SEC Form 4 · accession 0001562180-18-002464
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
May 10, 2018
Accepted (ET)
May 14, 2018 · 6:52 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 Stock | May 10, 2018 | M | 250 | $129.81 | A | 1,066 | D | |
| Common Stock | May 10, 2018 | M | 250 | $107.98 | A | 1,316 | D | |
| Common Stock | May 10, 2018 | M | 175 | $178.39 | A | 1,491 | D | |
| Common Stock | May 10, 2018 | M | 75 | $71.11 | A | 1,566 | D | |
| Common Stock | May 10, 2018 | M | 250 | $105.18 | A | 1,816 | D | |
| Common StockF1 | May 10, 2018 | S | 175 | $320.26 | D | 1,641 | D | |
| Common StockF2 | May 10, 2018 | S | 250 | $320.3552 | D | 1,391 | D | |
| Common StockF3 | May 10, 2018 | S | 250 | $320.438 | D | 1,141 | D | |
| Common StockF4 | May 10, 2018 | S | 500 | $320.378 | D | 641 | D | |
| Common Stock | May 10, 2018 | S | 75 | $320.50 | D | 566 | D | |
| Common StockF5 | May 10, 2018 | S | 250 | $320.422 | D | 316 | D | |
| Common Stock | holding | — | — | — | 320 | 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 OptionF6 | $178.39 | May 10, 2018 | M | 175 | D | — | May 2, 2024 | Common Stock | 175 | 1,041 | D |
| Stock OptionF7 | $129.81 | May 10, 2018 | M | 250 | D | — | May 1, 2022 | Common Stock | 250 | 478 | D |
| Stock OptionF8 | $107.98 | May 10, 2018 | M | 250 | D | — | Apr 29, 2021 | Common Stock | 250 | 333 | D |
| Stock OptionF9 | $105.18 | May 10, 2018 | M | 250 | D | — | May 2, 2023 | Common Stock | 250 | 1,312 | D |
| Stock OptionF10 | $71.11 | May 10, 2018 | M | 75 | D | — | Apr 30, 2020 | Common Stock | 75 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $320.26 USD to $320.26 USD; the price reported above reflects the weighted average sale price.
- F1025%/4yr beginning on 30-Apr-2014.
- F2This transaction was executed in multiple trades at prices ranging from $320.26 USD to $320.46 USD; the price reported above reflects the weighted average sale price.
- F3This transaction was executed in multiple trades at prices ranging from $320.37 USD to $320.50 USD; the price reported above reflects the weighted average sale price.
- F4This transaction was executed in multiple trades at prices ranging from $320.20 USD to $320.47 USD; the price reported above reflects the weighted average sale price.
- F5This transaction was executed in multiple trades at prices ranging from $320.35 USD to $320.48 USD; the price reported above reflects the weighted average sale price.
- F625%/4yr beginning on 02-May-2018.
- F725%/4yr beginning on 01-May-2016.
- F825%/4yr beginning on 29-Apr-2015.
- F925%/4yr beginning on 02-May-2017.