Christopher Edmonds-Waters - 19 Jan 2022 Form 4 Insider Report for SVB FINANCIAL GROUP

Role
Chief Human Resources Officer
Signature
/s/Desiree Combs, Attorney-in-Fact for Christopher Edmonds-Waters
Issuer symbol
N/A
Transactions as of
19 Jan 2022
Net transactions value
+$2,401
Form type
4
Filing time
21 Jan 2022, 17:30:51 UTC
Previous filing
09 Nov 2021
Next filing
02 Feb 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SIVB Common Stock Award $2,401 +5 +0.18% $480.15 2,855 30 Dec 2021 Direct F1
transaction SIVB Common Stock Award +3,085 +108% 5,940 19 Jan 2022 Direct F2, F3
transaction SIVB Common Stock Award +1,480 +25% 7,420 19 Jan 2022 Direct F2, F3
holding SIVB Common Stock 2,964 19 Jan 2022 By 401(k)/ESOP F4

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 Performance Restricted Stock Unit Options Exercise $0 -3,085 -100% $0.000000* 0 19 Jan 2022 Common Stock 3,085 Direct F2, F3
transaction SIVB Performance Restricted Stock Unit Options Exercise $0 -1,480 -100% $0.000000* 0 19 Jan 2022 Common Stock 1,480 Direct F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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 To the extent deemed earned on January 19, 2022, these awards are scheduled to complete their time-based vesting, and cliff vest on January 31, 2022.
F3 Each performance-based restricted stock unit represents a contingent right to receive one share of the Issuer's common Stock.
F4 The information in this report is based on 401(k)/ESOP Plan statement dated as of December 31, 2021.