0001562180-20-003423.txt : 20200505 0001562180-20-003423.hdr.sgml : 20200505 20200505204725 ACCESSION NUMBER: 0001562180-20-003423 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200501 FILED AS OF DATE: 20200505 DATE AS OF CHANGE: 20200505 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Zuckert Michael S CENTRAL INDEX KEY: 0001601636 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39154 FILM NUMBER: 20850871 MAIL ADDRESS: STREET 1: 365 HAWTHORNE AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 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 4 1 primarydocument.xml PRIMARY DOCUMENT X0306 4 2020-05-01 false 0000719739 SVB FINANCIAL GROUP SIVB 0001601636 Zuckert Michael S 3005 TASMAN DRIVE SANTA CLARA CA 95054 false true false false General Counsel Common Stock 2020-05-01 4 M false 148.00 A 6191.00 D Common Stock 2020-05-01 4 M false 180.00 A 6371.00 D Common Stock 2020-05-01 4 F false 62.00 184.86 D 6309.00 D Common Stock 2020-05-01 4 F false 62.00 184.86 D 6247.00 D Common Stock 111.00 I By 401(k)/ESOP Stock Option 184.86 2020-05-01 4 A false 3794.00 0.00 A 2027-05-01 Common Stock 3794.00 3794.00 D Performance Restricted Stock Unit 2020-05-01 5 A false E 3901.00 0.00 A 2023-01-31 2027-05-01 Common Stock 3901.00 3901.00 D Restricted Stock Unit 2020-05-01 4 A false 1300.00 0.00 A 2027-05-01 Common Stock 1300.00 1300.00 D Restricted Stock Unit 2020-05-01 4 M false 148.00 0.00 D 2025-05-01 Common Stock 148.00 294.00 D Restricted Stock Unit 2020-05-01 4 M false 180.00 0.00 D 2026-05-01 Common Stock 180.00 540.00 D Each restricted stock unit represents a contingent right to receive one share of the Issuer's common Stock. Shares withheld by Issuer for payment of tax liability incurred upon vesting of restricted stock units. The information in this report is based on 401(k)/ESOP Plan statement dated as of March 31, 2020. Stock options are subject to annual vesting in four equal installments on the anniversary date of the grant, 25% on each of the successive anniversary dates. Each performance-based restricted stock unit represents a contingent right to receive one share of the Issuer's common Stock. Performance-based restricted stock units (PRSUs) are subject to both performance-based and time-based vesting and scheduled to vest on January 31, 2023. Restricted stock units are subject to annual vesting in four equal installments on the anniversary date of the grant, 25% on each of the successive anniversary dates. 25%/4yr beginning on 01-May-2018. 25%/4yr beginning on 01-May-2019. /s/Desiree Combs, Attorney-in-Fact for Michael Zuckert 2020-05-05