SVB Financial : Statement of changes in beneficial ownership of securities

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940

Explanation of Responses:

• 1. To the extent deemed earned on January 24, 2019, these awards are scheduled to complete their time-based vesting, and cliff vest on January 30, 2019.

• 2. Each performance-based restricted stock unit represents a contingent right to receive one share of the Issuer's common Stock.

• 3. The information in this report is based on 401(k)/ESOP Plan statement dated as of December 31, 2018.

Remarks:

Denise West, Attorney-in-Fact

01/28/2019

f*o* rSGignreagtuoreryoBf Reecpkoerrting 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.