Initial Statement of Beneficial Ownership (3)
September 20 2019 - 04:43PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
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Hon Karen |
2. Date of Event Requiring Statement (MM/DD/YYYY)
9/13/2019
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3. Issuer Name and Ticker or Trading Symbol
SVB FINANCIAL GROUP [SIVB]
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(Last)
(First)
(Middle)
3005 TASMAN DRIVE |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Interim Ch. Accounting Officer / |
(Street)
SANTA CLARA, CA 95054
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 1914.00 | D | |
Common Stock | 312.00 (1) | I | By 401(k)/ESOP |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option | (2) | 5/1/2026 | Common Stock | 330.00 | $250.43 | D | |
Stock Option | (3) | 5/2/2023 | Common Stock | 740.00 | $105.18 | D | |
Stock Option | (4) | 5/1/2022 | Common Stock | 416.00 | $129.81 | D | |
Stock Option | (4) | 4/29/2021 | Common Stock | 975.00 | $107.98 | D | |
Stock Option | (4) | 4/30/2020 | Common Stock | 1430.00 | $71.11 | D | |
Restricted Stock Unit | (3) | 5/2/2023 | Common Stock | 162.00 | (5) | D | |
Restricted Stock Unit | (6) | 5/2/2024 | Common Stock | 246.00 | (5) | D | |
Restricted Stock Unit | (7) | 5/1/2025 | Common Stock | 354.00 | (5) | D | |
Restricted Stock Unit | (2) | 4/30/2026 | Common Stock | 617.00 | (5) | D | |
Restricted Stock Unit | (2) | 5/1/2026 | Common Stock | 355.00 | (5) | D | |
Explanation of Responses: |
(1) | The information in this report is based on 401(k)/ESOP Plan statement dated as of September 13, 2019. |
(2) | 25%/4yr beginning on 1-May-2019. |
(3) | 25%/4yr beginning on 2-May-2016. |
(4) | Options are fully vested. |
(5) | Each restricted stock unit represents a contingent right to receive one share of the Issuer's common Stock. |
(6) | 25%/4yr beginning on 2-May-2017. |
(7) | 25%/4yr beginning on 1-May-2018. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Hon Karen 3005 TASMAN DRIVE SANTA CLARA, CA 95054 |
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| Interim Ch. Accounting Officer |
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Signatures
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/s/Desiree Combs, Attorney-in-Fact for Karen Hon | | 9/20/2019 |
**Signature of Reporting Person | Date |
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