SEC Form 4 · accession 0001209191-15-079399
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
Nov 6, 2015
Accepted (ET)
Nov 10, 2015 · 6:17 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 Stock | Nov 6, 2015 | M | 3,000 | $60.37 | A | 10,739 | D | |
| Common StockF1 | Nov 6, 2015 | S | 3,000 | $138.352 | D | 7,739 | D | |
| Common StockF2 | 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 | $60.37 | Nov 6, 2015 | M | 3,000 | D | Apr 27, 2012 | Apr 27, 2018 | Common Stock | 3,000 | 0 | D |
Explanation of responses
- F1The 3,000 shares were sold through separate trades, with the sale prices ranging from $138.35 to $138.36 and at a weighted average sale price of $138.352.
- F2The information in this report is based on 401(k)/ESOP Plan statement dated as of September 30, 2015.