SEC Form 4 · accession 0001209191-16-113534
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
Apr 4, 2016
Accepted (ET)
Apr 6, 2016 · 5:52 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 Stock | Apr 4, 2016 | M | 3,704 | $19.48 | A | 11,731 | D | |
| Common StockF1 | Apr 4, 2016 | S | 3,704 | $102.5537 | D | 8,027 | D | |
| Common Stock | holding | — | — | — | 5,379 | 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 | $19.48 | Apr 4, 2016 | M | 3,704 | D | Apr 28, 2010 | Apr 28, 2016 | Common Stock | 3,704 | 0 | D |
Explanation of responses
- F1The 3,704 shares were sold through separate trades, with the sale prices ranging from $101.60 to $102.98 and at a weighted average sale price of $102.5537.
Remarks
All transactions reported in this Form 4 were affected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person effective March 2, 2016.