SEC Form 4 · accession 0001209191-15-078635
SVB FINANCIAL GROUP · SIVB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher Edmonds-Waters
Officer — Head of Human Resources
Period of report
Jun 30, 2015
Accepted (ET)
Nov 5, 2015 · 12:57 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 StockF1 | Jun 30, 2015 | A | 40 | $97.861 | A | 4,654 | D | |
| Common StockF2 | Nov 3, 2015 | S | 1,675 | $124.1744 | D | 2,979 | D | |
| Common Stock | Nov 3, 2015 | M | 1,500 | $60.37 | A | 4,654 | D | |
| Common Stock | Nov 3, 2015 | M | 1,575 | $64.37 | A | 3,154 | D | |
| Common Stock | Nov 3, 2015 | M | 1,475 | $71.11 | A | 1,579 | D | |
| Common StockF3 | Nov 3, 2015 | S | 4,150 | $124.5277 | D | 104 | D | |
| Common StockF4 | Nov 3, 2015 | S | 400 | $123.8933 | D | 4,254 | D | |
| Common StockF5 | holding | — | — | — | 2,607 | 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 | $60.37 | Nov 3, 2015 | M | 1,500 | D | Apr 27, 2012 | Apr 27, 2018 | Common Stock | 1,500 | 0 | D |
| Stock Option | $64.37 | Nov 3, 2015 | M | 1,575 | D | May 1, 2013 | May 1, 2019 | Common Stock | 1,575 | 1,575 | D |
| Stock Option | $71.11 | Nov 3, 2015 | M | 1,475 | D | Apr 30, 2014 | Apr 30, 2020 | Common Stock | 1,475 | 2,950 | D |
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 1,675 shares were sold through separate trades, with the sale prices ranging from $123.58 to $124.39 and at a weighted average sale price of $124.1744.
- F3The 4,150 shares were sold through separate trades, with the sale prices ranging from $124.12 to $125.08 and at a weighted average sale price of $124.5277.
- F4The 400 shares were sold through separate trades, with the sale prices ranging from $123.57 to $124.09 and at a weighted average sale price of $123.8933.
- F5The information in this report is based on 401(k)/ESOP Plan statement dated as of September 30, 2015.