Daniel J. Beck - 07 Jun 2021 Form 4 Insider Report for SVB FINANCIAL GROUP

Role
Chief Financial Officer
Signature
/s/Desiree Combs, Attorney-in-Fact for Daniel Beck
Issuer symbol
N/A
Transactions as of
07 Jun 2021
Net transactions value
-$2,337,660
Form type
4
Filing time
09 Jun 2021, 11:30:42 UTC
Next filing
03 Dec 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SIVB Common Stock Options Exercise +421 +9.6% 4,804 05 Jun 2021 Direct F1
transaction SIVB Common Stock Options Exercise +684 +14% 5,488 05 Jun 2021 Direct F1
transaction SIVB Common Stock Tax liability $125,897 -209 -3.8% $602.38* 5,279 05 Jun 2021 Direct F2
transaction SIVB Common Stock Tax liability $204,809 -340 -6.4% $602.38* 4,939 05 Jun 2021 Direct F2
transaction SIVB Common Stock Options Exercise $124,406 +734 +15% $169.49 5,673 07 Jun 2021 Direct
transaction SIVB Common Stock Options Exercise $529,973 +1,735 +31% $305.46 7,408 07 Jun 2021 Direct
transaction SIVB Common Stock Options Exercise $215,119 +859 +12% $250.43 8,267 07 Jun 2021 Direct
transaction SIVB Common Stock Options Exercise $243,645 +1,318 +16% $184.86 9,585 07 Jun 2021 Direct
transaction SIVB Common Stock Sale $2,760,322 -4,619 -48% $597.60* 4,966 07 Jun 2021 Direct F3
transaction SIVB Common Stock Sale $16,155 -27 -0.54% $598.32* 4,939 07 Jun 2021 Direct F4
transaction SIVB Common Stock Sale $343,620 -575 -12% $597.60* 4,364 08 Jun 2021 Direct
holding SIVB Common Stock 30 07 Jun 2021 By 401(k)/ESOP

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction SIVB Restricted Stock Unit Options Exercise $0 -421 -100% $0.000000* 0 05 Jun 2021 Common Stock 421 Direct F1, F5
transaction SIVB Restricted Stock Unit Options Exercise $0 -684 -100% $0.000000* 0 05 Jun 2021 Common Stock 684 Direct F1, F5
transaction SIVB Stock Option Options Exercise $0 -734 -100% $0.000000* 0 07 Jun 2021 Common Stock 734 $169.49 Direct F5
transaction SIVB Stock Option Options Exercise $0 -1,735 -75% $0.000000 578 07 Jun 2021 Common Stock 1,735 $305.46 Direct F6
transaction SIVB Stock Option Options Exercise $0 -859 -33% $0.000000 1,718 07 Jun 2021 Common Stock 859 $250.43 Direct F7
transaction SIVB Stock Option Options Exercise $0 -1,318 -25% $0.000000 3,952 07 Jun 2021 Common Stock 1,318 $184.86 Direct F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each restricted stock unit represents a contingent right to receive one share of the Issuer's common Stock.
F2 Shares withheld by Issuer for payment of tax liability incurred upon vesting of restricted stock units.
F3 This transaction was executed in multiple trades at prices ranging from $597.18 to $598.08; the price reported above reflects the weighted average sale price.
F4 This transaction was executed in multiple trades at prices ranging from $598.22 to $598.57; the price reported above reflects the weighted average sale price.
F5 25%/4yr beginning on 05-Jun-2017.
F6 25%/4yr beginning on 01-May-2018.
F7 25%/4yr beginning on 01-May-2019.
F8 25%/4yr beginning on 01-May-2020.

Remarks:

All transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person effective May 6, 2021.