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