SEC Form 4 · accession 0001562180-17-002598
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
Aug 1, 2017
Accepted (ET)
Aug 3, 2017 · 7:46 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 | Jun 30, 2017 | A | 76 | $146.302 | A | 2,872 | D | |
| Common Stock | Aug 1, 2017 | M | 906 | $105.18 | A | 3,778 | D | |
| Common Stock | Aug 1, 2017 | M | 1,175 | $71.11 | A | 4,953 | D | |
| Common Stock | Aug 1, 2017 | M | 356 | $129.81 | A | 5,309 | D | |
| Common Stock | Aug 1, 2017 | M | 272 | $129.81 | A | 5,581 | D | |
| Common Stock | Aug 1, 2017 | M | 857 | $107.98 | A | 6,438 | D | |
| Common StockF2 | Aug 1, 2017 | S | 797 | $182.8125 | D | 5,641 | D | |
| Common Stock | Aug 1, 2017 | S | 709 | $182.74 | D | 4,932 | D | |
| Common Stock | Aug 1, 2017 | S | 912 | $182.81 | D | 4,020 | D | |
| Common StockF3 | Aug 1, 2017 | S | 306 | $182.7434 | D | 3,714 | D | |
| Common StockF4 | Aug 1, 2017 | S | 300 | $182.955 | D | 3,414 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF5 | $129.81 | Aug 1, 2017 | M | 356 | D | — | May 1, 2022 | Common Stock | 356 | 710 | D |
| Stock OptionF5 | $129.81 | Aug 1, 2017 | M | 272 | D | — | May 1, 2022 | Common Stock | 272 | 543 | D |
| Stock OptionF6 | $107.98 | Aug 1, 2017 | M | 857 | D | — | Apr 29, 2021 | Common Stock | 857 | 857 | D |
| Stock OptionF7 | $105.18 | Aug 1, 2017 | M | 906 | D | — | May 2, 2023 | Common Stock | 906 | 2,716 | D |
| Stock OptionF8 | $71.11 | Aug 1, 2017 | M | 1,175 | D | — | Apr 30, 2020 | Common Stock | 1,175 | 0 | D |
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).
- F2This transaction was executed in multiple trades at prices ranging from $182.81 USD to $182.815 USD; the price reported above reflects the weighted average sale price.
- F3This transaction was executed in multiple trades at prices ranging from $182.74 USD to $182.81 USD; the price reported above reflects the weighted average sale price.
- F4This transaction was executed in multiple trades at prices ranging from $182.91 USD to $183.00 USD; the price reported above reflects the weighted average sale price.
- F525%/4yr beginning on 01-May-2016.
- F625%/4yr beginning on 29-Apr-2015.
- F725%/4yr beginning on 02-May-2017.
- F825%/4yr beginning on 30-Apr-2014.