SEC Form 4 · accession 0001562180-17-003447
SVB FINANCIAL GROUP · SIVB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kamran F Husain
Officer — Chief Accounting Officer
Period of report
Oct 31, 2017
Accepted (ET)
Nov 2, 2017 · 7:37 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 | 145 | $146.302 | A | 890 | D | |
| Common Stock | Oct 31, 2017 | M | 475 | $71.11 | A | 1,365 | D | |
| Common Stock | Oct 31, 2017 | M | 475 | $107.98 | A | 1,840 | D | |
| Common Stock | Oct 31, 2017 | M | 600 | $129.81 | A | 2,440 | D | |
| Common Stock | Oct 31, 2017 | M | 450 | $105.18 | A | 2,890 | D | |
| Common StockF2 | Oct 31, 2017 | S | 450 | $220.0205 | D | 2,440 | D | |
| Common StockF3 | Oct 31, 2017 | S | 145 | $220.05 | D | 2,295 | D | |
| Common StockF4 | Oct 31, 2017 | S | 475 | $220.3616 | D | 1,820 | D | |
| Common StockF5 | Oct 31, 2017 | S | 745 | $220.0842 | D | 1,075 | D | |
| Common StockF6 | Oct 31, 2017 | S | 475 | $220.3456 | D | 600 | D | |
| Common StockF7 | Oct 31, 2017 | S | 600 | $220.2515 | D | 0 | D | |
| Common Stock | holding | — | — | — | 313 | 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 OptionF8 | $129.81 | Oct 31, 2017 | M | 600 | D | — | May 1, 2022 | Common Stock | 600 | 728 | D |
| Stock OptionF9 | $107.98 | Oct 31, 2017 | M | 475 | D | — | Apr 29, 2021 | Common Stock | 475 | 583 | D |
| Stock OptionF10 | $105.18 | Oct 31, 2017 | M | 450 | D | — | May 2, 2023 | Common Stock | 450 | 1,562 | D |
| Stock OptionF11 | $71.11 | Oct 31, 2017 | M | 475 | D | — | Apr 30, 2020 | Common Stock | 475 | 75 | 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).
- F1025%/4yr beginning on 02-May-2017.
- F1125%/4yr beginning on 30-Apr-2014.
- F2This transaction was executed in multiple trades at prices ranging from $219.97 USD to $220.11 USD; the price reported above reflects the weighted average sale price.
- F3This transaction was executed in multiple trades at prices ranging from $220.05 USD to $220.05 USD; the price reported above reflects the weighted average sale price.
- F4This transaction was executed in multiple trades at prices ranging from $220.31 USD to $220.45 USD; the price reported above reflects the weighted average sale price.
- F5This transaction was executed in multiple trades at prices ranging from $220.00 USD to $220.13 USD; the price reported above reflects the weighted average sale price.
- F6This transaction was executed in multiple trades at prices ranging from $220.31 USD to $220.475 USD; the price reported above reflects the weighted average sale price.
- F7This transaction was executed in multiple trades at prices ranging from $220.11 USD to $220.31 USD; the price reported above reflects the weighted average sale price.
- F825%/4yr beginning on 01-May-2016.
- F925%/4yr beginning on 29-Apr-2015.