SEC Form 4 · accession 0001562180-16-003423
SVB FINANCIAL GROUP · SIVB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Philip C Cox
Officer — Head EMEA India & President,UK
Period of report
Nov 7, 2016
Accepted (ET)
Nov 9, 2016 · 11:59 am EST
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 | Jun 30, 2016 | A | 150 | $95.16 | A | 4,017 | D | |
| Common StockF2 | Nov 7, 2016 | S | 400 | $123.76 | D | 3,617 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- 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 400 shares were sold through separate trades, with the sale prices ranging from $123.74 to $123.77 and at a weighted average sale price of $123.76.