SEC Form 4 · accession 0001209191-16-135124
SVB FINANCIAL GROUP · SIVB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael L Dreyer
Officer — Chief Operations Officer
Period of report
Aug 1, 2016
Accepted (ET)
Aug 3, 2016 · 12:36 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 StockF1 | holding | — | — | — | 9 | I | By 401(k)/ESOP | |
| Common Stock | holding | — | — | — | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF2,F3 | $0.00 | Aug 1, 2016 | A | 3,030 | A | Aug 1, 2017 | Aug 1, 2023 | Common Stock | 3,030 | 3,030 | D |
Explanation of responses
- F1The information in this report is based on 401(k)/ESOP Plan statement dated as of June 30, 2016.
- F2Restricted stock units are subject to annual vesting in equal installments on August 1, 2017, August 1, 2018, August 1, 2019, and August 1, 2020.
- F3Each restricted stock unit represents a contingent right to receive one share of the Issuer's common Stock.