Statistik Asas
| LEI | 549300D2KJ20JMXE7542 |
| CIK | 719739 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to SVB Financial Group
SEC Filings (Chronological Order)
Halaman ini menyediakan senarai kronologi lengkap bagi Pemfailan SEC, tidak termasuk pemfailan pemilikan yang kami sediakan di tempat lain.
| January 24, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-39154 SVB Financial Group (Exact name of registrant as specified in its |
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| November 8, 2024 |
EX-99.1 Exhibit 99.1 Pg 1 of 3 James L. Bromley Andrew G. Dietderich Christian P. Jensen SULLIVAN & CROMWELL LLP 125 Broad Street New York, NY 10004-2498 Telephone: (212) 558-4000 Facsimile: (212) 558-3588 Counsel to the Debtor UNITED STATES BANKRUPTCY COURT SOUTHERN DISTRICT OF NEW YORK x : Chapter 11 In re : : Case No. 23-10367 (MG) SVB FINANCIAL GROUP,1 : : Debtor. : : x NOTICE OF EFFECTIVE DAT |
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| November 8, 2024 |
THIRD AMENDED AND RESTATED CERTIFICATE OF INCORPORATION SVB FINANCIAL GROUP * * * * * EX-3.1 Exhibit 3.1 THIRD AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF SVB FINANCIAL GROUP * * * * * SVB Financial Group, a corporation organized and existing under the laws of the State of Delaware (the “Corporation”), hereby certifies as follows: 1. The present name of the Corporation is SVB Financial Group. The name under which the Corporation originally incorporated was Silicon Valley B |
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| November 8, 2024 |
AMENDED AND RESTATED BYLAWS SVB FINANCIAL GROUP * * * * * ARTICLE 1 EX-3.2 Exhibit 3.2 AMENDED AND RESTATED BYLAWS OF SVB FINANCIAL GROUP * * * * * ARTICLE 1 OFFICES Section 1.01. Registered Office. The registered office of SVB Financial Group (the “Corporation”) shall be in the City of Wilmington, County of New Castle, State of Delaware. Section 1.02. Other Offices. The Corporation may also have offices at such other places both within and without the State of De |
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| November 8, 2024 |
EX-99.2 Exhibit 99.2 Pg 1 of 3 James L. Bromley Andrew G. Dietderich Christian P. Jensen SULLIVAN & CROMWELL LLP 125 Broad Street New York, NY 10004-2498 Telephone: (212) 558-4000 Facsimile: (212) 558-3588 Counsel to the Debtor UNITED STATES BANKRUPTCY COURT SOUTHERN DISTRICT OF NEW YORK x : Chapter 11 In re : : Case No. 23-10367 (MG) SVB FINANCIAL GROUP,1 : : Debtor. : : x NOTICE REGARDING ABANDO |
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| November 8, 2024 |
SVB Financial Group’s Chapter 11 Plan of Reorganization Becomes Effective EX-99.3 Exhibit 99.3 SVB Financial Group’s Chapter 11 Plan of Reorganization Becomes Effective SANTA CLARA, Calif., November 7, 2024 — SVB Financial Group (the “Company”) today announced that its Chapter 11 plan of reorganization has become effective. On August 2, 2024, the United States Bankruptcy Court for the Southern District of New York entered an order (the “Confirmation Order”) confirming t |
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| November 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 7, 2024 SVB Financial Group (Exact Name of Registrant as Specified in Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| November 6, 2024 |
As filed with the Securities and Exchange Commission on November 6, 2024 As filed with the Securities and Exchange Commission on November 6, 2024 Registration No. |
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| October 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 21, 2024 SVB Financial Group (Exact Name of Registrant as Specified in Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| October 22, 2024 |
Exhibit 99.1 23-10367-mg Doc 1531 Filed 10/21/24 Entered 10/21/24 18:35:44 Main Document Pg 1 of 12 UNITED STATES BANKRUPTCY COURT Southern DISTRICT OF New York In Re. SVB Financial Group § Case No. 23-10367 § § Debtor(s) § ☐ Jointly Administered Monthly Operating Report Chapter 11 Reporting Period Ended: 09/30/2024 Petition Date: 03/17/2023 Months Pendin |
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| October 1, 2024 |
SVB Financial Group Completes Sale of SVB Exhibit 99.1 SVB Financial Group Completes Sale of SVB Capital to Pinegrove Capital Partners NEWS PROVIDED BY SVB Financial Group ® Sep 26, 2024, 16:15 ET SANTA CLARA, Calif., Sept. 26, 2024 /PRNewswire/ — SVB Financial Group today announced that it has completed the sale of its investment platform business, SVB Capital, to affiliates of Pinegrove Capital Partners (“Pinegrove”), backed by evergree |
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| October 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 26, 2024 SVB Financial Group (Exact Name of Registrant as Specified in Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| September 24, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 23, 2024 SVB Financial Group (Exact Name of Registrant as Specified in Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| September 24, 2024 |
EX-99.1 Exhibit 99.1 23-10367-mg Doc 1476 Filed 09/23/24 Entered 09/23/24 12:20:33 Main Document Pg 1 of 12 UNITED STATES BANKRUPTCY COURT Southern DISTRICT OF New York In Re. SVB Financial Group § Case No. 23-10367 § § Debtor(s) § ☐ Jointly Administered Monthly Operating Report Chapter 11 Reporting Period Ended: 08/31/2024 Petition Date: 03/17/202 |
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| August 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 2, 2024 SVB Financial Group (Exact Name of Registrant as Specified in Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| August 23, 2024 |
23-10367-mg Doc 1379 Filed 08/02/24 Entered 08/02/24 16:22:06 Main Document Pg 1 of 185 EX-2.1 Exhibit 2.1 23-10367-mg Doc 1379 Filed 08/02/24 Entered 08/02/24 16:22:06 Main Document Pg 1 of 185 UNITED STATES BANKRUPTCY COURT SOUTHERN DISTRICT OF NEW YORK x In re: : Chapter 11 : : Case No. 23-10367 (MG) SVB FINANCIAL GROUP,1 : : Debtor. : : x FINDINGS OF FACT, CONCLUSIONS OF LAW AND ORDER CONFIRMING THE DEBTOR’S SECOND AMENDED PLAN OF REORGANIZATION UNDER CHAPTER 11 OF THE BA |
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| August 23, 2024 |
EX-99.1 Exhibit 99.1 23-10367-mg Doc 1410 Filed 08/21/24 Entered 08/21/24 20:32:11 Main Document Pg 1 of 12 UNITED STATES BANKRUPTCY COURT Southern DISTRICT OF New York In Re. SVB Financial Group § Case No. 23-10367 § § Debtor(s) § ☐ Jointly Administered Monthly Operating Report Chapter 11 Reporting Period Ended: 07/31/2024 Petition Date: 03/17/2023 Months Pending: 17 Industry |
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| July 24, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 22, 2024 SVB Financial Group (Exact Name of Registrant as Specified in Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| July 24, 2024 |
Exhibit 99.1 23-10367-mg Doc 1323 Filed 07/22/24 Entered 07/22/24 20:53:36 Main Document Pg 1 of 12 UNITED STATES BANKRUPTCY COURT Southern DISTRICT OF New York In Re. SVB Financial Group § Case No. 23-10367 § § Debtor(s) § ☐ Jointly Administered Monthly Operating Report Chapter 11 Reporting Period Ended: 06/30/2024 Petition Date: 03/17/2023 Months Pending: 16 Industry Classifi |
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| June 25, 2024 |
Exhibit 99.1 23-10367-mg Doc 1213 Filed 06/21/24 Entered 06/21/24 16:13:07 Main Document Pg 1 of 12 UNITED STATES BANKRUPTCY COURT Southern DISTRICT OF New York In Re. SVB Financial Group § Case No. 23-10367 § § Debtor(s) § ☐ Jointly Administered Monthly Operating Report Chapter 11 Reporting Period Ended: 05/31/2024 Petition Date: 03/17/2023 Months Pending: 15 Industry Classification: 5 2 3 9 Re |
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| June 25, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 21, 2024 SVB Financial Group (Exact Name of Registrant as Specified in Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| May 23, 2024 |
Exhibit 99.1 23-10367-mg Doc 1158 Filed 05/21/24 Entered 05/21/24 21:52:10 Main Document Pg 1 of 12 UNITED STATES BANKRUPTCY COURT Southern DISTRICT OF New York In Re. SVB Financial Group § Case No. 23-10367 § § Debtor(s) § ☐ Jointly Administered Monthly Operating Report Chapter 11 Reporting Period Ended: 04/30/2024 Petition Date: 03/17/2023 Months Pending: 14 Industry Classification: 5 2 3 9 Re |
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| May 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 21, 2024 SVB Financial Group (Exact Name of Registrant as Specified in Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| May 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 2, 2024 SVB Financial Group (Exact Name of Registrant as Specified in Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| May 7, 2024 |
Exhibit 99.1 SVB Financial Group Enters into Definitive Agreement for the Sale of SVB Capital NEWS PROVIDED BY SVB Financial Group g May 02, 2024, 23:07 ET Pinegrove Affiliate to Acquire SVB Capital SVB Capital and Pinegrove to Operate Independently with Common Sponsorship and Shared Mission to Serve the Venture Ecosystem SAN FRANCISCO, May 2, 2024 /PRNewswire/ - SVB Financial Group (Pink Sheets: |
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| May 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 22, 2024 SVB Financial Group (Exact Name of Registrant as Specified in Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| May 7, 2024 |
EX-10.1 Exhibit 10.1 EXECUTION VERSION INTEREST PURCHASE AGREEMENT by and between SVB Financial Group and Pinegrove Sierra HoldCo LLC Dated as of May 2, 2024 TABLE OF CONTENTS Page ARTICLE I PURCHASE AND SALE; DEPOSIT; PAYMENT; CLOSING; CLOSING DELIVERIES 1.1 Purchase and Sale 2 1.2 Deposit 3 1.3 Time and Place of Closing 3 1.4 Deliveries at Closing 3 1.5 Closing Statements 4 1.6 Assumption |
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| May 7, 2024 |
EX-99.1 Exhibit 99.1 23-10367-mgDoc 1053Filed 04/22/24Entered 04/22/24 21:52:41Main Document Pg 1 of 12 UNITED STATES BANKRUPTCY COURT Southern DISTRICT OF New York In Re. SVB Financial Group § Case No. 23-10367 § § Debtor(s) § Jointly Administered Monthly Operating Report Chapter 11 Reporting Period Ended: 03/31/2024 Petition Date: 03/17/2023 Months Pending: 13 Industry Classification: 5 2 3 9 Re |
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| March 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 21, 2024 SVB Financial Group (Exact Name of Registrant as Specified in Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| March 22, 2024 |
Exhibit 99.1 23-10367-mg Doc 939 Filed 03/21/24 Entered 03/21/24 17:46:33 Main Document Pg 1 of 12 UNITED STATES BANKRUPTCY COURT Southern DISTRICT OF New York In Re. SVB Financial Group § Case No. 23-10367 § § Debtor(s) § ☐ Jointly Administered Monthly Operating Report Chapter 11 Reporting Period Ended: 02/29/2024 Petition Date: 03/17/2023 Months Pending: 12 Industry Classification: 5 2 3 9 R |
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| March 20, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 18, 2024 SVB Financial Group (Exact Name of Registrant as Specified in Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| February 26, 2024 |
Exhibit 99.1 23-10367-mg Doc 868 Filed 02/23/24 Entered 02/23/24 14:16:47 Main Document Pg 1 of 12 UNITED STATES BANKRUPTCY COURT Southern DISTRICT OF New York In Re. SVB Financial Group § Case No. 23-10367 § § Debtor(s) § ☐ Jointly Administered Monthly Operating Report Chapter 11 Reporting Period Ended: 01/31/2024 Petition Date: 03/17/2023 Months Pending: 11 Industry Classification: 5 2 3 9 R |
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| February 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 23, 2024 SVB Financial Group (Exact Name of Registrant as Specified in Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| February 14, 2024 |
ROOT / Root, Inc. / SVB FINANCIAL GROUP - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* Root, Inc. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 77664L108 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to design |
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| February 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 8, 2024 SVB Financial Group (Exact Name of Registrant as Specified in Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| February 9, 2024 |
EX-99.1 Exhibit 99.1 SVB Capital Performance Snapshot June 30, 2023 Arial (Headings) Arial (Body) Fund of Funds Performance FUND FUND VINTAGE NET IRR NET TVPI NET DPI VINTAGE NET IRR NET TVPI NET DPI SIZE SIZE SIF VIII 2016–18 $499M SIF I 2000–02 $122M 27.9%3.04x 0.32x -1.7%0.88x0.87x SIF IX 2018–20 $703M 20.2% 1.70x0.00x SIF II 2004–06 $175M 11.3%2.13x2.05x SIF X 2020–22 $1,263M N/M N/M N/M SIF I |
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| February 1, 2024 |
Exhibit 99.1 23-10367-mg Doc 835 Filed 01/31/24 Entered 01/31/24 17:49:32 Main Document Pg 1 of 12 UNITED STATES BANKRUPTCY COURT Southern DISTRICT OF New York In Re. SVB Financial Group § Case No. 23-10367 § § Debtor(s) § ☐ Jointly Administered Monthly Operating Report Chapter 11 Reporting Period Ended: 12/31/2023 Petition Date: 03/17/2023 Months Pending: 10 Industry Classification: 5 2 3 9 Rep |
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| February 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 31, 2024 SVB Financial Group (Exact Name of Registrant as Specified in Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| January 29, 2024 |
NOTICE OF FILING OF THE DEBTOR’S PLAN OF REORGANIZATION UNDER CHAPTER 11 OF THE BANKRUPTCY CODE Exhibit 99.1 James L. Bromley Andrew G. Dietderich Christian P. Jensen SULLIVAN & CROMWELL LLP 125 Broad Street New York, NY 10004-2498 Telephone: (212) 558-4000 Facsimile: (212) 558-3588 Counsel to the Debtor UNITED STATES BANKRUPTCY COURT SOUTHERN DISTRICT OF NEW YORK x In re : : Chapter 11 SVB FINANCIAL GROUP,1 : : Case No. 23-10367 (MG) : Debtor. : : x NOTICE OF FILING OF THE |
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| January 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 26, 2024 SVB Financial Group (Exact Name of Registrant as Specified in Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| January 17, 2024 |
SIVB / SVB Financial Group / ELLINGTON MANAGEMENT GROUP LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13 G-A Under the Securities Exchange Act of 1934 (Amendment No. |
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| January 10, 2024 |
Exhibit 99.2 SVB Capital Announces SVB Financial Group Will Retain Ownership of the Business and Creates New Operating Committee Transition Follows Decision by SVB Financial Group that Retaining Ownership of SVB Capital Represents Best Path Forward for Business Co-Founder Aaron Gershenberg Returning to Join Veteran Managing Partners Sulu Mamdani and Beau Laskey to Co-Lead SVB Capital Leaders’ Coll |
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| January 10, 2024 |
CONFIDENTIAL DRAFT Exhibit 99.1 Project Sierra Cleansing Materials January 2024 CONFIDENTIAL DRAFT Table of Contents SVBFG Direct Equity Investments SVBFG LP Fund Investments SVBFG Warrant Top 50 Positions SVB Capital Detail Cash Flow Forecast GUC Summary / Other MoffettNathanson 2 SVB Neue Montreal (Headings) Bierstadt (Body) CONFIDENTIAL DRAFT SVBFG – Direct Equity Investments Latest % of Cum. % |
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| January 10, 2024 |
RESTRUCTURING SUPPORT AGREEMENT Exhibit 10.1 EXECUTION VERSION THIS RESTRUCTURING SUPPORT AGREEMENT IS NOT AN OFFER OR ACCEPTANCE WITH RESPECT TO ANY SECURITIES OR A SOLICITATION OF ACCEPTANCES OF A CHAPTER 11 PLAN WITHIN THE MEANING OF SECTION 1125 OF THE BANKRUPTCY CODE. ANY SUCH OFFER OR SOLICITATION WILL COMPLY WITH ALL APPLICABLE SECURITIES LAWS AND/OR PROVISIONS OF THE BANKRUPTCY CODE. NOTHING CONTAINED IN THIS RESTRUCTURI |
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| January 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 9, 2024 SVB Financial Group (Exact Name of Registrant as Specified in Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| December 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 21, 2023 SVB Financial Group (Exact Name of Registrant as Specified in Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| December 22, 2023 |
EX-99.1 Exhibit 99.1 23-10367-mg Doc 774 Filed 12/21/23 Entered 12/21/23 17:06:44 Main Document Pg 1 of 12 UNITED STATES BANKRUPTCY COURT Southern DISTRICT OF New York In Re. SVB Financial Group § Case No. 23-10367 § § Debtor(s) § ☐ Jointly Administered Monthly Operating Report Chapter 11 Reporting Period Ended: 11/30/2023 Petition Date: 03/17/2023 Months Pending: 9 Industry Classification: 5 2 3 |
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| December 7, 2023 |
EX-99.1 Exhibit 99.1 23-10367-mg Doc 738 Filed 12/06/23 Entered 12/06/23 18:43:32 Main Document Pg 1 of 12 UNITED STATES BANKRUPTCY COURT Southern DISTRICT OF New York In Re. SVB Financial Group § Case No. 23-10367 § § Debtor(s) § ☐ Jointly Administered Monthly Operating Report Chapter 11 Reporting Period Ended: 10/31/2023 Petition Date: 03/17/2023 Months Pending: 8 Industry Classification: 5 2 3 |
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| December 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 6, 2023 SVB Financial Group (Exact Name of Registrant as Specified in Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| November 1, 2023 |
EX-99.1 Exhibit 99.1 23-10367-mg Doc 639 Filed 10/31/23 Entered 10/31/23 20:30:07 Main Document Pg 1 of 12 UNITED STATES BANKRUPTCY COURT Southern DISTRICT OF New York In Re. SVB Financial Group § Case No. 23-10367 § § Debtor(s) § ☐ Jointly Administered Monthly Operating Report Chapter 11 Reporting Period Ended: 09/30/2023 Petition Date: 03/17/2023 Months Pending: 7 Industry Classification: 5 2 |
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| November 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 31, 2023 SVB Financial Group (Exact Name of Registrant as Specified in Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| October 3, 2023 |
SVB Financial Group Completes Sale of Investment Banking Business to Management Team Group Exhibit 99.1 SVB Financial Group Completes Sale of Investment Banking Business to Management Team Group SANTA CLARA, Calif., October 2, 2023 – SVB Financial Group (Pink Sheets: SIVBQ) today announced that it has completed the sale of its investment banking business, SVB Securities LLC (now named Leerink Partners LLC), to the management team bidder group led by Jeff Leerink, Leerink Partners’ Chief |
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| October 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 2, 2023 SVB Financial Group (Exact Name of Registrant as Specified in Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| September 29, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 28, 2023 SVB Financial Group (Exact Name of Registrant as Specified in Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| September 29, 2023 |
Exhibit 99.1 23-10367-mg Doc 580 Filed 09/28/23 Entered 09/28/23 19:19:55 Main Document Pg 1 of 12 UNITED STATES BANKRUPTCY COURT Southern DISTRICT OF New York In Re. SVB Financial Group § Case No. 23-10367 § § Debtor(s) § ☐ Jointly Administered Monthly Operating Report Chapter 11 Reporting Period Ended: 08/31/2023 Petition Date: 03/17/2023 Months Pending: 6 Industry Classification: 5 2 3 9 R |
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| September 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 31, 2023 SVB Financial Group (Exact Name of Registrant as Specified in Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| September 1, 2023 |
EX-99.1 Exhibit 99.1 23-10367-mg Doc 539 Filed 08/31/23 Entered 08/31/23 11:48:53 Main Document Pg 1 of 12 UNITED STATES BANKRUPTCY COURT Southern DISTRICT OF New York In Re. SVB Financial Group § Case No. 23-10367 § § Debtor(s) § ☐ Jointly Administered Monthly Operating Report Chapter 11 Reporting Period Ended: 07/31/2023 Petition Date: 03/17/2023 Months Pending: 5 Industry Classification: 5 2 3 |
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| August 3, 2023 |
EX-99.1 Exhibit 99.1 23-10367-mg Doc 468 Filed 07/31/23 Entered 07/31/23 21:25:19 Main Document Pg 1 of 12 UNITED STATES BANKRUPTCY COURT Southern DISTRICT OF New York In Re. SVB Financial Group § Case No. 23-10367 § § Debtor(s) § ☐ Jointly Administered Monthly Operating Report Chapter 11 Reporting Period Ended: 06/30/2023 Petition Date: 03/17/2023 Months Pending: 4 Industry Classification: 5 2 3 |
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| August 3, 2023 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 31, 2023 SVB Financial Group (Exact Name of Registrant as Specified in Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| July 25, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 24, 2023 SVB Financial Group (Exact Name of Company as Specified In Its Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| June 30, 2023 |
EX-99.1 Exhibit 99.1 James L. Bromley Andrew G. Dietderich Christian P. Jensen SULLIVAN & CROMWELL LLP 125 Broad Street New York, NY 10004-2498 Telephone: (212) 558-4000 Facsimile: (212) 558-3588 Counsel to the Debtor UNITED STATES BANKRUPTCY COURT SOUTHERN DISTRICT OF NEW YORK x In re : Chapter 11 : : Case No. 23-10367 (MG) SVB FINANCIAL GROUP,1 : : Debtor. : : x NOTICE OF FILING OF REVISED SUPPL |
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| June 30, 2023 |
EX-99.2 Exhibit 99.2 James L. Bromley Andrew G. Dietderich Christian P. Jensen SULLIVAN & CROMWELL LLP 125 Broad Street New York, NY 10004-2498 Telephone: (212) 558-4000 Facsimile: (212) 558-3588 Counsel to the Debtor UNITED STATES BANKRUPTCY COURT SOUTHERN DISTRICT OF NEW YORK x In re : Chapter 11 : : Case No. 23-10367 (MG) SVB FINANCIAL GROUP,1 : : Debtor. : : x NOTICE OF FILING OF REVISED SUPPL |
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| June 30, 2023 |
EX-99.3 Exhibit 99.3 UNITED STATES BANKRUPTCY COURT Southern DISTRICT OF New York In Re. SVB Financial Group § Case No. 23-10367 § § Debtor(s) § Jointly Administered Monthly Operating Report Chapter 11 Reporting Period Ended: 05/31/2023 Petition Date: 03/17/2023 Months Pending: 3 Industry Classification: 5 2 3 9 Reporting Method: Accrual Basis Cash Basis Debtor’s Full-Time Employees (current): 0 D |
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| June 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 30, 2023 SVB Financial Group (Exact Name of Registrant as Specified in Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| June 29, 2023 |
As filed with the Securities and Exchange Commission on June 29, 2023 S-8 POS As filed with the Securities and Exchange Commission on June 29, 2023 Registration No. |
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| June 21, 2023 |
EX-99.1 Exhibit 99.1 SVB Financial Group Enters into Definitive Purchase Agreement to Sell SVB Securities to Management Team Group Led by Jeff Leerink and Backed by The Baupost Group SANTA CLARA, Calif., June 18, 2023 – SVB Financial Group (Pink Sheets: SIVBQ) today announced that it has entered into a definitive purchase agreement with the management team bidder group led by Jeff Leerink, SVB Sec |
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| June 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 17, 2023 SVB Financial Group (Exact Name of Registrant as Specified in Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| June 21, 2023 |
EX-10.1 Exhibit 10.1 INTEREST AND ASSET PURCHASE AGREEMENT by and among SVB FINANCIAL GROUP, SVB SECURITIES HOLDINGS LLC and SAFFRON BUYER LLC Dated as of June 17, 2023 TABLE OF CONTENTS Page ARTICLE I PURCHASE AND SALE; PAYMENT; CLOSING; CLOSING DELIVERIES 1.1 Purchase and Sale 2 1.2 Assignment of Assigned Debtor Contracts 5 1.3 Non-Assignment of Assets 6 1.4 Required Deposit 7 1.5 Purchase Price |
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| May 9, 2023 |
NT 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING COMMISSION FILE NUMBER 001-39154 CUSIP NUMBER 78486Q101, 78486Q200 (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: March 31, 2023 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Re |
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| April 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 18, 2023 SVB Financial Group (Exact Name of Company as Specified In Its Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| March 31, 2023 |
SIVB / SVB Financial Group / ELLINGTON MANAGEMENT GROUP LLC - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* SVB Financial Group (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 78486Q101 (CUSIP Number) March 28, 2023 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pu |
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| March 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 17, 2023 SVB Financial Group (Exact Name of Company as Specified In Its Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| March 22, 2023 |
EX-99.1 Exhibit 99.1 SVB Financial Group Files “First Day Motions” to Support Continued Operations of SVB Capital and SVB Securities and Preserve Value for Stakeholders SANTA CLARA, Calif., March 20, 2023—SVB Financial Group (“the Company”) (Nasdaq: SIVB) today announced that it has filed a number of “First Day Motions” seeking authorization from the United States Bankruptcy Court for the Southern |
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| March 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 16, 2023 SVB Financial Group (Exact Name of Company as Specified In Its Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| March 17, 2023 |
EX-99.1 Exhibit 99.1 SVB Financial Group Commences Chapter 11 Proceeding to Preserve Value SVB Securities and SVB Capital’s Funds and General Partner Entities NOT Included in Chapter 11 Filing Strategic Alternatives Process for SVB Capital and SVB Securities Operations Underway with Significant Interest SANTA CLARA, Calif., March 17, 2023 — SVB Financial Group (“the Company”) (NASDAQ: SIVB) today |
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| March 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 8, 2023 SVB Financial Group (Exact Name of Company as Specified In Its Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| March 13, 2023 |
EX-99.1 Exhibit 99.1 SVB FINANCIAL GROUP TO EXPLORE STRATEGIC ALTERNATIVES Operations Continuing at SVB Capital and SVB Securities SANTA CLARA, Calif., March 13, 2023 /PRNewswire/ — SVB Financial Group (“SVBFG”) (NASDAQ: SIVB) announced today that its Board of Directors has appointed a restructuring committee consisting of five independent directors to explore strategic alternatives for the holdin |
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| March 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 13, 2023 SVB Financial Group (Exact Name of Company as Specified In Its Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| March 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 13, 2023 SVB Financial Group (Exact Name of Company as Specified In Its Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| March 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 10, 2023 SVB Financial Group (Exact Name of Company as Specified In Its Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| March 9, 2023 |
FWP Free Writing Prospectus Filed pursuant to Rule 433 Relating to the Preliminary Prospectus Supplements each dated March 8, 2023 to the Prospectus dated March 2, 2023 Registration No. |
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| March 9, 2023 |
FWP Free Writing Prospectus Filed pursuant to Rule 433 Relating to the Preliminary Prospectus Supplements each dated March 8, 2023 to the Prospectus dated March 2, 2023 Registration No. |
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| March 9, 2023 |
424B2 Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-270229 The information in this preliminary prospectus supplement is not complete and may be changed. A registration statement relating to these securities has been filed with the Securities and Exchange Commission. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell nor do they |
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| March 9, 2023 |
FWP Free Writing Prospectus Filed pursuant to Rule 433 Relating to the Preliminary Prospectus Supplements each dated March 8, 2023 to the Prospectus dated March 2, 2023 Registration No. |
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| March 9, 2023 |
$1,250,000,000 SVB Financial Group Common Stock 424B2 Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-270229 The information in this preliminary prospectus supplement is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell these securities and are not soliciting an offer to buy these securities in any jurisdiction where the offer and sale is not |
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| March 8, 2023 |
EX-99.3 Exhibit 99.3 MESSAGE TO STAKEHOLDERS REGARDING RECENT STRATEGIC ACTIONS TAKEN BY SVB: • Today we took strategic actions to strengthen our financial position – repositioning SVB’s balance sheet to increase asset sensitivity to take advantage of the potential for higher short-term rates, partially lock in funding costs, better protect net interest income (NII) and net interest margin (NIM), |
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| March 8, 2023 |
EX-99.1 Exhibit 99.1 SVB Financial Group Announces Proposed Offerings of Common Stock and Mandatory Convertible Preferred Stock SANTA CLARA, Calif., March 8, 2023—SVB Financial Group (“SVB”) (NASDAQ: SIVB), announced today that it intends to offer $1.25 billion of its common stock and $500 million of depositary shares, consisting of 10 million depositary shares each representing a 1/20th interest |
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| March 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 8, 2023 SVB Financial Group (Exact Name of Registrant as Specified In Its Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| March 8, 2023 |
EX-99.2 Exhibit 99.2 Strategic Actions/Q1’23 Mid-Quarter Update March 8, 2023 Disclaimer The issuer has filed an automatic shelf registration statement (including a prospectus) with the SEC, which is effective. The issuer has also filed a preliminary prospectus supplement with the SEC for the offerings to which this communication relates. Before you invest, you should read the preliminary prospect |
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| March 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential,for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defini |
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| March 2, 2023 |
Exhibit 107 Calculation of Filing Fee Table FORM S-3 (Form Type) SVB Financial Group (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carr |
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| March 2, 2023 |
EX-25.1 Exhibit 25.1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE ☐ Check if an Application to Determine Eligibility of a Trustee Pursuant to Section 305(b)(2) U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION (Exact name of Trustee as specified in its charter) 91-1821036 |
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| March 2, 2023 |
As filed with the Securities and Exchange Commission on March 2, 2023 S-3ASR Table of Contents As filed with the Securities and Exchange Commission on March 2, 2023 Registration No. |
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| March 2, 2023 |
EX-24.1 Exhibit 24.1 POWER OF ATTORNEY Dated: FEBRUARY 22, 2023 KNOWN BY ALL PERSONS BY THESE PRESENTS, that the undersigned directors of SVB FINANCIAL GROUP (the “Corporation”) whose signatures appear below hereby constitute and appoint Greg W. Becker and Daniel J. Beck and either of them (so long as each such individual is an officer of the Corporation), as his or her true and lawful agent and a |
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| February 24, 2023 |
Description of Registrant's Securities EXHIBIT 4.16 DESCRIPTION OF REGISTERED SECURITIES As of December 31, 2022, SVB Financial Group (the “Company,” “we” or “us”) has two classes of securities registered under Section 12 of the Securities Exchange Act of 1934 (the “Exchange Act”): (i) our common stock and (ii) depositary shares (the “Depositary Shares”), each such share representing a 1/40th interest in a share of 5.250% fixed rate no |
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| February 24, 2023 |
EXHIBIT 21.1 SVB Financial Group Annual Report on Form 10-K Exhibit 21.1-Subsidiaries of SVB Financial Group The following is a list of the direct and indirect subsidiaries of SVB Financial Group as of December 31, 2022: Subsidiary Jurisdiction of Incorporation or Organization Silicon Valley Bank California SVB Asset Management California SPD Silicon Valley Bank Co., Ltd. China SVB Investment Serv |
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| February 24, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File Number: 001-39154 SVB F |
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| February 10, 2023 |
US77664L2079 / Root, Inc., Class A / SVB FINANCIAL GROUP - SC 13G/A Passive Investment SC 13G/A 1 a2022root-sivbform13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Root, Inc. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 77664L 207 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement |
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| February 10, 2023 |
ACHV / Achieve Life Sciences Inc / SVB FINANCIAL GROUP - SC 13G/A Passive Investment SC 13G/A 1 d435241dsc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Achieve Life Sciences, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 004468500 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statemen |
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| February 9, 2023 |
SIVB / SVB Financial Group / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SC 13G/A 1 tv01994-svbfinancialgroup.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 11)* Name of issuer: SVB Financial Group Title of Class of Securities: Common Stock CUSIP Number: 78486Q101 Date of Event Which Requires Filing of this Statement: December 30, 2022 Check the appropriate box to desig |
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| January 19, 2023 |
Exhibit 99.1 3003 Tasman Drive, Santa Clara, CA 95054 Contact: www.svb.com Meghan O'Leary Investor Relations For release at 1:00 P.M. (Pacific Time) [email protected] January 19, 2023 (408) 654-6364 NASDAQ: SIVB SVB FINANCIAL GROUP ANNOUNCES 2022 FOURTH QUARTER FINANCIAL RESULTS Board of Directors declared a quarterly dividend on Series A, B, C, D and E Preferred Stock SANTA CLARA, Calif. — January 19, 2 |
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| January 19, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 19, 2023 SVB Financial Group (Exact name of registrant as specified in its charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission Fi |
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| January 19, 2023 |
1 Q4 2022 Earnings Highlights SVB Financial Group Q4 2022 CEO Letter To our Stakeholders: In the fourth quarter of 2022, SVB delivered Earnings Per Share of $4. |
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| December 6, 2022 |
december620228-kexhibit9 Q4 2022 Deposits, NII and NIM Update December 6, 2022 November 30, 2022 Quarter-to-Date Balances for Deposits Current Q4 2022 Expectations Q4 2022 Update 2 Q4 2022 Deposits, Net Interest Income (“NII”) and Net Interest Margin (“NIM”) Update Two Months Ended November 30, 2022 Average deposits $ 174. |
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| December 6, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 6, 2022 SVB Financial Group (Exact name of registrant as specified in its charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission Fi |
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| November 23, 2022 |
Exhibit 3.2 Amended and Restated Bylaws of SVB FINANCIAL GROUP A Delaware Corporation Amended and Restated as of November 23, 2022 ARTICLE I OFFICES Section 1.Registered Office. The registered office of SVB Financial Group (the ?Corporation?) in the State of Delaware shall be at 1209 Orange Street, in the City of Wilmington, County of New Castle, 19801. The name of the Corporation?s registered age |
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| November 23, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 23, 2022 SVB Financial Group (Exact name of registrant as specified in its charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission F |
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| November 22, 2022 |
ACHV / Achieve Life Sciences Inc / SVB FINANCIAL GROUP - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Achieve Life Sciences, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 004468500 (CUSIP Number) November 18, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designa |
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| November 7, 2022 |
Preferability Letter of KPMG LLP, Independent Registered Public Accounting Firm EXHIBIT 18.1 (KPMG LLP Letterhead) November 7, 2022 The Board of Directors SVB Financial Group San Francisco, California Ladies and Gentlemen: We have been furnished with a copy of the quarterly report on Form 10-Q of SVB Financial Group (and subsidiaries) (the Company) for the three months and nine months ended September 30, 2022, and have read the Company?s statements contained in Note 1 to the |
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| November 7, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39154 SVB FINANCIAL GR |
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| October 20, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 20, 2022 SVB Financial Group (Exact name of registrant as specified in its charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission Fi |
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| October 20, 2022 |
EX-99.1 2 q322earningsrelease991.htm EX-99.1 Exhibit 99.1 3003 Tasman Drive, Santa Clara, CA 95054 Contact: www.svb.com Meghan O'Leary Investor Relations For release at 1:00 P.M. (Pacific Time) [email protected] October 20, 2022 (408) 654-6364 NASDAQ: SIVB SVB FINANCIAL GROUP ANNOUNCES 2022 THIRD QUARTER FINANCIAL RESULTS Board of Directors declared a quarterly dividend on Series A, B, C, D and E Preferr |
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| October 20, 2022 |
1 Q3 2022 Earnings Highlights SVB Financial Group Q3 2022 CEO Letter To our Stakeholders: SVB delivered Earnings Per Share of $7. |
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| September 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 14, 2022 SVB Financial Group (Exact name of registrant as specified in its charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission |
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| September 14, 2022 |
SVB Financial Group Appoints Thomas King to its Board of Directors EX-99.1 2 september1420228-kex991.htm EX-99.1 Exhibit 99.1 SVB Financial Group Appoints Thomas King to its Board of Directors SANTA CLARA, Calif. September 14, 2022 – SVB Financial Group (SVB), the financial partner of the innovation economy and parent of Silicon Valley Bank, today announced the appointment of Thomas King, former Chief Executive Officer of Investment Banking at Barclays, to its bo |
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| September 12, 2022 |
September 12, 2022 Q3 2022 NIM and NII Update Q3 2022 NIM AND NII UPDATE 2 Q3?22 Net Interest Margin (?NIM?) and Net Interest Income (?NII?) Update ? Providing Q3?22 NIM and NII expectations to include 75 bp Fed Funds rate increase on July 27, 2022 and potential for an additional 75 bp Fed Funds rate increase on September 21, 2022 ? Taking into account the Fed Funds rate increases noted above, expect Q3?22 NIM to be between 2. |
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| September 12, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 12, 2022 SVB Financial Group (Exact name of registrant as specified in its charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission |
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| August 8, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39154 SVB FINANCIAL GROUP ( |
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| July 21, 2022 |
EX-99.1 2 q222earningsrelease991.htm EX-99.1 Exhibit 99.1 3003 Tasman Drive, Santa Clara, CA 95054 Contact: www.svb.com Meghan O'Leary Investor Relations For release at 1:00 P.M. (Pacific Time) [email protected] July 21, 2022 (408) 654-6364 NASDAQ: SIVB SVB FINANCIAL GROUP ANNOUNCES 2022 SECOND QUARTER FINANCIAL RESULTS Board of Directors declared a quarterly dividend on Series A, B, C, D and E Preferred |
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| July 21, 2022 |
1 Q2 2022 Earnings Highlights SVB Financial Group Q2 2022 CEO Letter To our Stakeholders SVB delivered Earnings Per Share of $5. |
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| July 21, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 21, 2022 SVB Financial Group (Exact name of registrant as specified in its charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File |
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| June 17, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 11-K (Mark One) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 11-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number 001?39154 A. Full title of the plan |
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| May 6, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39154 SVB FINANCIAL GROUP |
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| April 29, 2022 |
Form of 4.345% Senior Fixed Rate/Floating Rate Notes due 2028 (included as Exhibit A to Exhibit 4.3) Exhibit 4.3 SVB FINANCIAL GROUP Officers? Certificate April 29, 2022 Reference is made to the Indenture dated as of September 20, 2010, by and between SVB Financial Group (the ?Company?) and U.S. Bank Trust Company, National Association (as successor in interest to U.S. Bank National Association), a national banking association, as trustee (the ?Trustee?), as supplemented by the first supplemental |
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| April 29, 2022 |
Exhibit 1.1 SVB FINANCIAL GROUP 4.345% Senior Notes due 2028 4.570% Senior Notes due 2033 Underwriting Agreement April 26, 2022 Goldman Sachs & Co. LLC BofA Securities, Inc. Morgan Stanley & Co. LLC As Representatives of the several Underwriters listed in Schedule 1 hereto c/o Goldman Sachs & Co. LLC 200 West Street New York, New York 10282 c/o BofA Securities, Inc. One Bryant Park New York, New Y |
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| April 29, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 26, 2022 SVB Financial Group (Exact Name of Registrant as Specified In Its Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| April 29, 2022 |
Exhibit 4.2 EXECUTION VERSION SVB FINANCIAL and U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, AS TRUSTEE FIRST SUPPLEMENTAL INDENTURE Dated as of April 28, 2022 to INDENTURE Dated as of September 20, 2010 FIRST SUPPLEMENTAL INDENTURE (this ?First Supplemental Indenture?), dated as of April 28, 2022, between SVB Financial Group, a Delaware corporation (the ?Company?), and U.S. Bank Trust Company, |
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| April 28, 2022 |
Exhibit 107 CALCULATION OF REGISTRATION FEE Title of Each Class of Securities to be Registered Amount to be Registered Maximum Offering Price Per Unit Maximum Aggregate Offering Price Amount of Registration Fee(1) 4. |
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| April 28, 2022 |
Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-234713 PROSPECTUS SUPPLEMENT (To Prospectus Dated November 15, 2019) SVB Financial Group $350,000,000 4.345% Senior Fixed Rate/Floating Rate Notes due 2028 $450,000,000 4.570% Senior Fixed Rate/Floating Rate Notes due 2033 We are offering by this prospectus supplement $350,000,000 principal amount of our 4.345% Senior Fixed Ra |
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| April 26, 2022 |
Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-234713 The information in this preliminary prospectus supplement is not complete and may be changed. A registration statement relating to these securities has been filed with the Securities and Exchange Commission. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell nor do they seek |
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| April 26, 2022 |
Filed pursuant to Rule 433 Registration No. 333-234713 Issuer Free Writing Prospectus dated April 26, 2022 Relating to Preliminary Prospectus Supplement dated April 26, 2022 Pricing Term Sheet $350,000,000 4.345% Senior Fixed Rate/Floating Rate Notes due 2028 $450,000,000 4.570% Senior Fixed Rate/Floating Rate Notes due 2033 Issuer: SVB Financial Group Securities: $350,000,000 4.345% Senior Fixed |
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| April 22, 2022 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 22, 2022 SVB Financial Group (Exact name of registrant as specified in its charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File |
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| April 21, 2022 |
1 Q1 2022 Earnings Highlights SVB Financial Group Q1 2022 CEO Letter To our Stakeholders SVB delivered excellent first quarter results, with Earnings Per Share of $7. |
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| April 21, 2022 |
Exhibit 99.1 3003 Tasman Drive, Santa Clara, CA 95054 Contact: www.svb.com Meghan O'Leary Investor Relations For release at 1:00 P.M. (Pacific Time) [email protected] April 21, 2022 (408) 654-6364 NASDAQ: SIVB SVB FINANCIAL GROUP ANNOUNCES 2022 FIRST QUARTER FINANCIAL RESULTS Board of Directors declared a quarterly dividend on Series A, B, C, D and E Preferred Stock SANTA CLARA, Calif. ? April 21, 2022 ? |
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| April 21, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 21, 2022 SVB Financial Group (Exact name of registrant as specified in its charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File |
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| March 22, 2022 |
Shareholder Proposal for Racial Justice Audit Submitted at SVB Financial Group Notice of Exempt Solicitation Pursuant to Rule 14a-103 Name of the Registrant: SVB Financial Group, Inc. |
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| March 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin |
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| March 4, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ????Preliminary Proxy Statement ? Confidential,for Use of the Commission Only (as permitted by Rule 1 |
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| March 1, 2022 |
Israeli Sub-Plan of the 1999 Employee Stock Purchase Plan++++ Exhibit 10.34 SVB Financial Group 1999 Employee Stock Purchase Plan ? Israeli Sub-Plan 1. GENERAL 1.1 This Sub-Plan (the ?Sub-Plan?) is adopted pursuant to the authority under Section 2(b)(iv) of the SVB Financial Group (the ?Company?) 1999 Employee Stock Purchase Plan (the ?Plan?) and shall be an integral part thereof. This Sub-Plan shall apply only to Eligible Employees who are residents of the |
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| March 1, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File Number: 001-39154 SVB F |
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| March 1, 2022 |
EXHIBIT 21.1 SVB Financial Group Annual Report on Form 10-K Exhibit 21.1-Subsidiaries of SVB Financial Group The following is a list of the direct and indirect subsidiaries of SVB Financial Group as of December 31, 2021: Subsidiary Jurisdiction of Incorporation or Organization Silicon Valley Bank California SVB Asset Management California SPD Silicon Valley Bank Co., Ltd. China SVB Wealth Advisory |
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| March 1, 2022 |
Amended and Restated 401K and Employee Stock Ownership Plan EXHIBIT 10.33 SVB FINANCIAL GROUP 401(K) AND EMPLOYEE STOCK OWNERSHIP PLAN Amended and Restated as of July 1, 2021 TABLE OF CONTENTS ARTICLE I INTRODUCTION 1 ARTICLE II DEFINITIONS 2 2.1 Account or Accounts. 2 2.2 Administrator. 2 2.3 After-Tax Contributions. 2 2.4 After-Tax Rollovers. 2 2.5 Beneficiary. 2 2.6 Board. 2 2.7 Break in Service. 2 2.8 Catch-Up Contributions. 2 2.9 Catch-Up Eligible Par |
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| March 1, 2022 |
Description of Registrant's Securities EXHIBIT 4.12 DESCRIPTION OF REGISTERED SECURITIES As of December 31, 2021, SVB Financial Group (the ?Company,? ?we? or ?us?) has two classes of securities registered under Section 12 of the Securities Exchange Act of 1934 (the ?Exchange Act?): (i) our common stock and (ii) depositary shares (the ?Depositary Shares?), each such share representing a 1/40th interest in a share of 5.250% fixed rate no |
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| February 25, 2022 |
Exhibit 99.1 SVB Financial Group Announces Board of Directors Transitions Roger Dunbar to retire as board Chair at end of current director term; Kay Matthews to become non-executive board Chair SANTA CLARA, Calif. ? February 25, 2022 ? SVB Financial Group (SVB), financial partner to the innovation economy, today announced that Roger Dunbar will retire from his role as the Chairman of the Board on |
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| February 25, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 25, 2022 (February 23, 2022) SVB Financial Group (Exact name of registrant as specified in its charter) Delaware 000-15637 91-1962278 (State or other jurisdiction of incorpor |
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| February 11, 2022 |
EXHIBIT 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, the undersigned agree to the joint filing of a Statement on Schedule 13G (including any and all amendments thereto) with respect to the Class A Common Stock, par value $0.0001 per share, of Root, Inc. and further agree to the filing of this agreement as an Exhibit thereto. |
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| February 11, 2022 |
ROOT / Root, Inc. Class A / SVB FINANCIAL GROUP - SCHEDULE 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Root, Inc. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 77664L 108 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the ru |
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| February 11, 2022 |
EXHIBIT 99.2 ITEM 7 INFORMATION The securities being reported on herein by SVB Financial Group, as a parent holding company, are owned by Capital Partners III, L.P. and Venture Overage Fund, L.P., Delaware limited partnerships, and may be deemed to be beneficially owned, by SVB Financial Group. SVB Financial Group is the managing member of SVB Capital Partners III, LLC, a Delaware limited liabilit |
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| February 10, 2022 |
SIVB / SVB Financial Group / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 10)* Name of issuer: SVB Financial Group Title of Class of Securities: Common Stock CUSIP Number: 78486Q101 Date of Event Which Requires Filing of this Statement: December 31, 2021 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |
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| January 20, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 20, 2022 SVB Financial Group (Exact name of registrant as specified in its charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission Fi |
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| January 20, 2022 |
Exhibit 99.1 3003 Tasman Drive, Santa Clara, CA 95054 Contact: www.svb.com Meghan O'Leary Investor Relations For release at 1:00 P.M. (Pacific Time) [email protected] January 20, 2022 (408) 654-6364 NASDAQ: SIVB SVB FINANCIAL GROUP ANNOUNCES 2021 FOURTH QUARTER AND FULL YEAR FINANCIAL RESULTS Board of Directors declared a quarterly dividend on Series A, B, C, D and E Preferred Stock SANTA CLARA, Calif. ? |
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| January 20, 2022 |
1 Q4 2021 Earnings Highlights SVB Financial Group Q4 2021 CEO Letter January 20, 2022 To our Stakeholders Our fourth quarter represented a strong finish to an exceptional year, with quarterly Earnings Per Share of $6. |
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| December 29, 2021 |
EXHIBIT 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, the undersigned agree to the joint filing of a Statement on Schedule 13G (including any and all amendments thereto) with respect to the Common Stock, par value $0.001 per share, of Achieve Life Sciences, Inc. and further agree to the filing of this agreement as an Exhibit |
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| December 29, 2021 |
EXHIBIT 99.2 ITEM 7 INFORMATION The securities being reported on herein by SVB Financial Group, as a parent holding company, are issuable to SVB Financial Group, SVB Innovation Credit Fund VIII, L.P., and Innovation Credit Fund VIII-A, L.P. upon the exercise of contingent convertible debt held by Silicon Valley Bank, SVB Innovation Credit Fund VIII, L.P., and Innovation Credit Fund VIII-A, L.P., r |
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| December 29, 2021 |
ACHV / Achieve Life Sciences Inc / SVB FINANCIAL GROUP - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Achieve Life Sciences, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 004468500 (CUSIP Number) December 22, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate |
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| December 15, 2021 |
As filed with the Securities and Exchange Commission on December 15, 2021 Registration No. |
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| November 9, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 9, 2021 SVB Financial Group (Exact name of registrant as specified in its charter) Delaware 000-15637 91-1962278 (State or other jurisdiction of incorporation) (Commission Fi |
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| November 9, 2021 |
SVB FINANCIAL GROUP APPOINTS ELIZABETH BURR TO ITS BOARD OF DIRECTORS EX-99.1 2 elizabethburrpressrelease.htm EX-99.1 Exhibit 99.1 SVB FINANCIAL GROUP APPOINTS ELIZABETH BURR TO ITS BOARD OF DIRECTORS SANTA CLARA, Calif. — November 9, 2021 — SVB Financial Group (SVB) today announced the appointment of Elizabeth “Busy” Burr, former President and Chief Commercial Officer of Carrot, Inc., who has also led innovation efforts at Citigroup and Humana, to its board of dire |
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| November 8, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39154 SVB FINANCIAL GR |
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| October 28, 2021 |
EX-1.2 3 d233546dex12.htm EX-1.2 Exhibit 1.2 $600,000,000 SVB FINANCIAL GROUP 600,000 Depositary Shares, each representing a 1/100th interest in a share of Series E Non-Cumulative Perpetual Preferred Stock ($0.001 par value per share, liquidation preference $100,000 per share) Underwriting Agreement October 25, 2021 BofA Securities, Inc. As Representative of the several Underwriters listed in Sche |
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| October 28, 2021 |
Exhibit 3.2 CERTIFICATE OF DESIGNATIONS OF SERIES E NON-CUMULATIVE PERPETUAL PREFERRED STOCK OF SVB FINANCIAL GROUP Pursuant to Section 151 of the Delaware General Corporation Law SVB Financial Group, a Delaware corporation (the ?Corporation?), hereby certifies that: In accordance with the resolutions of the Board of Directors of the Corporation (the ?Board of Directors?) adopted at a meeting duly |
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| October 28, 2021 |
Form of certificate representing the Series E Preferred Stock EX-4.3 9 d233546dex43.htm EX-4.3 Exhibit 4.3 SVB FINANCIAL GROUP Incorporated under the laws of the State of Delaware NUMBER 1 SERIES E NON-CUMULATIVE 6,000 CUSIP 78486Q AQ4 PERPETUAL PREFERRED STOCK SHARES This is to certify that American Stock Transfer & Trust Company, LLC, as depositary, under the Deposit Agreement, dated as of October 28, 2021, among SVB Financial Group, a Delaware corporation |
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| October 28, 2021 |
Form of 1.800% Senior Notes due 2026 Exhibit 4.6 SVB FINANCIAL GROUP Officers? Certificate October 28, 2021 Reference is made to the Indenture dated as of September 20, 2010 (the ?Base Indenture,? and together with this Officers? Certificate, the ?Indenture?) by and between SVB Financial Group (the ?Company?) and U.S. Bank National Association, as trustee (the ?Trustee?). The Trustee is the trustee for any and all securities issued u |
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| October 28, 2021 |
Exhibit 4.1 DEPOSIT AGREEMENT among SVB FINANCIAL GROUP as Issuer and AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC, as Depositary and THE HOLDERS FROM TIME TO TIME OF THE DEPOSITARY RECEIPTS DESCRIBED HEREIN Dated as of October 28, 2021 ARTICLE I DEFINED TERMS 1 Section 1.1. Definitions 1 ARTICLE II FORM OF RECEIPTS, DEPOSIT OF THE PREFERRED SHARES, EXECUTION AND DELIVERY, TRANSFER, SURRENDER AND |
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| October 28, 2021 |
EX-1.1 2 d233546dex11.htm EX-1.1 Exhibit 1.1 $1,000,000,000 SVB FINANCIAL GROUP 1,000,000 Depositary Shares, each representing a 1/100th interest in a share of Series D Non-Cumulative Perpetual Preferred Stock ($0.001 par value per share, liquidation preference $100,000 per share) Underwriting Agreement October 25, 2021 BofA Securities, Inc. As Representative of the several Underwriters listed in |
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| October 28, 2021 |
Form of certificate representing the Series D Preferred Stock EX-4.2 8 d233546dex42.htm EX-4.2 Exhibit 4.2 SVB FINANCIAL GROUP Incorporated under the laws of the State of Delaware NUMBER 1 CUSIP 78486Q AP6 SERIES D NON-CUMULATIVE PERPETUAL PREFERRED STOCK 10,000 SHARES This is to certify that American Stock Transfer & Trust Company, LLC, as depositary, under the Deposit Agreement, dated as of October 28, 2021, among SVB Financial Group, a Delaware corporatio |
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| October 28, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 25, 2021 SVB Financial Group (Exact Name of Registrant as Specified In Its Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| October 28, 2021 |
EX-1.3 4 d233546dex13.htm EX-1.3 Exhibit 1.3 $650,000,000 SVB FINANCIAL GROUP 1.800% Senior Notes due 2026 Underwriting Agreement October 25, 2021 BofA Securities, Inc. As Representative of the several Underwriters listed in Schedule 1 hereto c/o BofA Securities, Inc. One Bryant Park New York, New York 10036 Ladies and Gentlemen: SVB Financial Group, a Delaware corporation (the “Company”), propose |
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| October 28, 2021 |
Exhibit 3.1 CERTIFICATE OF DESIGNATIONS OF SERIES D NON-CUMULATIVE PERPETUAL PREFERRED STOCK OF SVB FINANCIAL GROUP Pursuant to Section 151 of the Delaware General Corporation Law SVB Financial Group, a Delaware corporation (the ?Corporation?), hereby certifies that: In accordance with the resolutions of the Board of Directors of the Corporation (the ?Board of Directors?) adopted at a meeting duly |
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| October 27, 2021 |
Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-234713 CALCULATION OF REGISTRATION FEE Title of Each Class of Securities to be Registered Amount to be Registered Maximum Offering Price Per Unit Maximum Aggregate Offering Price Amount of Registration Fee(1) Depositary Shares Each Representing a 1/100th Interest in a Share of Series E Non-Cumulative Perpetual Preferred Stock |
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| October 27, 2021 |
Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-234713 CALCULATION OF REGISTRATION FEE Title of Each Class of Securities to be Registered Amount to be Registered Maximum Offering Price Per Unit Maximum Aggregate Offering Price Amount of Registration Fee (1) 1.800% Senior Notes due 2026 $650,000,000 99.876% $649,194,000 $60,180.28 (1) Calculated in accordance with Rule 457(r |
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| October 27, 2021 |
Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-234713 CALCULATION OF REGISTRATION FEE Title of Each Class of Securities to be Registered Amount to be Registered Maximum Offering Price Per Unit Maximum Aggregate Offering Price Amount of Registration Fee (1) Depositary Shares Each Representing a 1/100th Interest in a Share of Series D Non-Cumulative Perpetual Preferred Stock |
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| October 26, 2021 |
Filed pursuant to Rule 433 Registration Statement No. 333-234713 SVB FINANCIAL GROUP $600,000,000 600,000 Depositary Shares, Each Representing a 1/100th Interest in a Share of Series E Non-Cumulative Perpetual Preferred Stock Liquidation Preference $100,000 Per Share of Preferred Stock (equivalent to $1,000 Per Depositary Share) Term Sheet October 25, 2021 The following information relates only to |
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| October 26, 2021 |
Filed pursuant to Rule 433 Registration Statement No. 333-234713 SVB FINANCIAL GROUP $1,000,000,000 1,000,000 Depositary Shares, Each Representing a 1/100th Interest in a Share of Series D Non-Cumulative Perpetual Preferred Stock Liquidation Preference $100,000 Per Share of Preferred Stock (equivalent to $1,000 Per Depositary Share) Term Sheet October 25, 2021 The following information relates onl |
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| October 26, 2021 |
Filed pursuant to Rule 433 Registration No. 333-234713 Issuer Free Writing Prospectus dated October 25, 2021 Relating to Preliminary Prospectus Supplement dated October 25, 2021 Pricing Term Sheet $650,000,000 1.800% Senior Notes due 2026 Issuer: SVB Financial Group Ranking: Senior Notes Principal Amount: $650,000,000 Coupon: 1.800% Yield to Maturity: 1.826% Price to Public: 99.876% of face amount |
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| October 25, 2021 |
(Subject to Completion) (To Prospectus dated November 15, 2019) Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-234713 The information in this preliminary prospectus supplement is not complete and may be changed. A registration statement relating to these securities has been filed with the Securities and Exchange Commission. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell nor do they seek |
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| October 25, 2021 |
Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-234713 The information in this preliminary prospectus supplement is not complete and may be changed. A registration statement relating to these securities has been filed with the Securities and Exchange Commission. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell nor do they seek |
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| October 25, 2021 |
PRELIMINARY PROSPECTUS SUPPLEMENT (Subject to Completion) Table of Contents The information in this preliminary prospectus supplement is not complete and may be changed. |
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| October 21, 2021 |
EX-99.1 2 q321earningsrelease991.htm EX-99.1 Exhibit 99.1 3003 Tasman Drive, Santa Clara, CA 95054 Contact: www.svb.com Meghan O'Leary Investor Relations For release at 1:00 P.M. (Pacific Time) [email protected] October 21, 2021 (408) 654-6364 NASDAQ: SIVB SVB FINANCIAL GROUP ANNOUNCES 2021 THIRD QUARTER FINANCIAL RESULTS Board of Directors declared a quarterly dividend on Series A, Series B and Series C |
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| October 21, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 21, 2021 SVB Financial Group (Exact name of registrant as specified in its charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission Fi |
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| October 21, 2021 |
1 Q3 2021 Earnings Highlights SVB Financial Group Q3 2021 CEO Letter October 21, 2021 To our Stakeholders SVB delivered exceptional financial performance in the third quarter, with Earnings Per Share of $6. |
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| August 12, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 9, 2021 SVB Financial Group (Exact Name of Registrant as Specified In Its Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| August 12, 2021 |
Exhibit 1.1 SVB FINANCIAL GROUP Common Stock Underwriting Agreement August 9, 2021 Goldman Sachs & Co. LLC As Representative of the several Underwriters listed in Schedule 1 hereto c/o Goldman Sachs & Co. LLC 200 West Street New York, New York 10282 Ladies and Gentlemen: SVB Financial Group, a Delaware corporation (the ?Company?), proposes to issue and sell to the several Underwriters listed in Sc |
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| August 11, 2021 |
Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-234713 CALCULATION OF REGISTRATION FEE Title of Each Class of Securities to be Registered Amount to be Registered(1) Maximum Offering Price Per Unit Maximum Aggregate Offering Price Amount of Registration Fee(2) Common Stock, par value $0.001 per share 2,561,000 $564.00 $1,444,404,000 $157,584.48 (1) Includes the 334,000 share |
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| August 9, 2021 |
Filed pursuant to Rule 433 Registration No. 333-234713 Issuer Free Writing Prospectus dated August 9, 2021 SVB Financial Group Announces Proposed Offering of Common Stock SANTA CLARA, Calif., Aug. 9, 2021 - SVB Financial Group (?SVB?) (NASDAQ: SIVB), announced today that it intends to offer 2,227,000 shares of its common stock in an underwritten registered public offering. SVB also intends to gran |
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| August 6, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39154 SVB FINANCIAL GROUP ( |
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| July 22, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 22, 2021 SVB Financial Group (Exact name of registrant as specified in its charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File |
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| July 22, 2021 |
Exhibit 99.1 3003 Tasman Drive, Santa Clara, CA 95054 Contact: www.svb.com Meghan O'Leary Investor Relations For release at 1:00 P.M. (Pacific Time) (408) 654-6364 July 22, 2021 NASDAQ: SIVB SVB FINANCIAL GROUP ANNOUNCES 2021 SECOND QUARTER FINANCIAL RESULTS Board of Directors declared a quarterly dividend on Series A, Series B and Series C Preferred Stock SANTA CLARA, Calif. ? July 22, 2021 ? SVB |
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| July 22, 2021 |
1 Q2 2021 Earnings Highlights SVB Financial Group Q2 2021 CEO Letter July 22, 2021 To our Stakeholders: SVB delivered another quarter of outstanding financial performance, with Earnings Per Share of $9. |
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| July 1, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 1, 2021 SVB Financial Group (Exact name of registrant as specified in its charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File N |
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| July 1, 2021 |
As filed with the Securities and Exchange Commission on July 1, 2021 Registration No. |
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| July 1, 2021 |
SVB Financial Group Completes Acquisition of Boston Private Exhibit 99.1 SVB Financial Group Completes Acquisition of Boston Private SANTA CLARA, Calif. ? July 1, 2021 ? SVB Financial Group (?SVB?) (Nasdaq: SIVB), the parent of Silicon Valley Bank, today announced it has completed the acquisition of Boston Private Financial Holdings, Inc. (?Boston Private?), the parent company of Boston Private Bank & Trust Company (?Boston Private Bank?), a leading provid |
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| June 21, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 11-K (Mark One) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 11-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission file number 001?39154 A. Full title of the plan |
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| May 13, 2021 |
EX-1.1 2 d537095dex11.htm EX-1.1 Exhibit 1.1 $1,000,000,000 SVB FINANCIAL GROUP 1,000,000 Depositary Shares, each representing a 1/100th interest in a share of Series C Non-Cumulative Perpetual Preferred Stock ($0.001 par value per share, liquidation preference $100,000 per share) Underwriting Agreement May 6, 2021 BofA Securities, Inc. Goldman Sachs & Co. LLC As Representatives of the several Und |
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| May 13, 2021 |
EX-3.1 4 d537095dex31.htm EX-3.1 Exhibit 3.1 CERTIFICATE OF DESIGNATIONS OF SERIES C NON-CUMULATIVE PERPETUAL PREFERRED STOCK OF SVB FINANCIAL GROUP Pursuant to Section 151 of the Delaware General Corporation Law SVB Financial Group, a Delaware corporation (the “Corporation”), hereby certifies that: In accordance with the resolutions of the Board of Directors of the Corporation (the “Board of Dire |
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| May 13, 2021 |
EX-4.2 5 d537095dex42.htm EX-4.2 Exhibit 4.2 DEPOSIT AGREEMENT among SVB FINANCIAL GROUP as Issuer and AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC, as Depositary and THE HOLDERS FROM TIME TO TIME OF THE DEPOSITARY RECEIPTS DESCRIBED HEREIN Dated as of May 13, 2021 ARTICLE I DEFINED TERMS 1 Section 1.1. Definitions 1 ARTICLE II FORM OF RECEIPTS, DEPOSIT OF THE PREFERRED SHARES, EXECUTION AND DELIV |
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| May 13, 2021 |
Form of certificate representing the Series C Preferred Stock EX-4.3 6 d537095dex43.htm EX-4.3 Exhibit 4.3 SVB FINANCIAL GROUP Incorporated under the laws of the State of Delaware NUMBER 1 CUSIP 78486Q AJ0 SERIES C NON-CUMULATIVE PERPETUAL PREFERRED STOCK 10,000 SHARES This is to certify that American Stock Transfer & Trust Company, LLC, as depositary, under the Deposit Agreement, dated as of May 13, 2021, among SVB Financial Group, a Delaware corporation (t |
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| May 13, 2021 |
Officers’ Certificate dated May 13, 2021, delivered pursuant to the Indenture Exhibit 4.6 SVB FINANCIAL GROUP Officers? Certificate May 13, 2021 Reference is made to the Indenture dated as of September 20, 2010 (the ?Base Indenture,? and together with this Officers? Certificate, the ?Indenture?) by and between SVB Financial Group (the ?Company?) and U.S. Bank National Association, as trustee (the ?Trustee?). The Trustee is the trustee for any and all securities issued under |
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| May 13, 2021 |
Form of 2.100% Senior Notes due 2028 Exhibit 4.7 2.100% SENIOR NOTE DUE 2028 UNLESS THIS NOTE IS PRESENTED BY AN AUTHORIZED REPRESENTATIVE OF THE DEPOSITORY TRUST COMPANY, A NEW YORK CORPORATION (?DTC?), TO THE COMPANY OR ITS AGENT FOR REGISTRATION OF TRANSFER, EXCHANGE OR PAYMENT, AND ANY NOTE ISSUED IS REGISTERED IN THE NAME OF CEDE & CO. OR IN SUCH OTHER NAME AS IS REQUESTED BY AN AUTHORIZED REPRESENTATIVE OF DTC (AND ANY PAYMENT |
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| May 13, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 12, 2021 SVB Financial Group (Exact Name of Registrant as Specified In Its Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| May 13, 2021 |
Exhibit 1.2 $500,000,000 SVB FINANCIAL GROUP 2.100% Senior Notes due 2028 Underwriting Agreement May 6, 2021 BofA Securities, Inc. Goldman Sachs & Co. LLC As Representatives of the several Underwriters listed in Schedule 1 hereto c/o BofA Securities, Inc. One Bryant Park New York, New York 10036 c/o Goldman Sachs & Co. LLC 200 West Street New York, New York 10282 Ladies and Gentlemen: SVB Financia |
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| May 10, 2021 |
Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-234713 CALCULATION OF REGISTRATION FEE Title of Each Class of Securities to be Registered Amount to be Registered Maximum Offering Price Per Unit Maximum Aggregate Offering Price Amount of Registration Fee (1) Depositary Shares Each Representing a 1/100th Interest in a Share of Series C Non-Cumulative Perpetual Preferred Stock |
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| May 10, 2021 |
Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-234713 CALCULATION OF REGISTRATION FEE Title of Each Class of Securities to be Registered Amount to be Registered Maximum Offering Price Per Unit Maximum Aggregate Offering Price Amount of Registration Fee (1) 2.100% Senior Notes due 2028 $500,000,000 99.883% $499,415,000 $54,486.18 (1) Calculated in accordance with Rule 457(r |
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| May 10, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39154 SVB FINANCIAL GROUP |
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| May 7, 2021 |
Filed pursuant to Rule 433 Registration Statement No. 333-234713 SVB FINANCIAL GROUP $1,000,000,000 1,000,000 Depositary Shares, Each Representing a 1/100th Interest in a Share of Series C Non-Cumulative Perpetual Preferred Stock Liquidation Preference $100,000 Per Share of Preferred Stock (equivalent to $1,000 Per Depositary Share) Term Sheet May 6, 2021 The following information relates only to |
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| May 7, 2021 |
Filed pursuant to Rule 433 Registration No. 333-234713 Issuer Free Writing Prospectus dated May 6, 2021 Relating to Preliminary Prospectus Supplement dated May 6, 2021 Pricing Term Sheet $500,000,000 2.100% Senior Notes due 2028 Issuer: SVB Financial Group Ranking: Senior Notes Principal Amount: $500,000,000 Coupon: 2.100% Yield to Maturity: 2.118% Price to Public: 99.883% of face amount, plus acc |
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| May 6, 2021 |
424B2 Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-234713 The information in this preliminary prospectus supplement is not complete and may be changed. A registration statement relating to these securities has been filed with the Securities and Exchange Commission. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell nor do they |
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| May 6, 2021 |
$ SVB Financial Group % Senior Notes due 20 424B2 Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-234713 The information in this preliminary prospectus supplement is not complete and may be changed. A registration statement relating to these securities has been filed with the Securities and Exchange Commission. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell nor do they |
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| April 30, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 30, 2021 SVB Financial Group (Exact name of registrant as specified in its charter) Delaware 000-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File |
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| April 30, 2021 |
SVB Financial Group Reiterates That It Will Not Increase Purchase Price for Boston Private Exhibit 99.1 SVB Financial Group Reiterates That It Will Not Increase Purchase Price for Boston Private SANTA CLARA, Calif. ? APRIL 30, 2021 ? SVB Financial Group (?SVB?) (NASDAQ: SIVB) remains fully committed to the merger with Boston Private Financial Holdings, Inc. (?Boston Private?) (NASDAQ: BPFH) and looks forward to completing the transaction. However, in response to HoldCo Asset Management? |
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| April 30, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 30, 2021 SVB Financial Group (Exact name of registrant as specified in its charter) Delaware 000-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File |
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| April 27, 2021 |
SVB FINANCIAL GROUP CONFIRMS ANNOUNCED PURCHASE PRICE FOR BOSTON PRIVATE IS ‘BEST AND FINAL’ EX-99.1 2 d165453dex991.htm EX-99.1 Exhibit 99.1 SVB FINANCIAL GROUP CONFIRMS ANNOUNCED PURCHASE PRICE FOR BOSTON PRIVATE IS ‘BEST AND FINAL’ SANTA CLARA, Calif. — APRIL 27, 2021 — On April 27, 2021 Boston Private Financial Holdings, Inc. (“Boston Private”) (NASDAQ: BPFH) adjourned its special meeting of shareholders until May 4, 2021 to solicit additional votes in support of the merger between Bo |
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| April 27, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 27, 2021 SVB Financial Group (Exact name of registrant as specified in its charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File |
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| April 27, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 27, 2021 SVB Financial Group (Exact name of registrant as specified in its charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File |
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| April 26, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 22, 2021 SVB Financial Group (Exact name of registrant as specified in its charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File |
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| April 22, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 22, 2021 SVB Financial Group (Exact name of registrant as specified in its charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File |
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| April 22, 2021 |
1 Q1 2021 Earnings Highlights SVB Financial Group Q1 2021 CEO Letter April 22, 2021 To our Stakeholders: SVB?s first quarter of 2021 was the best in our history, with Earnings Per Share of $10. |
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| April 22, 2021 |
EX-99.1 2 q121earningsrelease991.htm EXHIBIT 99.1 Exhibit 99.1 3003 Tasman Drive, Santa Clara, CA 95054 Contact: www.svb.com Meghan O'Leary Investor Relations For release at 1:00 P.M. (Pacific Time) (408) 654-6364 April 22, 2021 NASDAQ: SIVB SVB FINANCIAL GROUP ANNOUNCES 2021 FIRST QUARTER FINANCIAL RESULTS Board of Directors declared a quarterly dividend on Series A and Series B Preferred Stock S |
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| April 14, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 14, 2021 SVB Financial Group (Exact Name of Registrant as Specified In Its Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| March 25, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 22, 2021 SVB Financial Group (Exact Name of Registrant as Specified In Its Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| March 25, 2021 |
EX-1.1 2 d48631dex11.htm EX-1.1 Exhibit 1.1 SVB FINANCIAL GROUP Common Stock Underwriting Agreement March 22, 2021 Goldman Sachs & Co. LLC BofA Securities, Inc. As Representatives of the several Underwriters listed in Schedule 1 hereto c/o Goldman Sachs & Co. LLC 200 West Street New York, New York 10282 c/o BofA Securities, Inc. One Bryant Park New York, New York 10036 Ladies and Gentlemen: SVB Fi |
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| March 24, 2021 |
424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-234713 CALCULATION OF REGISTRATION FEE Title of Each Class of Securities to be Registered Amount to be Registered(1) Maximum Offering Price Per Unit Maximum Aggregate Offering Price Amount of Registration Fee(2) Common Stock, par value $0.001 per share 2,300,000 $500.00 $1,150,000,000 $125,465.00 (1) Includes the 300,000 |
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| March 22, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 22, 2021 SVB Financial Group (Exact Name of Registrant as Specified In Its Charter) Delaware 001-39154 91-1962278 (State or other jurisdiction of incorporation) (Commission File Number) (I. |
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| March 22, 2021 |
424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-234713 The information in this preliminary prospectus supplement is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell these securities and are not soliciting an offer to buy these securities in any jurisdiction where the offer and sale is not |
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| March 22, 2021 |
SVB Financial Group Announces Proposed Offering of Common Stock EX-99.2 3 d155265dex992.htm EX-99.2 Exhibit 99.2 SVB Financial Group Announces Proposed Offering of Common Stock SANTA CLARA, Calif., Mar. 22, 2021 - SVB Financial Group (“SVB”) (NASDAQ: SIVB), announced today that it intends to offer 2,000,000 shares of its common stock in an underwritten registered public offering. SVB also intends to grant the underwriters an option to purchase up to an additio |
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| March 22, 2021 |
EX-99.1 2 d155265dex991.htm EX-99.1 Exhibit 99.1 Key First Quarter 2021 Trends As of March 16, 2021, we have made the following observations: • Continued strong fundraising and exit activity by our clients driving higher than expected balance sheet growth (from March 1, 2021 through March 16, 2021, average deposits were approximately $118 billion and average off-balance sheet client funds were app |
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| March 18, 2021 |
MERGER PROPOSED—YOUR VOTE IS VERY IMPORTANT Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-253002 MERGER PROPOSED?YOUR VOTE IS VERY IMPORTANT Dear Shareholder of Boston Private Financial Holdings, Inc.: On January 4, 2021, Boston Private Financial Holdings, Inc., or Boston Private, and SVB Financial Group, or SVB Financial, entered into an Agreement and Plan of Merger, which we refer to as the ?merger agreement,? pu |
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| March 16, 2021 |
SVB Financial Group 3003 Tasman Drive Santa Clara, California 95054 SVB Financial Group 3003 Tasman Drive Santa Clara, California 95054 March 16, 2021 Via EDGAR United States Securities and Exchange Commission, Division of Corporation Finance, 100 F Street, N. |
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| March 16, 2021 |
Consent of Morgan Stanley & Co. LLC. EX-99.2 8 d97737dex992.htm EX-99.2 Exhibit 99.2 Consent of Morgan Stanley & Co. LLC We hereby consent to the use in Amendment No. 1 to the Registration Statement (the “Registration Statement”) of SVB Financial Group on Form S-4 and in the Proxy Statement/Prospectus of Boston Private Financial Holdings, Inc. and SVB Financial Group, which is part of the Registration Statement, of our written opinio |
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| March 16, 2021 |
Table of Contents As filed with the Securities and Exchange Commission on March 16, 2021 Registration No. |
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| March 16, 2021 |
Form of Boston Private Proxy Card. Exhibit 99.1 PLEASE VOTE TODAY! SEE REVERSE SIDE FOR THREE EASY WAYS TO VOTE. q TO VOTE BY MAIL, PLEASE DETACH PROXY CARD HERE, SIGN, DATE AND RETURN IN THE POSTAGE-PAID ENVELOPE PROVIDED q THIS WHITE PROXY IS SOLICITED ON BEHALF OF THE BOARD OF DIRECTORS OF BOSTON PRIVATE FINANCIAL HOLDINGS, INC. SPECIAL MEETING OF SHAREHOLDERS ? APRIL 27, 2021 The undersigned appoints each of Christopher A. Coop |
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| March 4, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ????Preliminary Proxy Statement ? Confidential,for Use of the Commission Only (as permitted by Rule 1 |
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| March 4, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin |
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| March 1, 2021 |
Exhibit 10.28 Notice of Grant of Restricted Stock Award and Award Agreement SVB FINANCIAL GROUP ID: 94-2875288 3003 Tasman Drive Santa Clara, CA 95054 Name Address City, State, Zip Award Number: Plan: 2006 Equity Incentive Plan ID: Grant Agreement: Participant Name: Employee ID: Grant Number: Number of Shares of Restricted Stock: Date of Grant: Purchase Price per Share: Total Purchase Price: Expir |
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| March 1, 2021 |
Exhibit 10.21 Notice of Grant of Restricted Stock Unit Award and Award Agreement (Performance-Based) SVB FINANCIAL GROUP ID: 94-2875288 3003 Tasman Drive Santa Clara, CA 95054 Grant Agreement: Participant Name: Grant Name: Employee Number: Issue Date/Date of Grant: Total RSUs: Up to Grant Price: <$**.** USD> Plan: <2006 Equity Incentive Plan> Vesting Schedule - RSU The vesting of the RSUs (as defi |
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| March 1, 2021 |
Exhibit 10.24 Notice of Grant of Incentive Stock Options and Award Agreement SVB FINANCIAL GROUP ID: 94-2875288 3003 Tasman Drive Santa Clara, CA 95054 Name Address City, State, Zip Option Number: Plan: 2006 Equity Incentive Plan ID: Grant Agreement: Participant Name: Employee ID: Grant Number: Grant Type: Date of Grant: Option Price per Share: Total Option Price: Expiration Date: Vesting Schedule |
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| March 1, 2021 |
EX-21.1 15 sivb-12312020x10kex211.htm SUBSIDIARIES OF SVB FINANCIAL GROUP EXHIBIT 21.1 SVB Financial Group Annual Report on Form 10-K Exhibit 21.1-Subsidiaries of SVB Financial Group The following is a list of the direct and indirect subsidiaries of SVB Financial Group as of December 31, 2020: Subsidiary Jurisdiction of Incorporation or Organization Gold Hill Venture Lending Partners 03, LLC Calif |
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| March 1, 2021 |
Form of Incentive Stock Option Agreement under 2006 Equity Incentive Plan Exhibit 10.18 Notice of Grant of Incentive Stock Options and Award Agreement SVB FINANCIAL GROUP ID: 94-2875288 3003 Tasman Drive Santa Clara, CA 95054 Name Address City, State, Zip Option Number: Plan: 2006 Equity Incentive Plan ID: Grant Agreement: Participant Name: Employee ID: Grant Number: Grant Type: Date of Grant: Option Price per Share: Total Option Price: Expiration Date: Vesting Schedule |
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| March 1, 2021 |
Form of Restricted Stock Award Agreement under 2006 Equity Incentive Plan+++ Exhibit 10.22 Notice of Grant of Restricted Stock Award and Award Agreement SVB FINANCIAL GROUP ID: 94-2875288 3003 Tasman Drive Santa Clara, CA 95054 Name Address City, State, Zip Award Number: Plan: 2006 Equity Incentive Plan ID: Grant Agreement: Participant Name: Employee ID: Grant Number: Number of Shares of Restricted Stock: Date of Grant: Purchase Price per Share: Total Purchase Price: Expir |
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| March 1, 2021 |
EX-10.20 5 ex10ormofglobalrsuagreement.htm FORM OF RESTRICTED STOCK UNIT AGREEMENT UNDER 2006 EQUITY INCENTIVE PLAN (SUBJECT TO TIME-BASED VESTING) Exhibit 10.20 Notice of Grant of Restricted Stock Unit Award and Award Agreement (Time-Based Vesting) SVB FINANCIAL GROUP ID: 94-2875288 3003 Tasman Drive Santa Clara, CA 95054 Grant Agreement: Participant Name: Grant Name: Employee Number: Issue Date/ |
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| March 1, 2021 |
Form of Nonqualified Stock Option Agreement under 2006 Equity Incentive Plan+++ EX-10.19 4 ex1019-formofglobalnqstock.htm FORM OF NONQUALIFIED STOCK OPTION AGREEMENT UNDER 2006 EQUITY INCENTIVE PLAN Exhibit 10.19 Notice of Grant of Stock Options and Award Agreement SVB FINANCIAL GROUP ID: 94-2875288 3003 Tasman Drive Santa Clara, CA 95054 Grant Agreement: Participant Name: ###PARTICIPANTNAME### Grant Name: ###GRANTNAME### Employee Number: ###EMPLOYEENUMBER### Issue Date/Date |
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| March 1, 2021 |
EX-10.27 12 ex1027-formofprsuagreement.htm FORM OF RESTRICTED STOCK UNIT AGREEMENT UNDER 2006 EIP (SUBJECT TO PERFORMANCE-BASED VESTING)(CONTINUED VESTING UPON RETIREMENT) Exhibit 10.27 Notice of Grant of Restricted Stock Unit Award and Award Agreement (Performance-Based) SVB FINANCIAL GROUP ID: 94-2875288 3003 Tasman Drive Santa Clara, CA 95054 Grant Agreement: Participant Name: Grant Name: Emplo |
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| March 1, 2021 |
EX-10.8 2 sivb-2006equityincentivepl.htm 2006 EQUITY INCENTIVE PLAN Exhibit 10.8 SVB FINANCIAL GROUP 2006 EQUITY INCENTIVE PLAN Amended October 21, 2020 1.Purposes of the Plan. The purposes of this Plan are: •to attract and retain the best available personnel for positions of substantial responsibility, •to provide incentives to individuals who perform services to the Company, •to align with stock |
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| March 1, 2021 |
Exhibit 10.29 Notice of Grant of Stock Appreciation Rights and Award Agreement SVB FINANCIAL GROUP ID: 94-2875288 3003 Tasman Drive Santa Clara, CA 95054 Grant Agreement: Participant Name: ###PARTICIPANTNAME### Grant Name: ###GRANTNAME### Employee Number: ###EMPLOYEENUMBER### Date of Grant: ###ISSUEDATE### Total Stock Appreciation Rights: Total ###DICTIONARYAWARDNAME###: ###TOTALAWARDS### Expiry/E |
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| March 1, 2021 |
Exhibit 10.25 Notice of Grant of Stock Options and Award Agreement SVB FINANCIAL GROUP ID: 94-2875288 3003 Tasman Drive Santa Clara, CA 95054 Grant Agreement: Participant Name: ###PARTICIPANTNAME### Grant Name: ###GRANTNAME### Employee Number: ###EMPLOYEENUMBER### Issue Date/Date of Grant: ###ISSUEDATE### Total Nonqualified Stock Options: Total ###DICTIONARYAWARDNAME###: ###TOTALAWARDS### Expiry/E |
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| March 1, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to . Commission File Number: 000-15637 SVB F |
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| March 1, 2021 |
Form of Stock Appreciation Rights Agreement under 2006 Equity Incentive Plan+++ Exhibit 10.23 Notice of Grant of Stock Appreciation Rights and Award Agreement SVB FINANCIAL GROUP ID: 94-2875288 3003 Tasman Drive Santa Clara, CA 95054 Grant Agreement: Participant Name: ###PARTICIPANTNAME### Grant Name: ###GRANTNAME### Employee Number: ###EMPLOYEENUMBER### Date of Grant: ###ISSUEDATE### Total Stock Appreciation Rights: Total ###DICTIONARYAWARDNAME###: ###TOTALAWARDS### Expiry/E |
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| March 1, 2021 |
EX-10.26 11 ex1026-formofrsuagreementx.htm FORM OF RESTRICTED STOCK UNIT AGREEMENT UNDER 2006 EIP (SUBJECT TO TIME-BASED VESTING)(CONTINUED VESTING UPON RETIREMENT) Exhibit 10.26 Notice of Grant of Restricted Stock Unit Award and Award Agreement (Time-Based Vesting) SVB FINANCIAL GROUP ID: 94-2875288 3003 Tasman Drive Santa Clara, CA 95054 Grant Agreement: Participant Name: Grant Name: Employee Nu |
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| February 26, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 26, 2021 SVB Financial Group (Exact name of registrant as specified in its charter) Delaware 000-15637 91-1962278 (State or other jurisdiction of incorporation) (Commission F |
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| February 12, 2021 |
EXHIBIT 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, the undersigned agree to the joint filing of a Statement on Schedule 13G (including any and all amendments thereto) with respect to the Class A Common Stock, par value $0.0001 per share, of Root, Inc. and further agree to the filing of this agreement as an Exhibit thereto. |
