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