Statement of Changes in Beneficial Ownership (4)
March 03 2021 - 11:54AM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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
*
Dunbar Roger F |
2. Issuer Name and Ticker or Trading Symbol
SVB FINANCIAL GROUP
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SIVB
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
3005 TASMAN DRIVE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/1/2021 |
(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 | 3/1/2021 | | S | | 200.00 | D | $528.7476 (1) | 19527.00 | D | |
Common Stock | 3/1/2021 | | S | | 700.00 | D | $529.9039 (2) | 18827.00 | D | |
Common Stock | 3/1/2021 | | S | | 1102.00 | D | $531.2336 (3) | 17725.00 | D | |
Common Stock | 3/1/2021 | | S | | 100.00 | D | $532.2546 (4) | 17625.00 | D | |
Common Stock | 3/1/2021 | | S | | 592.00 | D | $534.1112 (5) | 17033.00 | D | |
Common Stock | 3/1/2021 | | S | | 787.00 | D | $535.0995 (6) | 16246.00 | D | |
Common Stock | 3/1/2021 | | S | | 794.00 | D | $536.3634 (7) | 15452.00 | D | |
Common Stock | 3/1/2021 | | S | | 427.00 | D | $537.101 (8) | 15025.00 | D | |
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) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | This transaction was executed in multiple trades at prices ranging from $528.54 to $529.23; the price reported above reflects the weighted average sale price. |
(2) | This transaction was executed in multiple trades at prices ranging from $529.60 to $530.20; the price reported above reflects the weighted average sale price. |
(3) | This transaction was executed in multiple trades at prices ranging from $530.96 to $531.82; the price reported above reflects the weighted average sale price. |
(4) | This transaction was executed in multiple trades at prices ranging from $532.21 to $532.30; the price reported above reflects the weighted average sale price. |
(5) | This transaction was executed in multiple trades at prices ranging from $533.60 to $534.45; the price reported above reflects the weighted average sale price. |
(6) | This transaction was executed in multiple trades at prices ranging from $534.61 to $535.59; the price reported above reflects the weighted average sale price. |
(7) | This transaction was executed in multiple trades at prices ranging from $535.61 to $536.54; the price reported above reflects the weighted average sale price. |
(8) | This transaction was executed in multiple trades at prices ranging from $536.81 to $537.74; the price reported above reflects the weighted average sale price. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Dunbar Roger F 3005 TASMAN DRIVE SANTA CLARA, CA 95054 | X |
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Signatures
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/s/Desiree Combs, Attorney-In-Fact for Roger Dunbar | | 3/3/2021 |
**Signature of Reporting Person | Date |
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