0001562180-19-004894.txt : 20190920
0001562180-19-004894.hdr.sgml : 20190920
20190920164220
ACCESSION NUMBER: 0001562180-19-004894
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20190913
FILED AS OF DATE: 20190920
DATE AS OF CHANGE: 20190920
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Hon Karen
CENTRAL INDEX KEY: 0001787570
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-15637
FILM NUMBER: 191105195
MAIL ADDRESS:
STREET 1: 3005 TASMAN DRIVE
CITY: SANTA CLARA
STATE: CA
ZIP: 95054
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: SVB FINANCIAL GROUP
CENTRAL INDEX KEY: 0000719739
STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022]
IRS NUMBER: 942856336
STATE OF INCORPORATION: DE
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
3
1
primarydocument.xml
PRIMARY DOCUMENT
X0206
3
2019-09-13
0
0000719739
SVB FINANCIAL GROUP
SIVB
0001787570
Hon Karen
3005 TASMAN DRIVE
SANTA CLARA
CA
95054
false
true
false
false
Interim Ch. Accounting Officer
Common Stock
1914.00
D
Common Stock
312.00
I
By 401(k)/ESOP
Stock Option
250.43
2026-05-01
Common Stock
330.00
D
Stock Option
105.18
2023-05-02
Common Stock
740.00
D
Stock Option
129.81
2022-05-01
Common Stock
416.00
D
Stock Option
107.98
2021-04-29
Common Stock
975.00
D
Stock Option
71.11
2020-04-30
Common Stock
1430.00
D
Restricted Stock Unit
2023-05-02
Common Stock
162.00
D
Restricted Stock Unit
2024-05-02
Common Stock
246.00
D
Restricted Stock Unit
2025-05-01
Common Stock
354.00
D
Restricted Stock Unit
2026-04-30
Common Stock
617.00
D
Restricted Stock Unit
2026-05-01
Common Stock
355.00
D
The information in this report is based on 401(k)/ESOP Plan statement dated as of September 13, 2019.
25%/4yr beginning on 1-May-2019.
25%/4yr beginning on 2-May-2016.
Options are fully vested.
Each restricted stock unit represents a contingent right to receive one share of the Issuer's common Stock.
25%/4yr beginning on 2-May-2017.
25%/4yr beginning on 1-May-2018.
/s/Desiree Combs, Attorney-in-Fact for Karen Hon
2019-09-20
EX-24
2
karenhon_poa2019.txt
KAREN HON SEP 2019 POA
LIMITED POWER OF ATTORNEY - SECURITIES LAW COMPLIANCE
I, Karen Hon, as an officer or director of SVB Financial Group and
subsidiaries, appoint Annie Loo, Connie Lam, Desiree Combs, and Wei
Sun each of them, my true and lawful attorney-in-fact and agent to
complete and execute Forms 144, Forms 3, 4 and 5 and other forms as
the attorney determines in his or her discretion are required or
advisable pursuant to Rule 144 under the Securities Act of 1933 (as
amended), Section 16 of the Securities Exchange Act of 1934 (as
amended) or the Securities and Exchange Commission's rules and
regulations, or any successor laws or regulations, as a consequence
of my ownership, acquisition or disposition of securities of SVB
Financial Group, and to do all acts necessary in order to file such
forms with the Securities and Exchange Commission, any securities
exchange or national association, and other person or agency as the
attorney deems appropriate. I ratify and confirm all that the
attorneys-in-act and agents do or cause to be done.
This Limited Power of Attorney is executed in Tempe, Arizona as of
the date below and shall remain effective unless I am no longer
required to complete said forms or until my revocation in writing of
this Limited Power of Attorney.
I, Karen Hon, the principal, sign my name to this power of attorney
this _5_ day of September 2019 and, being first duly sworn, do
declare to the undersigned authority that I sign and execute this
instrument as my power of attorney and that I sign it willingly, or
willingly direct another to sign for me, that I execute it as my free
and voluntary act for the purposes expressed in the power of
attorney, and that as required by A.R.S. (S) 14-5501, I am eighteen
years of age or older, of sound mind, and under no constraint or
undue influence.
/s/Karen Hon
__________________________
Karen Hon (Principal)
I, Wei Sun, the witness, sign my name to the foregoing power of
attorney being first duly sworn, and do declare to the undersigned
authority the principal signs and executes this instrument as the
principal's power of attorney and that the principal signs it
willingly, or willingly directs another to sign for the principal,
and that I, in the presence and hearing of the principal sign this
power of attorney as witness to the principal's signing, and to the
best of my knowledge the principal is eighteen years of age or older,
of sound mind, and under no constraint or undue influence.
/s/Wei Sun
____________________________
Wei Sun (Witness)
STATE OF ARIZONA
COUNTY OF MARICOPA
Subscribed, sworn to or affirmed, and acknowledged before me by
Karen Hon, the Principal, and subscribed and sworn to or affirmed
before me by Wei Sun, witness, this __5__ day of September 2019.
/s/Andrea Richardson FKA A Meyer
________________________________
Notary Public