SEC Form 4 · accession 0001562180-19-001617
SVB FINANCIAL GROUP · SIVB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John China
Officer — Head of Technology Banking
Period of report
Feb 28, 2019
Accepted (ET)
Mar 4, 2019 · 7:20 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 28, 2019 | M | 4,600 | $71.11 | A | 22,172 | D | |
| Common Stock | Feb 28, 2019 | M | 6,600 | $64.37 | A | 28,772 | D | |
| Common StockF1 | Feb 28, 2019 | S | 4,600 | $249.1176 | D | 24,172 | D | |
| Common StockF1 | Feb 28, 2019 | S | 6,600 | $249.1176 | D | 17,572 | D | |
| Common Stock | holding | — | — | — | 5,656 | 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 OptionF2 | $71.11 | Feb 28, 2019 | M | 4,600 | D | — | Apr 30, 2020 | Common Stock | 4,600 | 4,000 | D |
| Stock OptionF3 | $64.37 | Feb 28, 2019 | M | 6,600 | D | — | May 1, 2019 | Common Stock | 6,600 | 0 | D |
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $249.00 to $249.51; the price reported above reflects the weighted average sale price.
- F225%/4yr beginning on 30-Apr-2013.
- F325%/4yr beginning on 01-May-2012.