SEC Form 4 · accession 0001209191-16-134350

SVB FINANCIAL GROUP · SIVB

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Financial Officer

Period of report

Jul 26, 2016

Accepted (ET)

Jul 28, 2016 · 7:42 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^F1	Jun 30, 2016	A	214	$80.886	A	15,079	D
Common Stock	Jul 26, 2016	M	2,000	$60.37	A	17,079	D
Common Stock	Jul 26, 2016	M	2,500	$45.19	A	19,579	D
Common Stock	Jul 26, 2016	M	2,000	$64.37	A	21,579	D
Common Stock	Jul 26, 2016	S	5	$103.01	D	21,574	D
Common Stock	Jul 26, 2016	S	100	$103.07	D	21,474	D
Common Stock	Jul 26, 2016	S	100	$103.14	D	21,374	D
Common Stock	Jul 26, 2016	S	3	$103.24	D	21,371	D
Common Stock	Jul 26, 2016	S	400	$103.25	D	20,971	D
Common Stock	Jul 26, 2016	S	400	$103.265	D	20,571	D
Common Stock	Jul 26, 2016	S	400	$103.27	D	20,171	D
Common Stock	Jul 26, 2016	S	100	$103.05	D	20,071	D
Common Stock	Jul 26, 2016	S	100	$103.10	D	19,971	D
Common Stock	Jul 26, 2016	S	100	$103.29	D	19,871	D
Common Stock	Jul 26, 2016	S	4,695	$103.20	D	15,176	D
Common Stock	Jul 26, 2016	S	1,774	$103.21	D	13,402	D
Common Stock	Jul 26, 2016	S	201	$103.22	D	13,201	D
Common Stock^F2	holding	—	—		—	305	I	By 401(k)/ESOP

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option	$45.19	Jul 26, 2016	M	2,500	D	Jul 27, 2011	Jul 27, 2017	Common Stock	2,500	0	D
Stock Option	$60.37	Jul 26, 2016	M	2,000	D	Apr 27, 2012	Apr 27, 2018	Common Stock	2,000	6,000	D
Stock Option	$64.37	Jul 26, 2016	M	2,000	D	May 1, 2013	May 1, 2019	Common Stock	2,000	11,400	D

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 information in this report is based on 401(k)/ESOP Plan statement dated as of June 30, 2016.