Statement of Changes in Beneficial Ownership (4)
November 15 2016 - 5:39PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Husain Kamran F
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2. Issuer Name
and
Ticker or Trading Symbol
SVB FINANCIAL GROUP
[
SIVB
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Chief Accounting Officer
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(Last)
(First)
(Middle)
3005 TASMAN DRIVE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
11/10/2016
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(Street)
SANTA CLARA, CA 95054
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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6/30/2016
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A
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V
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214.00
(1)
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A
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$95.16
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1187.00
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D
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Common Stock
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11/10/2016
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M
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308.00
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A
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$107.98
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1495.00
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D
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Common Stock
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11/10/2016
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M
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78.00
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A
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$49.83
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1573.00
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D
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Common Stock
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11/10/2016
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M
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672.00
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A
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$64.37
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2245.00
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D
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Common Stock
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11/10/2016
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M
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650.00
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A
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$71.11
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2895.00
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D
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Common Stock
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11/10/2016
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M
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94.00
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A
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$60.37
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2989.00
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D
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Common Stock
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11/10/2016
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S
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431.00
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D
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$138.5655
(2)
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2558.00
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D
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Common Stock
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11/10/2016
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S
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756.00
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D
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$138.6989
(3)
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1802.00
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D
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Common Stock
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11/10/2016
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S
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672.00
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D
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$138.5654
(4)
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1130.00
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D
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Common Stock
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11/10/2016
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S
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94.00
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D
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$138.47
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1036.00
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D
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Common Stock
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11/10/2016
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S
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650.00
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D
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$138.4003
(5)
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386.00
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D
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Common Stock
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11/10/2016
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S
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308.00
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D
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$138.3384
(6)
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78.00
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D
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Common Stock
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11/10/2016
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S
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78.00
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D
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$138.29
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0.00
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D
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Common Stock
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11/15/2016
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M
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300.00
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A
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$107.98
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300.00
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D
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Common Stock
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11/15/2016
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S
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300.00
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D
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$148.62
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0.00
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D
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Common Stock
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304.00
(7)
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I
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By 401(k)/ESOP
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option
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$107.98
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11/10/2016
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M
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308.00
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(8)
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4/29/2021
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Common Stock
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308.00
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$0.00
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1358.00
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D
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Stock Option
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$71.11
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11/10/2016
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M
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650.00
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(8)
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4/30/2020
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Common Stock
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650.00
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$0.00
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550.00
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D
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Stock Option
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$64.37
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11/10/2016
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M
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672.00
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(8)
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5/1/2019
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Common Stock
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672.00
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$0.00
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0.00
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D
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Stock Option
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$60.37
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11/10/2016
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M
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94.00
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(8)
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4/27/2018
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Common Stock
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94.00
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$0.00
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0.00
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D
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Stock Option
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$49.83
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11/10/2016
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M
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78.00
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(8)
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4/27/2017
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Common Stock
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78.00
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$0.00
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0.00
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D
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Stock Option
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$107.98
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11/15/2016
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M
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300.00
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(8)
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4/29/2021
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Common Stock
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300.00
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$0.00
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1058.00
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D
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Explanation of Responses:
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(
1)
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These shares were acquired under the Issuer's Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c).
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(
2)
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This transaction was executed in multiple trades at prices ranging from $138.48 USD to $138.61 USD; the price reported above reflects the weighted average sale price.
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(
3)
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This transaction was executed in multiple trades at prices ranging from $138.60 USD to $138.745 USD; the price reported above reflects the weighted average sale price.
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(
4)
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This transaction was executed in multiple trades at prices ranging from $138.43 USD to $138.61 USD; the price reported above reflects the weighted average sale price.
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(
5)
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This transaction was executed in multiple trades at prices ranging from $138.38 USD to $138.43 USD; the price reported above reflects the weighted average sale price.
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(
6)
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This transaction was executed in multiple trades at prices ranging from $138.30 USD to $138.38 USD; the price reported above reflects the weighted average sale price.
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(
7)
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The information in this report is based on 401(k)/ESOP Plan statement dated as of September 30, 2016.
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(
8)
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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.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Husain Kamran F
3005 TASMAN DRIVE
SANTA CLARA, CA 95054
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Chief Accounting Officer
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Signatures
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Denise West, Attorney-in-Fact for Kamran Husain
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11/15/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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