Christopher Edmonds-Waters - Jan 19, 2022 Form 4 Insider Report for SVB FINANCIAL GROUP (SIVB)

Role
Chief Human Resources Officer
Signature
/s/Desiree Combs, Attorney-in-Fact for Christopher Edmonds-Waters
Stock symbol
SIVB
Transactions as of
Jan 19, 2022
Transactions value $
$2,401
Form type
4
Date filed
1/21/2022, 05:30 PM
Previous filing
Nov 9, 2021
Next filing
Feb 2, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SIVB Common Stock Award $2.4K +5 +0.18% $480.15 2.86K Dec 30, 2021 Direct F1
transaction SIVB Common Stock Award +3.09K +108.06% 5.94K Jan 19, 2022 Direct F2, F3
transaction SIVB Common Stock Award +1.48K +24.92% 7.42K Jan 19, 2022 Direct F2, F3
holding SIVB Common Stock 2.96K Jan 19, 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 -3.09K -100% $0.00* 0 Jan 19, 2022 Common Stock 3.09K Direct F2, F3
transaction SIVB Performance Restricted Stock Unit Options Exercise $0 -1.48K -100% $0.00* 0 Jan 19, 2022 Common Stock 1.48K 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.