SEC Form 4 · accession 0001562180-17-000473
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
Jan 31, 2017
Accepted (ET)
Feb 2, 2017 · 7:20 pm 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 Stock | Jan 31, 2017 | M | 812 | $64.37 | A | 5,381 | D | |
| Common Stock | Jan 31, 2017 | M | 1,175 | $71.11 | A | 6,556 | D | |
| Common Stock | Jan 31, 2017 | M | 1,715 | $107.98 | A | 8,271 | D | |
| Common Stock | Jan 31, 2017 | M | 272 | $129.81 | A | 8,543 | D | |
| Common Stock | Jan 31, 2017 | M | 234 | $107.98 | A | 8,777 | D | |
| Common Stock | Jan 31, 2017 | M | 356 | $129.81 | A | 9,133 | D | |
| Common StockF1 | Jan 31, 2017 | S | 315 | $170.6834 | D | 8,818 | D | |
| Common StockF2 | Jan 31, 2017 | S | 198 | $171.2651 | D | 8,620 | D | |
| Common StockF1 | Jan 31, 2017 | S | 1,395 | $170.6834 | D | 7,225 | D | |
| Common StockF1 | Jan 31, 2017 | S | 814 | $170.6834 | D | 6,411 | D | |
| Common StockF1 | Jan 31, 2017 | S | 241 | $170.6834 | D | 6,170 | D | |
| Common StockF1 | Jan 31, 2017 | S | 193 | $170.6834 | D | 5,977 | D | |
| Common StockF1 | Jan 31, 2017 | S | 545 | $170.6834 | D | 5,432 | D | |
| Common StockF3 | Feb 1, 2017 | S | 1,400 | $174.0268 | D | 4,032 | D | |
| Common StockF4 | Feb 1, 2017 | S | 1,450 | $174.4906 | D | 2,582 | D | |
| Common StockF5 | Feb 1, 2017 | S | 450 | $176.2689 | D | 2,132 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF6 | $129.81 | Jan 31, 2017 | M | 272 | D | — | May 1, 2022 | Common Stock | 272 | 815 | D |
| Stock OptionF6 | $129.81 | Jan 31, 2017 | M | 356 | D | — | May 1, 2022 | Common Stock | 356 | 1,066 | D |
| Stock OptionF7 | $107.98 | Jan 31, 2017 | M | 234 | D | — | Apr 29, 2021 | Common Stock | 234 | 232 | D |
| Stock OptionF7 | $107.98 | Jan 31, 2017 | M | 1,715 | D | — | Apr 29, 2021 | Common Stock | 1,715 | 1,714 | D |
| Stock OptionF8 | $71.11 | Jan 31, 2017 | M | 1,175 | D | — | Apr 30, 2020 | Common Stock | 1,175 | 1,175 | D |
| Stock OptionF9 | $64.37 | Jan 31, 2017 | M | 812 | D | — | May 1, 2019 | Common Stock | 812 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $170.5 to $171.23; the price reported above reflects the weighted average sale price.
- F2This transaction was executed in multiple trades at prices ranging from $171.26 to $171.27; the price reported above reflects the weighted average sale price.
- F3This transaction was executed in multiple trades at prices ranging from $174 to $174.11; the price reported above reflects the weighted average sale price.
- F4This transaction was executed in multiple trades at prices ranging from $174.13 to $175.1; the price reported above reflects the weighted average sale price.
- F5This transaction was executed in multiple trades at prices ranging from $176.25 to $176.3; the price reported above reflects the weighted average sale price.
- F625%/4yr beginning on 01-May-2016.
- F725%/4yr beginning on 29-Apr-2015.
- F825%/4yr beginning on 30-Apr-2014.
- F925%/4yr beginning on 01-May-2013.