UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Restricted Stock Unit | 05/01/2013 | 05/01/2019 | Common Stock | 1,630 (1) | $ 0 | D | Â |
Restricted Stock Unit | 04/30/2011 | 04/30/2017 | Common Stock | 450 (1) | $ 0 | D | Â |
Restricted Stock Unit | 04/27/2012 | 04/27/2018 | Common Stock | 1,125 (1) | $ 0 | D | Â |
Stock Option | 04/27/2012 | 04/27/2018 | Common Stock | 3,000 (2) | $ 60.37 | D | Â |
Stock Option | 04/30/2011 | 04/30/2017 | Common Stock | 1,650 (3) | $ 49.18 | D | Â |
Stock Option | 09/08/2010 | 09/08/2016 | Common Stock | 1,000 (4) | $ 38.21 | D | Â |
Stock Option | 05/01/2013 | 05/01/2019 | Common Stock | 3,250 (5) | $ 64.37 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Cox Philip C SVB FINANCIAL GROUP 3005 TASMAN DRIVE SANTA CLARA, CA 95054 |
 |  |  Head EMEA India & President,UK |  |
Kamran Husain, Attorney-in-Fact for Philip Cox | 05/01/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Vesting schedule over four years with equal percentage vesting each year of 25%. There are no vested shares held at filing date. |
(2) | Vesting schedule over four years with equal percentage vesting each year of 25%. There are options exercisable for 750 shares at filing date. |
(3) | Vesting schedule over four years with equal percentage vesting each year of 25%. There are options exercisable for 550 shares at filing date and previously vested options of 550 shares have been exercised. |
(4) | Vesting schedule over four years with equal percentage vesting each year of 25%. No options exercisable at filing date and all previously vested options for 3,000 shares have been exercised. |
(5) | Vesting schedule over four years with equal percentage vesting each year of 25%. There are no options exercisable at filing date. |