0001209191-13-023816.txt : 20130502 0001209191-13-023816.hdr.sgml : 20130502 20130502211608 ACCESSION NUMBER: 0001209191-13-023816 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130430 FILED AS OF DATE: 20130502 DATE AS OF CHANGE: 20130502 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Cox Philip C CENTRAL INDEX KEY: 0001575523 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-15637 FILM NUMBER: 13809986 MAIL ADDRESS: STREET 1: ORCHARD HOUSE 40 BARRINGTON ROAD STREET 2: FOXTON CAMBRIDGE CITY: LONDON STATE: X0 ZIP: CB22 6SL ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SVB FINANCIAL GROUP CENTRAL INDEX KEY: 0000719739 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 942856336 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3003 TASMAN DR CITY: SANTA CLARA STATE: CA ZIP: 95054 BUSINESS PHONE: 4086547400 MAIL ADDRESS: STREET 1: 3003 TASMAN DRIVE CITY: SANTA CLARA STATE: CA ZIP: 95054 FORMER COMPANY: FORMER CONFORMED NAME: SILICON VALLEY BANCSHARES DATE OF NAME CHANGE: 19920703 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2013-04-30 0 0000719739 SVB FINANCIAL GROUP SIVB 0001575523 Cox Philip C SVB FINANCIAL GROUP 3005 TASMAN DRIVE SANTA CLARA CA 95054 0 1 0 0 Head EMEA India & President,UK Common Stock 2013-04-30 4 M 0 225 0.00 A 462 D Common Stock 2013-04-30 4 F 0 113 71.11 D 349 D Performance Restricted Stock Unit 0.00 2013-04-30 4 A 0 2250 0.00 A 2015-12-20 2020-04-30 Common Stock 2250 2250 D Restricted Stock Unit 0.00 2013-04-30 4 A 0 2300 0.00 A 2014-04-30 2020-04-30 Common Stock 2300 2300 D Restricted Stock Unit 0.00 2013-04-30 4 M 0 225 0.00 D 2011-04-30 2017-04-30 Common Stock 225 225 D Stock Option 71.11 2013-04-30 4 A 0 4700 71.11 A 2014-04-30 2020-04-30 Common Stock 4700 4700 D Shares withheld by Issuer for payment of tax liability incurred upon vesting of restricted stock units. Performance-based restricted stock units (PRSUs) are subject to both performance-based and time-based vesting. The extent to which the PRSU awards are earned will be based on the Company's 2013 performance and other considerations, as determined pursuant to the discretion of the Compensation Committee of the Board of Directors. The reported number of shares is the maximum number of shares that may be earned by the reporting person, based on the achievement of 150% of target performance. To the extent deemed earned at the end of the 2013 performance period, these PRSUs will be subject to additional time-based vesting and will vest on December 20, 2015. Restricted stock units are subject to annual vesting in equal installments on April 30, 2014, April 30, 2015, April 30, 2016, and April 30, 2017. A tranche of previously reported restricted stock units vested on 4/30/2013. Stock options are subject to annual vesting in equal installments on April 30, 2014, April 30, 2015, April 30, 2016 and April 30, 2017. The exercise price of these stock options is determined based on the closing market price of SIVB common stock of $71.11, as of April 30, 2013. Kamran Husain, Attorney-in-Fact for Philip Cox 2013-05-02