SEC Form 4 · accession 0001562180-17-000523
SVB FINANCIAL GROUP · SIVB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roger Leone
Officer — Chief Information Officer
Period of report
Feb 2, 2017
Accepted (ET)
Feb 6, 2017 · 6:24 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 StockF1 | Feb 2, 2017 | M | 133 | $0.00 | A | 804 | D | |
| Common StockF2 | Feb 2, 2017 | F | 59 | $170.93 | D | 745 | D | |
| Common StockF3 | holding | — | — | — | 43 | 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,F4 | $0.00 | Feb 2, 2017 | M | 133 | D | Feb 2, 2016 | Feb 2, 2022 | Common Stock | 133 | 266 | 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 December 31, 2016.
- F425%/4yr beginning on 02-Feb-2016.