SEC Form 4 · accession 0001209191-15-009600
SVB FINANCIAL GROUP · SIVB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bruce Wallace
Officer — Chief Operating Officer
Period of report
Feb 2, 2015
Accepted (ET)
Feb 4, 2015 · 7:41 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000719739
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 2, 2015 | M | 2,025 | $49.18 | A | 8,803 | D | |
| Common StockF1 | Feb 2, 2015 | S | 2,025 | $114.7119 | D | 6,778 | D | |
| Common Stock | holding | — | — | — | 230 | I | By 401(k)/ESOP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option | $49.18 | Feb 2, 2015 | M | 2,025 | D | Apr 30, 2011 | Apr 30, 2017 | Common Stock | 2,025 | 0 | D |
Explanation of responses
- F1The 2,025 shares were sold through separate trades, with the sale prices ranging from $114.52 to $114.871 and at a weighted average sale price of $114.7119.