Philip C. Cox - 02 May 2022 Form 4 Insider Report for SVB FINANCIAL GROUP

Role
Chief Operations Officer
Signature
/s/Wei Sun, Attorney-in-Fact for Philip Cox
Issuer symbol
N/A
Transactions as of
02 May 2022
Net transactions value
-$652,445
Form type
4
Filing time
04 May 2022, 21:10:56 UTC
Previous filing
02 Feb 2022
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 +452 +6.7% 7,225 01 May 2022 Direct F1
transaction SIVB Common Stock Options Exercise +257 +3.6% 7,482 01 May 2022 Direct F1
transaction SIVB Common Stock Options Exercise +178 +2.4% 7,660 01 May 2022 Direct F1
transaction SIVB Common Stock Options Exercise +2,057 +27% 9,717 01 May 2022 Direct F1
transaction SIVB Common Stock Tax liability $39,814 -80 -0.82% $497.67 9,637 01 May 2022 Direct F2
transaction SIVB Common Stock Tax liability $455,368 -915 -9.5% $497.67 8,722 01 May 2022 Direct F2
transaction SIVB Common Stock Tax liability $100,032 -201 -2.3% $497.67 8,521 01 May 2022 Direct F2
transaction SIVB Common Stock Tax liability $57,232 -115 -1.3% $497.67 8,406 01 May 2022 Direct F2
holding SIVB Common Stock 16 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 -178 -100% $0.000000* 0 01 May 2022 Common Stock 178 Direct F1, F4
transaction SIVB Restricted Stock Unit Options Exercise $0 -2,057 -100% $0.000000* 0 01 May 2022 Common Stock 2,057 Direct F1, F5
transaction SIVB Restricted Stock Unit Options Exercise $0 -257 -50% $0.000000 257 01 May 2022 Common Stock 257 Direct F1, F6
transaction SIVB Restricted Stock Unit Options Exercise $0 -452 -33% $0.000000 902 01 May 2022 Common Stock 452 Direct F1, F7
transaction SIVB Performance Restricted Stock Unit Award $0 +2,911 $0.000000 2,911 02 May 2022 Common Stock 2,911 Direct F8, F9
transaction SIVB Restricted Stock Unit Award $0 +970 $0.000000 970 02 May 2022 Common Stock 970 Direct F1, F10
transaction SIVB Stock Option Award $0 +2,396 $0.000000 2,396 02 May 2022 Common Stock 2,396 $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.