SEC Form 4 · accession 0001209191-15-011139
SVB FINANCIAL GROUP · SIVB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John China
Officer — Head of Relationship Banking
Period of report
Feb 6, 2015
Accepted (ET)
Feb 10, 2015 · 10:28 am 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 6, 2015 | M | 1,890 | $48.76 | A | 7,518 | D | |
| Common Stock | Feb 6, 2015 | M | 174 | $45.11 | A | 7,692 | D | |
| Common Stock | Feb 6, 2015 | S | 64 | $125.09 | D | 7,628 | D | |
| Common StockF1 | Feb 6, 2015 | S | 750 | $125.0906 | D | 6,878 | D | |
| Common Stock | holding | — | — | — | 5,275 | 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 | $48.76 | Feb 6, 2015 | M | 1,890 | D | Apr 29, 2009 | Apr 29, 2015 | Common Stock | 1,890 | 0 | D |
| Stock Option | $45.11 | Feb 6, 2015 | M | 174 | D | Jul 7, 2009 | Jul 7, 2015 | Common Stock | 174 | 0 | D |
Explanation of responses
- F1The 750 shares were sold through separate trades, with the sale prices ranging from $125.09 to $125.091 and at a weighted average sale price of $125.0906.