Christopher Edmonds-Waters - May 2, 2022 Form 4 Insider Report for SVB FINANCIAL GROUP (SIVB)

Role
Chief Human Resources Officer
Signature
/s/Wei Sun, Attorney-in-Fact for Christopher Edmonds-Waters
Stock symbol
SIVB
Transactions as of
May 2, 2022
Transactions value $
-$388,183
Form type
4
Date filed
5/4/2022, 09:00 PM
Previous filing
Mar 2, 2022
Next filing
May 5, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SIVB Common Stock Options Exercise +1.03K +66.28% 2.58K May 1, 2022 Direct F1
transaction SIVB Common Stock Options Exercise +154 +5.97% 2.73K May 1, 2022 Direct F1
transaction SIVB Common Stock Options Exercise +253 +9.26% 2.99K May 1, 2022 Direct F1
transaction SIVB Common Stock Options Exercise +135 +4.52% 3.12K May 1, 2022 Direct F1
transaction SIVB Common Stock Tax liability -$38.3K -77 -2.47% $497.67 3.04K May 1, 2022 Direct F2
transaction SIVB Common Stock Tax liability -$33.3K -67 -2.2% $497.67 2.98K May 1, 2022 Direct F2
transaction SIVB Common Stock Tax liability -$62.7K -126 -4.23% $497.67 2.85K May 1, 2022 Direct F2
transaction SIVB Common Stock Tax liability -$254K -510 -17.89% $497.67 2.34K May 1, 2022 Direct F2
holding SIVB Common Stock 3.01K May 2, 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 -135 -100% $0.00* 0 May 1, 2022 Common Stock 135 Direct F1, F4
transaction SIVB Restricted Stock Unit Options Exercise $0 -1.03K -100% $0.00* 0 May 1, 2022 Common Stock 1.03K Direct F1, F5
transaction SIVB Restricted Stock Unit Options Exercise $0 -154 -50% $0.00 154 May 1, 2022 Common Stock 154 Direct F1, F6
transaction SIVB Restricted Stock Unit Options Exercise $0 -253 -33.38% $0.00 505 May 1, 2022 Common Stock 253 Direct F1, F7
transaction SIVB Performance Restricted Stock Unit Award $0 +1.6K $0.00 1.6K May 2, 2022 Common Stock 1.6K Direct F8, F9
transaction SIVB Restricted Stock Unit Award $0 +533 $0.00 533 May 2, 2022 Common Stock 533 Direct F1, F10
transaction SIVB Stock Option Award $0 +1.32K $0.00 1.32K May 2, 2022 Common Stock 1.32K $497.67 Direct F11
* 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.
F10 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.
F11 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.
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 Restricted stock units are subject to cliff vest on May 1, 2022.
F6 25%/4yr beginning on 01-May-2019.
F7 25%/4yr beginning on 01-May-2020.
F8 Each performance-based restricted stock unit represents a contingent right to receive one share of the Issuer's common Stock.
F9 Performance-based restricted stock units (PRSUs) are subject to both performance-based and time-based vesting and scheduled to vest on January 31, 2025.