SEC Form 4 · accession 0001209191-16-140559
SVB FINANCIAL GROUP · SIVB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Marc C Cadieux
Officer — Chief Credit Officer
Period of report
Sep 3, 2016
Accepted (ET)
Sep 8, 2016 · 4:16 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 | Sep 3, 2016 | M | 755 | — | A | 12,368 | D | |
| Common StockF2 | Sep 3, 2016 | F | 394 | $107.31 | D | 11,974 | D | |
| Common StockF3 | holding | — | — | — | 6,192 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1 | $0.00 | Sep 3, 2016 | M | 755 | D | Sep 3, 2014 | Sep 3, 2020 | Common Stock | 755 | 755 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of the Issuer's common Stock.
- F2Shares withheld by Issuer for payment of tax liability incurred upon vesting of restricted stock units.
- F3The information in this report is based on 401(k)/ESOP Plan statement dated as of June 30, 2016.