SEC Form 4 · accession 0001209191-15-042996
SVB FINANCIAL GROUP · SIVB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kamran F Husain
Officer — Chief Accounting Officer
Period of report
May 12, 2015
Accepted (ET)
May 14, 2015 · 7:58 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 Stock | May 12, 2015 | M | 700 | $60.37 | A | 1,311 | D | |
| Common Stock | May 12, 2015 | M | 800 | $64.37 | A | 2,111 | D | |
| Common Stock | May 12, 2015 | M | 450 | $107.98 | A | 2,561 | D | |
| Common Stock | May 12, 2015 | M | 200 | $49.83 | A | 2,761 | D | |
| Common Stock | May 12, 2015 | M | 800 | $71.11 | A | 3,561 | D | |
| Common Stock | May 12, 2015 | S | 500 | $135.10 | D | 3,061 | D | |
| Common Stock | May 12, 2015 | S | 700 | $135.0701 | D | 2,361 | D | |
| Common StockF1 | May 12, 2015 | S | 800 | $135.029 | D | 1,561 | D | |
| Common StockF2 | May 12, 2015 | S | 450 | $134.9906 | D | 1,111 | D | |
| Common StockF3 | May 12, 2015 | S | 200 | $135.0701 | D | 911 | D | |
| Common StockF4 | May 12, 2015 | S | 800 | $134.996 | D | 111 | D | |
| Common Stock | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option | $64.37 | May 12, 2015 | M | 800 | D | May 1, 2013 | May 1, 2019 | Common Stock | 800 | 672 | D |
| Stock Option | $60.37 | May 12, 2015 | M | 700 | D | Apr 27, 2012 | Apr 27, 2018 | Common Stock | 700 | 94 | D |
| Stock Option | $107.98 | May 12, 2015 | M | 450 | D | Apr 29, 2015 | Apr 29, 2021 | Common Stock | 450 | 1,666 | D |
| Stock Option | $49.83 | May 12, 2015 | M | 200 | D | Apr 27, 2011 | Apr 27, 2017 | Common Stock | 200 | 78 | D |
| Stock Option | $71.11 | May 12, 2015 | M | 800 | D | Apr 30, 2014 | Apr 30, 2020 | Common Stock | 800 | 1,200 | D |
Explanation of responses
- F1The 800 shares were sold through separate trades, with the sale prices ranging from $135.0201 to $135.0701 and at a weighted average sale price of $135.029.
- F2The 450 shares were sold through separate trades, with the sale prices ranging from $134.9901 to $134.991 and at a weighted average sale price of $134.9906.
- F3The 200 shares were sold through separate trades, with the sale prices ranging from $135.07 to $135.0701 and at a weighted average sale price of $135.0701.
- F4The 800 shares were sold through separate trades, with the sale prices ranging from $134.92 to $135.0301 and at a weighted average sale price of $134.996.