SEC Form 4
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 | |||
OMB APPROVAL | |||
Washington, D.C. 20549 | |||
OMB Number: | 3235-0287 | ||
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP | Estimated average burden | ||
hours per response: | 0.5 | ||
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
1. Name and Address of Reporting Person* | 2. Issuer Name and Ticker or Trading Symbol | 5. Relationship of Reporting Person(s) to Issuer | ||||||||||||||||||||||||||||||||
BENHAMOU ERIC | SVB FINANCIAL GROUP[ SIVB ] | (Check all applicable) | ||||||||||||||||||||||||||||||||
X | Director | 10% Owner | ||||||||||||||||||||||||||||||||
3. Date of Earliest Transaction (Month/Day/Year) | ||||||||||||||||||||||||||||||||||
Officer (give title | Other (specify | |||||||||||||||||||||||||||||||||
04/25/2019 | ||||||||||||||||||||||||||||||||||
(Last) | (First) | (Middle) | below) | below) | ||||||||||||||||||||||||||||||
3005 TASMAN DRIVE | ||||||||||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable | |||||||||||||||||||||||||||||||||
Line) | ||||||||||||||||||||||||||||||||||
(Street) | X Form filed by One Reporting Person | |||||||||||||||||||||||||||||||||
SANTA CLARA CA | 95054 | Form filed by More than One Reporting | ||||||||||||||||||||||||||||||||
Person | ||||||||||||||||||||||||||||||||||
(City) | (State) | (Zip) | ||||||||||||||||||||||||||||||||
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||||||||||||||||||||||||||
1. Title of Security (Instr. 3) | 2. Transaction | 2A. Deemed | 3. | 4. Securities Acquired (A) or | 5. Amount of | 6. Ownership | 7. Nature | |||||||||||||||||||||||||||
Date | Execution Date, | Transaction | Disposed Of (D) (Instr. 3, 4 | Securities | Form: Direct | of Indirect | ||||||||||||||||||||||||||||
(Month/Day/Year) | if any | Code (Instr. | and 5) | Beneficially | (D) or | Beneficial | ||||||||||||||||||||||||||||
(Month/Day/Year) | 8) | Owned | Indirect (I) | Ownership | ||||||||||||||||||||||||||||||
Following | (Instr. 4) | (Instr. 4) | ||||||||||||||||||||||||||||||||
Code | V | Amount | (A) or | Price | Reported | |||||||||||||||||||||||||||||
Transaction(s) | ||||||||||||||||||||||||||||||||||
(D) | ||||||||||||||||||||||||||||||||||
(Instr. 3 and 4) | ||||||||||||||||||||||||||||||||||
Common Stock | 04/25/2019 | M | 492 | A | (1) | 3,935 | D | |||||||||||||||||||||||||||
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||||||||||||||||||||||||||
(e.g., puts, calls, warrants, options, convertible securities) | ||||||||||||||||||||||||||||||||||
1. Title of | 2. | 3. Transaction | 3A. Deemed | 4. | 5. | 6. Date Exercisable and | 7. Title and | 8. Price | 9. Number of | 10. | 11. Nature | |||||||||||||||||||||||
Derivative | Conversion | Date | Execution Date, | Transaction | Number | Expiration Date | Amount of | of | derivative | Ownership | of Indirect | |||||||||||||||||||||||
Security | or Exercise | (Month/Day/Year) | if any | Code (Instr. | of | (Month/Day/Year) | Securities | Derivative | Securities | Form: | Beneficial | |||||||||||||||||||||||
(Instr. 3) | Price of | (Month/Day/Year) | 8) | Derivative | Underlying | Security | Beneficially | Direct (D) | Ownership | |||||||||||||||||||||||||
Derivative | Securities | Derivative | (Instr. 5) | Owned | or Indirect | (Instr. 4) | ||||||||||||||||||||||||||||
Security | Acquired | Security (Instr. 3 | Following | (I) (Instr. | ||||||||||||||||||||||||||||||
(A) or | and 4) | Reported | 4) | |||||||||||||||||||||||||||||||
Disposed | Transaction(s) | |||||||||||||||||||||||||||||||||
of (D) | (Instr. 4) | |||||||||||||||||||||||||||||||||
(Instr. 3, | ||||||||||||||||||||||||||||||||||
4 and 5) | ||||||||||||||||||||||||||||||||||
Amount | ||||||||||||||||||||||||||||||||||
or | ||||||||||||||||||||||||||||||||||
Number | ||||||||||||||||||||||||||||||||||
Date | Expiration | of | ||||||||||||||||||||||||||||||||
Code | V | (A) | (D) | Exercisable | Date | Title | Shares | |||||||||||||||||||||||||||
Restricted | $0.00 | 04/25/2019 | M | 492 | 04/25/2019 | 05/01/2028 | Common | 492 | (1) | 0.00 | D | |||||||||||||||||||||||
Stock Unit | Stock |
Explanation of Responses:
1. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common Stock.
Remarks:
Wei Sun, Attorney-in-fact for | 04/29/2019 | |
Eric Benhamou | ||
** Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
**Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.
Attachments
- Original document
- Permalink
Disclaimer
SVB Financial Group published this content on 29 April 2019 and is solely responsible for the information contained herein. Distributed by Public, unedited and unaltered, on 30 April 2019 07:37:03 UTC