SEC Form 4 · accession 0001562180-17-000491
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
Feb 1, 2017
Accepted (ET)
Feb 3, 2017 · 5:06 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 | Feb 1, 2017 | M | 317 | $49.18 | A | 13,442 | D | |
| Common Stock | Feb 1, 2017 | M | 2,283 | $49.18 | A | 15,725 | D | |
| Common StockF1 | Feb 1, 2017 | S | 317 | $173.0431 | D | 15,408 | D | |
| Common StockF1 | Feb 1, 2017 | S | 2,283 | $173.0431 | D | 13,125 | D | |
| Common Stock | holding | — | — | — | 6,130 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option | $49.18 | Feb 1, 2017 | M | 317 | D | Apr 30, 2011 | Apr 30, 2017 | Common Stock | 317 | 0 | D |
| Stock OptionF2 | $49.18 | Feb 1, 2017 | M | 2,283 | D | — | Apr 30, 2017 | Common Stock | 2,283 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $172.95 to $173.33; the price reported above reflects the weighted average sale price.
- F2Vests 333 share(s) on 30-Apr-2011, 650 share(s) on 30-Apr-2012, 650 share(s) on 30-Apr-2013, 650 share(s) on 30-Apr-2014