0001312109-21-000235.txt : 20211022 0001312109-21-000235.hdr.sgml : 20211022 20211022163757 ACCESSION NUMBER: 0001312109-21-000235 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211021 FILED AS OF DATE: 20211022 DATE AS OF CHANGE: 20211022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DIRCKS THOMAS C CENTRAL INDEX KEY: 0001035123 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39123 FILM NUMBER: 211340996 MAIL ADDRESS: STREET 1: C/O CHARTERHOUSE GROUP INTERNATIONAL INC STREET 2: 535 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Silvergate Capital Corp CENTRAL INDEX KEY: 0001312109 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 000000000 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4250 EXECUTIVE SQUARE STE 300 CITY: LA JOLLA STATE: CA ZIP: 92037 BUSINESS PHONE: (858) 362-6300 MAIL ADDRESS: STREET 1: 4250 EXECUTIVE SQUARE STE 300 CITY: LA JOLLA STATE: CA ZIP: 92037 4 1 wf-form4_163493505831257.xml FORM 4 X0306 4 2021-10-21 0 0001312109 Silvergate Capital Corp SI 0001035123 DIRCKS THOMAS C 4250 EXECUTIVE SQUARE SUITE 300 LA JOLLA CA 92037 1 0 0 0 Class A Common Stock 2021-10-21 4 S 0 900 144.4722 D 65000 I By Charter Digital LLC Class A Common Stock 2021-10-21 4 S 0 1300 145.6869 D 63700 I By Charter Digital LLC Class A Common Stock 2021-10-21 4 S 0 414 147.3278 D 63286 I By Charter Digital LLC Class A Common Stock 2021-10-21 4 S 0 500 148.744 D 62786 I By Charter Digital LLC Class A Common Stock 2021-10-21 4 S 0 17201 149.9478 D 45585 I By Charter Digital LLC Class A Common Stock 2021-10-21 4 S 0 4585 150.9415 D 41000 I By Charter Digital LLC Class A Common Stock 2021-10-21 4 S 0 100 151.30 D 40900 I By Charter Digital LLC Class A Common Stock 2021-10-21 4 S 0 200 144.285 D 46099 I By Dircks Family LLC Class A Common Stock 2021-10-21 4 S 0 300 145.7033 D 45799 I By Dircks Family LLC Class A Common Stock 2021-10-21 4 S 0 100 147.32 D 45699 I By Dircks Family LLC Class A Common Stock 2021-10-21 4 S 0 2550 149.9663 D 43149 I By Dircks Family LLC Class A Common Stock 2021-10-21 4 S 0 4350 150.3635 D 38799 I By Dircks Family LLC Class A Common Stock 2021-10-21 4 S 0 10000 151.8031 D 28799 I By Dircks Family LLC Class A Common Stock 2021-10-21 4 S 0 7500 149.6808 D 15683 I By Family Foundation Class A Common Stock 14821 D Restricted Stock Units Class A Common Stock 674.0 674 D This transaction was executed in multiple trades at prices ranging from $144.25 to $145.17. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $145.31 to $146.15. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $147.03 to $147.63. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $148.15 to $149.14. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $149.30 to $150.23. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $150.25 to $151.00. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $144.24 to $144.33. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $145.48 to $146.00. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $149.14 to $150.00. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $150.345 to $151.15. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $151.60 to $152.13. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. This transaction was executed in multiple trades at prices ranging from $149.00 to $150.00. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Each restricted stock unit represents a contingent right to receive one share of Class A Common Stock. The restricted stock units vest in full on June 11, 2022. Vested shares will be delivered within thirty days following the vesting of the restricted stock units, when, subject to any trading restriction, the reporting person will receive the number of Class A Common Stock shares that corresponds to the number of restricted stock units that have become vested on the applicable vesting date. /s/ John M. Bonino, as Attorney-in-Fact 2021-10-22