SEC Form 4 · accession 0001209191-15-077533
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
Jun 30, 2015
Accepted (ET)
Oct 30, 2015 · 6:37 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 | Jun 30, 2015 | A | 217 | $97.861 | A | 6,666 | D | |
| Common Stock | Oct 28, 2015 | D | 1,000 | $122.50 | D | 5,666 | D | |
| Common StockF2 | holding | — | — | — | 5,377 | I | By 401(k)/ESOP |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were acquired under the Issuer's Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c).
- F2The information in this report is based on 401(k)/ESOP Plan statement dated as of September 30, 2015.