SEC Form 4 · accession 0001209191-15-016229
SVB FINANCIAL GROUP · SIVB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Marc C Cadieux
Officer — Chief Credit Officer
Period of report
Feb 17, 2015
Accepted (ET)
Feb 19, 2015 · 6:07 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 17, 2015 | M | 1,758 | $48.76 | A | 8,375 | D | |
| Common Stock | Feb 17, 2015 | M | 762 | $48.76 | A | 9,137 | D | |
| Common Stock | Feb 17, 2015 | S | 2,520 | $125.48 | D | 6,617 | D | |
| Common Stock | holding | — | — | — | 6,089 | 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 17, 2015 | M | 1,758 | D | Apr 29, 2009 | Apr 29, 2015 | Common Stock | 1,758 | 0 | D |
| Stock Option | $48.76 | Feb 17, 2015 | M | 762 | D | Apr 29, 2009 | Apr 29, 2015 | Common Stock | 762 | 0 | D |
Remarks
The exercise and sale of the stock options in this Form 4 were affected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person effective December 3, 2014.