Accession Number: | 0001562180-19-005893 |
Date: | 2019-12-02 |
Issuer: | SVB FINANCIAL GROUP (SIVB) |
Original Submission Date: |
BECKER GREGORY W
3005 TASMAN DRIVE
SANTA CLARA, CA 95054
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature 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 |
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 Exercisable | Expiration 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 |
ID | footnote |
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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. |