SEC Form 4 · accession 0001209191-16-114513
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 14, 2016
Accepted (ET)
Apr 18, 2016 · 12:37 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 Stock | Apr 14, 2016 | M | 645 | $49.18 | A | 8,672 | D | |
| Common Stock | Apr 14, 2016 | S | 645 | $110.00 | D | 8,027 | D | |
| Common StockF1 | holding | — | — | — | 5,539 | 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 | $49.18 | Apr 14, 2016 | M | 645 | D | Apr 30, 2011 | Apr 30, 2017 | Common Stock | 645 | 1,855 | D |
Explanation of responses
- F1The information in this report is based on 401(k)/ESOP Plan statement dated as of March 31, 2016.
Remarks
All transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person effective March 2, 2016.