * * * * * * * * 

	 *
	  
	 * * * * * 000000* * * * * * * * * * * * * * 

CUSIP 85223W 10 1 
 SEE REVERSE FOR CERTAIN DEFINITIONS 
 MR. SAMPLE
& MR. SAMPLE &MR. SAMPLE &MR. SAMPLE 
 ** Mr. Alexander David Sample **** Mr. Alexander
David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample 
 **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David

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Sample **** Mr. Alexander David Sample **** Mr. Alexander 
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Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. 
 Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** 

Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample ****
Mr. Alexander David Sample **** Mr. Alexander David Sample 
 **** Mr. Alexander David Sample ****
Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David 
 Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander

 David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander
David Sample **** Mr. Alexander David Sample **** Mr. 
 Alexander David Sample **** Mr. Alexander
David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** 
 Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Alexander David Sample **** Mr. Sample **** Mr. Sample

 *** ZERO HUNDRED THOUSAND ZERO HUNDRED AND ZERO*** 

**000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares***
 

*000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****
 

000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****0
 

00000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****00
 

0000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000
 

000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****0000
 

00**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****00000
 

0**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000
 

**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000*
 

*Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**
 

Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**Shares****000000**S
 
 FULLY-PAID AND NON-ASSESSABLE SHARES OF CLASS A COMMON STOCK, $.01 PAR VALUE PER SHARE, OF 

SQUARE 1 FINANCIAL, INC. 
 The shares represented by this certificate are transferable only on the stock transfer books of the Corporation by the holder of 

record hereof, or by his duly authorized attorney or legal representative, upon surrender of this Certificate properly
endorsed. 
 This Certificate and the shares represented hereby, are issued and shall be held subject to all of
the provisions of the Certificate 
 of Incorporation of the Corporation and any amendments thereto (copies of
which are on file with the Corporation and with the 
 Transfer Agent), to all of which provisions the holder, by
acceptance hereof, assents. 
 This Certificate is not valid unless countersigned and registered by the Transfer
Agent and Registrar. The shares represented 
 by this certificate are not insured by the Federal Deposit
Insurance Corporation or any other government agency. 
 Witness the facsimile seal of the Corporation and the
facsimile signatures of its duly authorized officers. 
 President and Chief Executive Officer 

Vice President and Corporate Secretary 
 DATED DD-MMM-YYYY 
 COUNTERSIGNED AND REGISTERED:

 COMPUTERSHARE TRUST COMPANY, N.A. 
 TRANSFER AGENT AND REGISTRAR 
 By 

AUTHORIZED SIGNATURE 
 SQUARE 1 FINANCIAL, INC. SEAL 2004 DELAWARE 

SECURITY INSTRUCTIONS ON REVERSE 
 1234567 
 Printed by DATA BUSINESS FORMS

 PO BOX 43004, Providence, RI 02940-3004 

MR A SAMPLE 
 DESIGNATION (IF ANY) 
 ADD 1 

ADD 2 
 ADD 3 
 ADD 4 

CUSIP XXXXXX XX X 
 Holder ID XXXXXXXXXX 
 Insurance Value 1,000,000.00

 Number of Shares 123456 
 DTC 12345678 123456789012345 
 Certificate Numbers

 1234567890/1234567890 
 1234567890/1234567890 
 1234567890/1234567890

 1234567890/1234567890 
 1234567890/1234567890 
 1234567890/1234567890

 Total Transaction 
 Num/No. 
 123456 

Denom. 
 123456 
 Total 

1234567 

  
 

 
  
 SQUARE 1
FINANCIAL, INC. 
 THE BOARD OF DIRECTORS OF THE CORPORATION IS AUTHORIZED BY RESOLUTION(S), FROM TIME TO TIME
ADOPTED, TO PROVIDE FOR THE 
 ISSUANCE OF DIFFERENT CLASSES OF COMMON STOCK OR SERIAL PREFERRED STOCK IN CLASSES
OR SERIES AND TO FIX AND STATE THE 
 VOTING POWERS, DESIGNATIONS, PREFERENCES AND RELATIVE, PARTICIPATING,
OPTIONAL, OR OTHER SPECIAL RIGHTS OF THE SHARES OF 
 EACH SUCH CLASSES OR SERIES AND THE QUALIFICATIONS,
LIMITATIONS AND RESTRICTIONS THEREOF. THE CORPORATION WILL FURNISH TO 
 ANY SHAREHOLDER UPON REQUEST AND WITHOUT
CHARGE A FULL DESCRIPTION OF EACH CLASS OF STOCK AND ANY SERIES THEREOF. THE 
 SHARES REPRESENTED BY THIS
CERTIFICATE MAY NOT BE CUMULATIVELY VOTED ON ANY MATTER. 
 THE SHARES REPRESENTED HEREBY HAVE NOT BEEN
REGISTERED UNDER THE UNITED STATES SECURITIES ACT OF 1933, AS AMENDED, AND 
 MAY NOT BE SOLD, TRANSFERRED,
ASSIGNED, PLEDGED, OR HYPOTHECATED ABSENT AN EFFECTIVE REGISTRATION THEREOF UNDER SUCH ACT 
 OR COMPLIANCE WITH
RULE 144 PROMULGATED UNDER SUCH ACT, OR UNLESS THE CORPORATION HAS RECEIVED AN OPINION OF COUNSEL, 
 REASONABLY
SATISFACTORY TO THE CORPORATION AND ITS COUNSEL, THAT SUCH REGISTRATION IS NOT REQUIRED. 
 The following
abbreviations, when used in the inscription on the face of this certificate, shall be construed as though they were written out in full 
 according to applicable laws or regulations: 
 TEN
COM—as tenants in common UNIF GIFT MIN ACT—.Custodian . 
 (Cust) (Minor) 

TEN ENT—as tenants by the entireties under Uniform Gifts to Minors Act. 

(State) 
 JT TEN—as joint tenants with right of survivorship UNIF TRF MIN ACT—.Custodian (until age .) 
 and not as tenants in common (Cust) 
 .under
Uniform Transfers to Minors Act . 
 (Minor) (State) 

Additional abbreviations may also be used though not in the above list. 

PLEASE INSERT SOCIAL SECURITY OR OTHER IDENTIFYING NUMBER OF ASSIGNEE 

For value received,             hereby sell, assign and
transfer unto 
 (PLEASE PRINT OR TYPEWRITE NAME AND ADDRESS, INCLUDING POSTAL ZIP CODE, OF ASSIGNEE) 

Shares 
 of the common stock represented by the within Certificate, and do hereby irrevocably constitute and appoint 
 Attorney 
 to transfer the said stock on the books
of the within-named Corporation with full power of substitution in the premises. 
 Signature(s) Guaranteed:
Medallion Guarantee Stamp 
 THE SIGNATURE(S) SHOULD BE GUARANTEED BY AN ELIGIBLE GUARANTOR INSTITUTION (Banks,

 Stockbrokers, Savings and Loan Associations and Credit Unions) WITH MEMBERSHIP IN AN APPROVED 

SIGNATURE GUARANTEE MEDALLION PROGRAM, PURSUANT TO S.E.C. RULE 17Ad-15. 

Dated:
            20             
 Signature:              
 Signature:              
 Notice: The signature to this assignment must correspond with the name 
 as written upon the face of the certificate, in every particular, 
 without alteration or enlargement, or any change whatever. 
 The IRS requires that we report the cost basis of certain shares 
 acquired after January 1, 2011. If your shares were covered by 
 the legislation and you have sold or transferred the shares and 
 requested a specific cost basis calculation method, we have 
 processed as requested. If you did not specify a cost basis 
 calculation method, we have defaulted to the first in, first out 
 (FIFO) method. Please visit our website or consult your tax 
 advisor if you need additional information about cost basis. 
 If you do not keep in contact with us or do not have any 
 activity in your account for the time periods specified by state 
 law, your property could become subject to state unclaimed 
 property laws and transferred to the appropriate state. 
 SECURITY INSTRUCTIONS 
 THIS IS WATREMARKED PAPER
DO NOT ACCEPT WITHOUT NOTHING WATERMARK. HOLD TO LIGHT TO VERIFY WATERMARK 
 1234567Exhibit 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 effective January 1, 2013. The CIP remain in effect until amended or terminated by the Board of
Directors. Each plan year (the “Plan Year) shall commence on the first business day of each fiscal year of the Bank. The first Plan Year under the CIP is the period January 1, 2013 through and including December 31, 2013. 

The CIP is designed to align key employee interests more closely with the interests of shareholders, and to create value for the Bank by
maximizing the achievement of corporate, business unit and individual performance goals. 
 A Participant’s award under this CIP will
take into account overall corporate performance as well as, for certain Participants, his or her own business unit’s performance, and the Participant’s performance against his or her own designated individual performance criteria. 

Overall corporate goals, business unit goals, and individual performance criteria shall take into account metrics designed to ensure that the
incentive compensation provided for in the CIP does not encourage unnecessary or excessive risk-taking by any Participant in the CIP. 
  

	2.	Administration. 

 The CIP will be administered by the Compensation Committee of the Board
of Directors of the Bank (“Committee”), which will have the power and authority to: (a) determine the material features of the CIP in any Plan Year, (b) establish guidelines for determining individual awards and rules for the
operation and administration of the CIP, including the implementation of any required deferral or clawback requirements applicable to awards, (c) designate the employees or classes of employees eligible to participate in the CIP,
(d) determine the level of funding for the CIP in each Plan Year, and (e) determine the amount of any award for the Bank’s Chief Executive Officer. At the beginning of each Plan Year, the Committee shall review the CIP and recommend
for approval by the Board of Directors any amendments or revisions thereto which it deems appropriate or desirable. 
 Subject to review and
approval by the Committee, the Chief Executive Officer shall (a) approve individual performance objectives for his direct reports, (b) evaluate the performance of, and determine the level of award for such direct reports, and
(c) review and approve the proposed awards for all Participants (other than the Chief Executive Officer). 
 Subject to review and
approval by the Chief Executive Officer, each Executive Vice President of the Bank shall (a) approve individual performance objectives for other Participants in his or her specific line of reporting authority and (b) evaluate the
performance of, and determine the level of award for, such Participants. 

 Except as expressly otherwise provided herein, or as prohibited by any regulatory body having
jurisdiction over Square 1 or by any other applicable laws, rules or regulations, the Committee may delegate one or more of its powers or responsibilities to one or more of its members and/or to one or more officers of the Bank. 

Unless otherwise expressly provided in the CIP, each determination made and each action taken by the Committee pursuant to the CIP or any
instrument or agreement relating to the CIP (a) shall be within the discretion of the Committee, (b) may be made at any time, and (c) shall be final, binding and conclusive for all purposes on all persons, including, but not limited
to, Participants in the CIP, their legal representatives and beneficiaries and employees of the Bank and its affiliates. 
  

	3.	Eligibility. 

 Executive, managerial and professional employees of the Bank are eligible
to participate in the CIP upon designation by the Committee as participants (each, a “Participant”) and based upon such specific criteria as the Committee, in consultation, with the Bank’s Chief Executive Officer, may deem
appropriate. Notwithstanding anything in the CIP to the contrary, designation as a Participant for any Plan Year will not establish the Participant’s eligibility to participate in any subsequent Plan Year. 

 

	4.	Awards. 

 (a) Prior to or within 90 days after the commencement of each calendar
year (the “Plan Year”), the Committee shall designate the following in an award program established for such Plan Year: 

(i) The employees who will participate in the CIP for the Plan Year. The Committee may, after the 90th day of the Plan Year,
designate additional employees, including but not limited to, newly hired or newly promoted employees, to participate in the CIP for the Plan Year, provided, however, that any awards earned by any such Participant for participation for such partial
Plan Year will be pro-rated based on the number of days during the Plan Year in which the Participant participated in the CIP. 

(ii) The Performance Metrics, as defined herein, that will apply to the determination of awards for the Plan Year. 

(iii) The Performance Goals, as defined herein, to be met by the Bank or, as appropriate, Bank business units for Participants
to earn awards for the Plan Year and a payout matrix or formula for such Performance Metrics and Performance Goals. 
 (iv)
The individual performance criteria, if any, applicable to a Participant for the Plan Year. 

 (b) All awards under the CIP will be made in the form of a cash payment and/or an equity-based
award under the then effective equity compensation plan of Square 1 Financial, Inc. An equity-based award will also be subject to the terms of the applicable equity compensation plan. Awards will be determined by reference to (i) a
Participant’s base salary as of the last day of the Plan Year and a specified percentage (expressed as a decimal or fixed by a formula which will determine such percentage) of such base salary determined by the Committee to apply to the
Participant for the Plan Year based on the payout matrix or formula for the Performance Metrics and Performance Goals established for the Plan Year or (ii) any other method deemed appropriate by the Committee. 

(c) A Participant who terminates employment, either voluntarily or involuntarily, before the payment date for awards for the
Plan Year is thereby ineligible for an award under the CIP; provided, however, that the Committee may, in its sole discretion, authorize the full or partial payments of awards to a Participant who terminates employment prior to the payment date by
reason of death, disability or in such other circumstances as the Committee may determine.  
 (d) Each Participant for the
Plan Year shall receive a written communication (“a notice of participation”) from the Bank identifying (i) the applicable Performance Metrics, Performance Goals and any individual performance goals for the Plan Year, (ii) the
award opportunity, (iii) the form of potential awards (i.e., cash and/or equity) and (iv) and other applicable terms and conditions. 
  

	5.	Performance Metrics. 

 For each Plan Year, the Committee shall designate one or more of
the corporate financial criteria (the “Performance Metrics”) for use in determining an award for a Participant for such Plan Year; provided, however, that the Committee retains the discretion to determine whether an award will be paid
under any one or more of such Performance Metrics. 
  

	6.	Performance Goals. 

 For each Plan Year, the Committee shall establish one or more
specific, objective performance goals (the “Performance Goals”) for each of the Performance Metrics designated by the Committee for the Plan Year, against which actual Bank or Bank business unit performance is to be measured to determine
the amount or level of awards. Performance Goals established by the Committee may be described by means of a matrix or formula, providing for goals resulting in the payment of awards under the CIP. 

	7.	Determination & Payment of Awards.  

 As soon as practicable after
the end of the Plan Year, the amount of the award, if any, earned by each Participant will be determined in accordance with the authority and procedures set forth in Section 2 and based on the application of the criteria and goals specified
pursuant to Sections 5 and 6 and any individual performance criteria established for the Participant; provided, however, that the Committee or the Chief Executive Officer, as appropriate, may, on a discretionary basis, reduce the amount that
would otherwise be payable to a Participant under the CIP based upon such factors deemed as they deem relevant. Cash payments and/or the distribution of equity-based awards will occur as soon as administratively practicable after determination of
the awards, unless payment of the cash portion of an award has been deferred pursuant to Section 9(f) hereof. 
  

	8.	Termination, Suspension or Modification of the CIP. 

 The Board of Directors may at any
time, with or without notice, terminate, suspend, or modify the CIP in whole or in part. The Committee may also correct any defect, supply any omission or reconcile any inconsistency in the CIP in the manner and to the extent it shall deem desirable
to carry the CIP into effect. 
  

	9.	Miscellaneous. 

 (a) No award under this CIP shall be subject in any manner to
anticipation, alienation, sale, transfer, assignment, pledge, encumbrance, charge, garnishment, execution, or levy of any kind, either voluntary or involuntary, including any such liability which is for alimony or other payments for the support of a
spouse or former spouse, or for any other relative of a Participant prior to actually being received by the Participant or his/her designated beneficiary, and any attempt to anticipate, alienate, sell, transfer, assign, pledge encumber, charge, or
otherwise dispose of any right to such award shall be void. 
 (b) Neither the adoption of the CIP, the determination of eligibility to
participate in the CIP, nor the granting of an award under the CIP shall confer upon any Participant any right to continue in the employ of the Bank or any of its affiliates or to interfere in any way with the right of the Bank or the affiliate to
terminate such employment at any time. 
 (c) The Bank shall have the right to withhold the amount of any tax attributable to amounts
payable or benefits distributable under the CIP. 
 (d) The CIP and all determinations under the CIP shall be governed by and construed in
accordance with the laws of the State of North Carolina. 

 (e) Nothing in the CIP shall be construed as limiting the authority of the Committee, the Board
of Directors, the Bank or any affiliate of the Bank to establish any other compensation plan, or as in any way limiting its or their authority to pay bonuses or supplemental compensation to any persons employed by the Bank or any affiliate of the
Bank, whether or not such person is a Participant in this CIP and regardless of how the amount of such compensation or bonuses is determined. 

(f) A Participant may elect to defer payment of his/her cash award under the CIP if deferral of an award under the CIP is permitted pursuant
to the terms of a deferred compensation program of the Bank existing at the time the election to defer is permitted to be made, and the Participant complies with the terms of such program. 

(g) It is intended that all cash awards made under the CIP shall constitute short-term deferrals for purposes of the regulations issued under
Internal Revenue Code Section 409A and that all provisions of this CIP shall be interpreted in all events in a manner consistent with such intent, to the extent 409A could apply.

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