Karen Hon - 02 May 2022 Form 4 Insider Report for SVB FINANCIAL GROUP

Role
Chief Accounting Officer
Signature
/s/Wei Sun, Attorney-in-Fact for Karen Hon
Issuer symbol
N/A
Transactions as of
02 May 2022
Net transactions value
-$100,529
Form type
4
Filing time
04 May 2022, 20:59:27 UTC
Previous filing
02 Jul 2021
Next filing
05 May 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 Options Exercise +89 +2.8% 3,286 01 May 2022 Direct F1
transaction SIVB Common Stock Options Exercise +217 +6.6% 3,503 01 May 2022 Direct F1
transaction SIVB Common Stock Options Exercise +118 +3.4% 3,621 01 May 2022 Direct F1
transaction SIVB Common Stock Options Exercise +154 +4.3% 3,775 01 May 2022 Direct F1
transaction SIVB Common Stock Tax liability $37,823 -76 -2% $497.67 3,699 01 May 2022 Direct F2
transaction SIVB Common Stock Tax liability $26,874 -54 -1.5% $497.67 3,645 01 May 2022 Direct F2
transaction SIVB Common Stock Tax liability $20,404 -41 -1.1% $497.67 3,604 01 May 2022 Direct F2
transaction SIVB Common Stock Tax liability $15,428 -31 -0.86% $497.67 3,573 01 May 2022 Direct F2
holding SIVB Common Stock 324 02 May 2022 By 401(k)/ESOP F3

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 -118 -100% $0.000000* 0 01 May 2022 Common Stock 118 Direct F1, F4
transaction SIVB Restricted Stock Unit Options Exercise $0 -154 -50% $0.000000 154 01 May 2022 Common Stock 154 Direct F1, F5
transaction SIVB Restricted Stock Unit Options Exercise $0 -89 -50% $0.000000 88 01 May 2022 Common Stock 89 Direct F1, F5
transaction SIVB Restricted Stock Unit Options Exercise $0 -217 -33% $0.000000 433 01 May 2022 Common Stock 217 Direct F1, F6
transaction SIVB Restricted Stock Unit Award $0 +728 $0.000000 728 02 May 2022 Common Stock 728 Direct F1, F7
transaction SIVB Stock Option Award $0 +599 $0.000000 599 02 May 2022 Common Stock 599 $497.67 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 The information in this report is based on 401(k)/ESOP Plan statement dated as of March 31, 2022.
F4 25%/4yr beginning on 01-May-2018.
F5 25%/4yr beginning on 01-May-2019.
F6 25%/4yr beginning on 01-May-2020.
F7 Restricted stock units are subject to annual vesting in four equal installments on the anniversary date of the grant, 25% on each of the successive anniversary dates.
F8 Stock options are subject to annual vesting in four equal installments on the anniversary date of the grant, 25% on each of the successive anniversary dates.