SEC Form 4 · accession 0001209191-15-077324
SVB FINANCIAL GROUP · SIVB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roger Leone
Officer — Chief Information Officer
Period of report
Oct 27, 2015
Accepted (ET)
Oct 29, 2015 · 7:34 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000719739
Table I — non-derivative securities
No Table I lines on this filing.
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 | Oct 27, 2015 | A | 1,430 | A | Oct 27, 2016 | Oct 27, 2022 | Common Stock | 1,430 | 1,430 | D |
| Stock OptionF3 | $121.10 | Oct 27, 2015 | A | 1,441 | A | Oct 27, 2016 | Oct 27, 2022 | Common Stock | 1,441 | 1,441 | D |
Explanation of responses
- F1Restricted stock units are subject to annual vesting in equal installments on October 27, 2016, October 27, 2017, October 27, 2018, and October 27, 2019.
- F2Each restricted stock unit represents a contingent right to receive one share of the Issuer's common Stock.
- F3Stock options are subject to annual vesting in equal installments on October 27, 2016, October 27, 2017, October 27, 2018, and October 27, 2019.