SEC Form 4 · accession 0001209191-15-086058
SVB FINANCIAL GROUP · SIVB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregory W Becker
Officer — President and CEO
Period of report
Jun 30, 2015
Accepted (ET)
Dec 18, 2015 · 2:46 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 | 217 | $97.861 | A | 37,633 | I | Revocable Trust |
| Common Stock | Dec 16, 2015 | M | 7,000 | $60.37 | A | 44,633 | I | Revocable Trust |
| Common StockF2 | Dec 16, 2015 | S | 7,000 | $125.0671 | D | 37,633 | I | Revocable Trust |
| Common StockF3 | holding | — | — | — | 3,527 | 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 | Dec 16, 2015 | M | 7,000 | D | Apr 27, 2012 | Apr 27, 2018 | Common Stock | 7,000 | 17,000 | 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 7,000 shares were sold through separate trades, with the sale prices ranging from $125.00 to $125.22 and at a weighted average sale price of $125.0671.
- F3The information in this report is based on 401(k)/ESOP Plan statement dated as of September 30, 2015.
Remarks
All 12-16-2015 transactions reported in this Form 4 were affected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person effective November 11, 2015.