GREGORY W. BECKER - 02 May 2022 Form 4 Insider Report for SVB FINANCIAL GROUP

Role
President and CEO
Signature
/s/Wei Sun, Attorney-in-Fact for Gregory Becker
Issuer symbol
N/A
Transactions as of
02 May 2022
Net transactions value
-$1,930,462
Form type
4
Filing time
04 May 2022, 21:33:23 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 Tax liability $243,361 -489 -0.58% $497.67 83,177 01 May 2022 Revocable Trust F1
transaction SIVB Common Stock Tax liability $401,620 -807 -0.97% $497.67 82,370 01 May 2022 Revocable Trust F1
transaction SIVB Common Stock Tax liability $1,015,744 -2,041 -2.5% $497.67 80,329 01 May 2022 Revocable Trust F1
transaction SIVB Common Stock Tax liability $269,737 -542 -0.67% $497.67 79,787 01 May 2022 Revocable Trust F1
transaction SIVB Common Stock Options Exercise +1,093 +1.4% 80,880 01 May 2022 Revocable Trust F2
transaction SIVB Common Stock Options Exercise +1,626 +2% 82,506 01 May 2022 Revocable Trust F2
transaction SIVB Common Stock Options Exercise +4,115 +5% 86,621 01 May 2022 Revocable Trust F2
transaction SIVB Common Stock Options Exercise +985 +1.1% 87,606 01 May 2022 Revocable Trust F2
holding SIVB Common Stock 6,181 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 -985 -100% $0.000000* 0 01 May 2022 Common Stock 985 Direct F2, F4
transaction SIVB Restricted Stock Unit Options Exercise $0 -4,115 -100% $0.000000* 0 01 May 2022 Common Stock 4,115 Direct F2, F5
transaction SIVB Restricted Stock Unit Options Exercise $0 -1,093 -50% $0.000000 1,093 01 May 2022 Common Stock 1,093 Direct F2, F6
transaction SIVB Restricted Stock Unit Options Exercise $0 -1,626 -33% $0.000000 3,250 01 May 2022 Common Stock 1,626 Direct F2, F7
transaction SIVB Performance Restricted Stock Unit Award $0 +11,649 $0.000000 11,649 02 May 2022 Common Stock 11,649 Direct F8, F9
transaction SIVB Restricted Stock Unit Award $0 +3,883 $0.000000 3,883 02 May 2022 Common Stock 3,883 Direct F2, F10
transaction SIVB Stock Option Award $0 +9,584 $0.000000 9,584 02 May 2022 Common Stock 9,584 $497.67 Direct F11
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Shares withheld by Issuer for payment of tax liability incurred upon vesting of restricted stock units.
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 Each restricted stock unit represents a contingent right to receive one share of the Issuer's common Stock.
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.