0001312109-21-000132.txt : 20210610
0001312109-21-000132.hdr.sgml : 20210610
20210610205324
ACCESSION NUMBER: 0001312109-21-000132
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210608
FILED AS OF DATE: 20210610
DATE AS OF CHANGE: 20210610
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LANE ALAN J
CENTRAL INDEX KEY: 0001232737
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-39123
FILM NUMBER: 211009705
MAIL ADDRESS:
STREET 1: 41090 AVENIDA VERDE
CITY: TEMECULA
STATE: CA
ZIP: 92591
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_162337278303753.xml
FORM 4
X0306
4
2021-06-08
0
0001312109
Silvergate Capital Corp
SI
0001232737
LANE ALAN J
4250 EXECUTIVE SQUARE
SUITE 300
LA JOLLA
CA
92037
1
1
0
0
President and CEO
Class A Common Stock
2021-06-08
4
M
0
75000
4.20
A
75000
D
Class A Common Stock
2021-06-08
4
S
0
6249
101.8236
D
68751
D
Class A Common Stock
2021-06-08
4
S
0
8789
103.3251
D
59962
D
Class A Common Stock
2021-06-08
4
S
0
10006
103.7237
D
49956
D
Class A Common Stock
2021-06-08
4
S
0
13791
105.2407
D
36165
D
Class A Common Stock
2021-06-08
4
S
0
13512
105.9425
D
22653
D
Class A Common Stock
2021-06-08
4
S
0
7391
107.1228
D
15262
D
Class A Common Stock
2021-06-08
4
S
0
5513
107.9977
D
9749
D
Class A Common Stock
2021-06-08
4
S
0
3738
109.0534
D
6011
D
Class A Common Stock
2021-06-08
4
S
0
5811
109.9039
D
200
D
Class A Common Stock
2021-06-08
4
S
0
200
110.57
D
0
D
Class A Common Stock
2021-06-09
4
M
0
75000
4.20
A
75000
D
Class A Common Stock
2021-06-09
4
S
0
3195
103.2508
D
71805
D
Class A Common Stock
2021-06-09
4
S
0
3034
103.9514
D
68771
D
Class A Common Stock
2021-06-09
4
S
0
3953
105.7266
D
64818
D
Class A Common Stock
2021-06-09
4
S
0
23088
106.4471
D
41730
D
Class A Common Stock
2021-06-09
4
S
0
21355
107.5616
D
20375
D
Class A Common Stock
2021-06-09
4
S
0
16726
108.448
D
3649
D
Class A Common Stock
2021-06-09
4
S
0
3649
109.192
D
0
D
Class A Common Stock
2021-06-10
4
M
0
22363
4.20
A
22363
D
Class A Common Stock
2021-06-10
4
S
0
7122
101.0913
D
15241
D
Class A Common Stock
2021-06-10
4
S
0
4128
101.6947
D
11113
D
Class A Common Stock
140725
I
By Self and Spouse as Trustees of Lane Trust
Class A Common Stock
88268
I
By IRA
Class A Common Stock
1757.8417
I
By Employer 401(k) Plan
Non-Qualified Stock Options
4.2
2021-06-08
4
M
0
75000
0
D
2012-01-27
2022-01-27
Class A Common Stock
75000.0
97363
D
Non-Qualified Stock Options
4.2
2021-06-09
4
M
0
75000
0
D
2012-01-27
2022-01-27
Class A Common Stock
75000.0
22363
D
Non-Qualified Stock Options
4.2
2021-06-10
4
M
0
22363
0
D
2012-01-27
2022-01-27
Class A Common Stock
22363.0
0
D
Restricted Stock Units
Class A Common Stock
3253.0
3253
D
Non-Qualified Stock Options
127.56
2031-02-26
Class A Common Stock
7838.0
7838
D
Restricted Stock Units
Class A Common Stock
8319.0
8319
D
Non-Qualified Stock Options
16.09
2029-11-19
Class A Common Stock
32628.0
32628
D
Non-Qualified Stock Options
4.2
2012-01-27
2022-01-27
Class A Common Stock
172363.0
0
D
This transaction was executed in multiple trades at prices ranging from $101.34 to $102.19. 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 $102.48 to $103.47. 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 $103.48 to $104.31. 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 $104.50 to $105.49. 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 $105.50 to $106.48. 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 $106.50 to $107.45. 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 $107.50 to $108.48. 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 $108.50 to $109.49. 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 $109.50 to $110.47. 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 $110.52 to $110.62. 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 $102.55 to $103.53. 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 $103.62 to $104.31. 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 $104.99 to $105.98. 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 $106.00 to $106.99. 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 $107.00 to $107.99. 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 $108.00 to $108.99. 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 $109.01 to $109.61. 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 $100.50 to $101.49. 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 $101.50 to $101.97. 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 three equal annual installments beginning on February 26, 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, less any shares withheld to satisfy federal, state, and local taxes of any kind.
The option becomes exercisable in three annual installments beginning February 26, 2022.
The restricted stock units vest in four equal annual installments beginning on November 19, 2020. 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 ordinary shares that corresponds to the number of restricted stock units that have become vested on the applicable vesting date, less any shares withheld to satisfy federal, state, local and foreign taxes of any kind.
The option becomes exercisable in four equal annual installments beginning November 18, 2020.
/s/ John M. Bonino, as Attorney-in-Fact
2021-06-10