SIVB 10-K Annual Report Dec. 31, 2017 | Alphaminr
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SIVB 10-K Fiscal year ended Dec. 31, 2017

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SVB FINANCIAL GROUP
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TABLE OF CONTENTS
Part IItem 1. BusinessNote 22 Segment Reporting Of The Notes To The Consolidated Financial Statements Under Part Ii, Item 8 Of This ReportItem 1A. Risk FactorsItem 1B. Unresolved Staff CommentsItem 2. PropertiesItem 3. Legal ProceedingsNote 25 Legal Matters Of The Notes To The Consolidated Financial Statements Under Part Ii, Item 8 Of This ReportItem 4. Mine Safety DisclosuresPart IIItem 5. Market For The Registrant's Common Equity, Related Stockholder Matters and Issuer Purchases Of Equity SecuritiesItem 6. Selected Consolidated Financial DataItem 7. Management S Discussion and Analysis Of Financial Condition and Results Of OperationsNote 16 Income Taxes Of The Notes To The Consolidated Financial Statements Under Part Ii, Item 8 Of This ReportNote 21 Regulatory Matters Of The Notes To The Consolidated Financial Statements Under Part Ii, Item 8 Of This ReportNote 8 Investment Securities" Of The Notes To The Consolidated Financial Statements Under Part Ii, Item 8 Of This ReportItem 7A. Quantitative and Qualitative Disclosures About Market RiskItem 8. Consolidated Financial Statements and Supplementary DataNote 4 Share-based Compensation Of The Notes To The Consolidated Financial Statements Under Part Ii, Item 8 Of This ReportItem 9. Changes in and Disagreements with Accountants on Accounting and Financial DisclosureItem 9A. Controls and ProceduresItem 9B. Other InformationPart IIIItem 10. Directors, Executive Officers and Corporate GovernanceItem 11. Executive CompensationItem 12. Security Ownership Of Certain Beneficial Owners and Management, and Related Stockholder MattersItem 13. Certain Relationships and Related Transactions, and Director IndependenceItem 14. Principal Accounting Fees and ServicesPart IVItem 15. Exhibits and Financial Statement SchedulesItem 16. Form 10-k Summary

Exhibits

3.1 Restated Certificate of Incorporation 8-K 000-15637 3.1 May 31, 2005 3.2 Amended and Restated Bylaws 8-K 000-15637 3.2 July 27, 2010 3.3 Certificate of Designation of Rights, Preferences and Privileges of SeriesA Participating Preferred Stock 8-K 000-15637 3.3 December 8, 2008 3.4 Certificate of Designations for Fixed Rate Cumulative Perpetual Preferred Stock, Series B 8-K 000-15637 3.4 December 15, 2008 4.1 Junior Subordinated Indenture, dated as of October30, 2003 between SVB Financial and Wilmington Trust Company, as trustee 8-K 000-15637 4.12 November19,2003 4.2 7.0% Junior Subordinated Deferrable Interest Debenture due October15, 2033 of SVB Financial 8-K 000-15637 4.13 November19,2003 4.3 Amended and Restated Trust Agreement, dated as of October30, 2003, by and amongSVB Financial as Depositor, Wilmington Trust Company as Property Trustee, Wilmington Trust Company as Delaware trustee, and the Administrative Trustees named therein 8-K 000-15637 4.14 November19,2003 4.4 Certificate Evidencing 7% Cumulative Trust Preferred Securities of SVB Capital II, dated as of October 20, 2003 8-K 000-15637 4.15 November19,2003 4.5 Guarantee Agreement, dated as of October30, 2003 between SVB Financial and Wilmington Trust Company, astrustee 8-K 000-15637 4.16 November19,2003 4.6 Agreement as to Expenses and Liabilities, dated as of October30, 2003, between SVB Financial and SVB Capital II 8-K 000-15637 4.17 November19,2003 4.7 Certificate Evidencing 7% Common Securities of SVB Capital II, dated as of October 30, 2003 8-K 000-15637 4.18 November19,2003 4.8 Officers' Certificate and Company Order, dated as of October30, 2003, relating to the 7.0% Junior Subordinated Deferrable Interest Debentures due October 15, 2033 8-K 000-15637 4.19 November19, 2003 4.9 Indenture, dated September 20, 2010, by and between SVB Financial and U.S. Bank National Association, as trustee 8-K 000-15637 4.1 September 20, 2010 4.10 Form of 5.375% Senior Note due 2020 8-K 000-15637 4.2 September 20, 2010 4.11 Officer's Certificate, dated as of January 29, 2015, relating to the 3.50% Senior Note Due 2025 8-K 000-15637 4.2 January 29, 2015 4.12 Form of 3.50% Senior Note due 2025 8-K 000-15637 4.3 January 29, 2015 10.1 Office Lease Agreement, dated as of September15, 2004, between CA-Lake Marriott Business Park Limited Partnership and Silicon Valley Bank: 3001, 3003 and 3101 Tasman Drive, Santa Clara, CA95054 8-K 000-15637 10.28 September 20, 2004 *10.2 401(k)and Employee Stock Ownership Plan 10-K 000-15637 10.2 February 27, 2014 *10.3 Amended and Restated Retention Program Plan (RP Years 1999 - 2007) 10-Q 000-15637 10.4 August 7, 2008 *10.4 1999 Employee Stock Purchase Plan 10-Q 000-15637 10.1 August 8, 2016 *10.5 Formof Indemnification Agreement 10-Q 000-15637 10.7 November 6, 2009 *10.6 Incentive Compensation Plan 10-K 000-15637 10.6 February 26, 2016 *10.7 Deferred Compensation Plan 10-Q 000-15637 10.1 November 6, 2015 *10.8 Change in Control Severance Plan 8-K 000-15637 10.14 March 15, 2012 *10.9 2006 Equity Incentive Plan 10-K 000-15637 10.9 February 26, 2016 *10.10 Form of Incentive Stock Option Agreement under 2006 Equity Incentive Plan+ 10-Q 000-15637 10.16 August 7, 2009 *10.11 Form of Nonqualified Stock Option Agreement under 2006 Equity Incentive Plan+ 10-Q 000-15637 10.17 August 7, 2009 *10.12 Form of Restricted Stock Unit Agreement under 2006 Equity Incentive Plan (for Executives)+ 10-Q 000-15637 10.18 August 7, 2009 *10.13 Form of Restricted Stock Unit Agreement for Employees under 2006 Equity Incentive Plan+ 10-Q 000-15637 10.19 August 7, 2009 *10.14 Form of Restricted Stock Award Agreement under 2006 Equity Incentive Plan+ 10-Q 000-15637 10.20 August 7, 2009 *10.15 Offer Letter dated November 2, 2006, for Michael Descheneaux 8-K 000-15637 10.31 April 17, 2007 *10.16 Offer Letter dated April 25, 2007, for Michael Descheneaux 8-K/A 000-15637 10.32 May 2, 2007 *10.17 Form of Restricted Stock Unit Agreement under 2006 Equity Incentive Plan (for Directors)+ 10-Q 000-15637 10.23 August 7, 2009 *10.18 Form of Restricted Stock Unit Election to Defer Settlement under 2006 Equity Incentive Plan (for Directors)+ 10-Q 000-15637 10.24 November 10, 2008 *10.19 Form of Restricted Stock Unit Election to Defer Settlement under 2006 Equity Incentive Plan (for Executives)+ 10-Q 000-15637 10.27 November 10, 2008 *10.20 Retention Program Plan (RP Years Beginning 2008) 10-Q 000-15637 10.26 August 7, 2008 *10.21 Form of Letter Agreement with Michael Descheneaux re: Salary Changes 8-K 000-15637 10.31 May 14, 2009 *10.22 Form of Stock Appreciation Right Agreement under 2006 Equity Incentive Plan+ 10-Q 000-15637 10.32 August 7, 2009 *10.23 Form of Restricted Stock Unit Agreement for Cash Settlement for Employees under 2006 Equity Incentive Plan+ 10-Q 000-15637 10.33 August 7, 2009 *10.24 Form of Restricted Stock Unit Agreement for Cash Settlement for Directors under 2006 Equity Incentive Plan+ 10-Q 000-15637 10.34 August 7, 2009 *10.25 Form of Restricted Stock Award Agreement under 2006 Equity Incentive Plan++ 10-K 000-15637 10.33 February 27, 2014 *10.26 Form of Incentive Stock Option Agreement under 2006 Equity Incentive Plan++ 10-K 000-15637 10.34 February 27, 2014 *10.27 Form of Nonqualified Stock Option Agreement under 2006 Equity Incentive Plan++ 10-K 000-15637 10.35 February 27, 2014 *10.28 Form of Restricted Stock Unit Agreement under 2006 Equity Incentive Plan++ 10-K 000-15637 10.36 February 27, 2014 *10.29 Form of Restricted Stock Unit Award Agreement under 2006 Equity Incentive Plan (Performance-Based)++ 10-K 000-15637 10.37 February 27, 2014 *10.30 Form of Stock Appreciation Rights Agreement under 2006 Equity Incentive Plan++ 10-K 000-15637 10.38 February 27, 2014 *10.31 UK Sub-Plan of the 2006 Equity Incentive Plan++ 10-Q 000-15637 10.3 May 9, 2014 *10.32 Form of U.K. Approved Stock Options and Award Agreement under the UK Sub-Plan++ 10-Q 000-15637 10.4 May 9, 2014 *10.33 Israeli Sub-Plan of the 2006 Equity Incentive Plan++ 10-Q 000-15637 10.5 May 9, 2014 *10.34 Form of Incentive Stock Option Agreement under 2006 Equity Incentive Plan+++ 8-K 000-15637 10.2 January 9, 2015 *10.35 Form of Nonqualified Stock Option Agreement under 2006 Equity Incentive Plan+++ 8-K 000-15637 10.3 January 9, 2015 *10.36 Form of Restricted Stock Unit Agreement under 2006 Equity Incentive Plan (Subject to Time-Based Vesting)+++ 8-K 000-15637 10.4 January 9, 2015 *10.37 Form of Restricted Stock Unit Agreement under 2006 Incentive Plan (Subject to Performance-Based Vesting)+++ 8-K 000-15637 10.5 January 9, 2015 *10.38 Form of Restricted Stock Award Agreement under 2006 Equity Incentive Plan+++ 8-K 000-15637 10.6 January 9, 2015 *10.39 Form of Stock Appreciation Rights Agreement under 2006 Equity Incentive Plan+++ 8-K 000-15637 10.7 January 9, 2015 *10.40 Form of U.K.-Approved Stock Option Agreement+++ 8-K 000-15637 10.8 January 9, 2015 *10.41 Service Agreement, dated July 14, 2009, between SVB Financial Group UK Limited and Philip Cox 10-K 000-15637 10.47 February 26, 2015 *10.42 Offer Agreement dated April 28, 2017, by and between Daniel Beck and SVB Financial Group 8-K 000-15637 10.1 May 12, 2017 *10.43 Letter Agreement dated May 11, 2017, by and between Michael Descheneaux and SVB Financial Group 8-K 000-15637 10.2 May 12, 2017 21.1 Subsidiaries of SVB Financial 23.1 Consent of KPMG LLP, independent registered public accounting firm 31.1 Rule 13a-14(a) / 15(d)-14(a) Certification of Principal Executive Officer 31.2 Rule 13a-14(a) / 15(d)-14(a) Certification of Principal Financial Officer 32.1 Section1350 Certifications