Form Type: 4

SEC EDGAR Link
Accession Number:0001562180-19-005893
Date:2019-12-02
Issuer: SVB FINANCIAL GROUP (SIVB)
Original Submission Date:

Reporting Person:

BECKER GREGORY W

3005 TASMAN DRIVE SANTA CLARA, CA 95054

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2019-06-28 A 127 a $166.46 62,013 indirect
COMMON STOCK 2019-12-02 M 4,828 a $71.11 66,841 indirect
COMMON STOCK 2019-12-02 S 2,597 d $232.83 64,244 indirect
COMMON STOCK 2019-12-02 S 1,376 d $233.98 62,868 indirect
COMMON STOCK 2019-12-02 S 855 d $234.66 62,013 indirect
COMMON STOCK 2019-12-02 0 $0.00 6,242 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTION 71.11 2019-12-02 deemed execution date M 4,828 (d) 2020-04-30 common stock 4,828 $71.11 10,000 direct
Footnotes
IDfootnote
f1 these 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).
f2 the transactions reported were effected pursuant to a rule 10b5-1 trading plan entered into by the reporting person effective october 31, 2019.
f3 this transaction was executed in multiple trades at prices ranging from $232.44 to $233.42; the price reported above reflects the weighted average sale price.
f4 this transaction was executed in multiple trades at prices ranging from $233.52 to $234.36; the price reported above reflects the weighted average sale price.
f5 this transaction was executed in multiple trades at prices ranging from $234.52 to $234.83; the price reported above reflects the weighted average sale price.
f6 the information in this report is based on 401(k)/esop plan statement dated as of september 30, 2019.
f7 25%/4yr beginning on 30-apr-2013.
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