Michael Zuckert - May 2, 2022 Form 4 Insider Report for SVB FINANCIAL GROUP (SIVB)

Role
General Counsel
Signature
/s/Wei Sun, Attorney-in-Fact for Michael Zuckert
Stock symbol
SIVB
Transactions as of
May 2, 2022
Transactions value $
-$427,499
Form type
4
Date filed
5/4/2022, 09:23 PM
Previous filing
Feb 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 +180 +1.77% 10.3K May 1, 2022 Direct F1
transaction SIVB Common Stock Options Exercise +325 +3.14% 10.7K May 1, 2022 Direct F1
transaction SIVB Common Stock Options Exercise +147 +1.38% 10.8K May 1, 2022 Direct F1
transaction SIVB Common Stock Tax liability -$82.6K -166 -1.54% $497.67 10.6K May 1, 2022 Direct F2
transaction SIVB Common Stock Tax liability -$45.8K -92 -0.86% $497.67 10.6K May 1, 2022 Direct F2
transaction SIVB Common Stock Tax liability -$37.8K -76 -0.72% $497.67 10.5K May 1, 2022 Direct F2
transaction SIVB Common Stock Tax liability -$261K -525 -5.01% $497.67 9.96K May 1, 2022 Direct F2
transaction SIVB Common Stock Options Exercise +1.03K +10.33% 11K May 1, 2022 Direct F1
holding SIVB Common Stock 117 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 -147 -100% $0.00* 0 May 1, 2022 Common Stock 147 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 -180 -50% $0.00 180 May 1, 2022 Common Stock 180 Direct F1, F6
transaction SIVB Restricted Stock Unit Options Exercise $0 -325 -33.33% $0.00 650 May 1, 2022 Common Stock 325 Direct F1, F7
transaction SIVB Performance Restricted Stock Unit Award $0 +2.18K $0.00 2.18K May 2, 2022 Common Stock 2.18K Direct F8, F9
transaction SIVB Restricted Stock Unit Award $0 +728 $0.00 728 May 2, 2022 Common Stock 728 Direct F1, F10
transaction SIVB Stock Option Award $0 +1.8K $0.00 1.8K May 2, 2022 Common Stock 1.8K $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.