SEC Form 4 · accession 0001209191-15-037152
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
Apr 27, 2015
Accepted (ET)
Apr 29, 2015 · 8:01 pm EDT
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 StockF1,F2 | Apr 27, 2015 | M | 250 | — | A | 7,028 | D | |
| Common StockF3 | Apr 27, 2015 | F | 94 | $127.84 | D | 6,934 | D | |
| Common StockF4 | holding | — | — | — | 260 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1,F2 | $0.00 | Apr 27, 2015 | M | 250 | D | Apr 27, 2012 | Apr 27, 2018 | Common Stock | 250 | 0 | D |
Explanation of responses
- F1Previously reported restricted stock units vested on 4/27/2015.
- F2Each restricted stock unit represents a contingent right to receive one share of the Issuer's common Stock.
- F3Shares withheld by Issuer for payment of tax liability incurred upon vesting of restricted stock units.
- F4The information in this report is based on 401(k)/ESOP Plan statement dated as of March 31, 2015.