401k Plan data: SVB SECURITIES 401(K) PLAN plan

SVB SECURITIES 401(K) PLAN 401k Plan overview

Plan Name	SVB SECURITIES 401(K) PLAN
Plan identification number	001

SVB SECURITIES 401(K) PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Plan provides for automatic enrollment in plan that has employee contributions deducted from payroll.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan covering Self-Employed individuals.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

SVB SECURITIES LLC has sponsored the creation of one or more 401k plans.

Company Name: SVB SECURITIES LLC

Employer identification number (EIN): 421738148

NAIC Classification: 523110
NAIC Description: Investment Banking and Securities Dealing

Additional information about SVB SECURITIES LLC

Jurisdiction of Incorporation: California Department of State

Incorporation Date:

Company Identification Number: 200721210171

More information about SVB SECURITIES LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan SVB SECURITIES 401(K) PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2023-01-01 MAURA POLAK 2024-10-07
001 2022-01-01 MAURA POLAK 2023-10-10
001 2021-01-01 MAURA POLAK 2022-10-12
001 2020-01-01 MAURA POLAK 2021-10-07
001 2019-01-01 MAURA POLAK 2020-10-08
001 2018-01-01 MAURA POLAK 2019-10-10
001 2017-01-01
001 2016-01-01
001 2015-01-01 MAURA POLAK
001 2014-01-01 MAURA POLAK
001 2013-01-01 MAURA POLAK
001 2012-01-01 MAURA POLAK
001 2011-01-01 MAURA POLAK MAURA POLAK 2012-09-26
001 2009-01-01 MAURA POLAK

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
001	2023-01-01	MAURA POLAK	2024-10-07
001	2022-01-01	MAURA POLAK	2023-10-10
001	2021-01-01	MAURA POLAK	2022-10-12
001	2020-01-01	MAURA POLAK	2021-10-07
001	2019-01-01	MAURA POLAK	2020-10-08
001	2018-01-01	MAURA POLAK	2019-10-10
001	2017-01-01
001	2016-01-01
001	2015-01-01	MAURA POLAK
001	2014-01-01	MAURA POLAK
001	2013-01-01	MAURA POLAK
001	2012-01-01	MAURA POLAK
001	2011-01-01	MAURA POLAK		MAURA POLAK	2012-09-26
001	2009-01-01	MAURA POLAK

Plan Statistics for SVB SECURITIES 401(K) PLAN

401k plan membership statisitcs for SVB SECURITIES 401(K) PLAN

Measure Date Value
2023: SVB SECURITIES 401(K) PLAN 2023 401k membership
Total participants, beginning-of-year 2023-01-01 655
Total number of active participants reported on line 7a of the Form 5500 2023-01-01 327
Number of retired or separated participants receiving benefits 2023-01-01 2
Number of other retired or separated participants entitled to future benefits 2023-01-01 242
Total of all active and inactive participants 2023-01-01 571
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2023-01-01 0
Total participants 2023-01-01 571
Number of participants with account balances 2023-01-01 554
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2023-01-01 72
2022: SVB SECURITIES 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year 2022-01-01 490
Total number of active participants reported on line 7a of the Form 5500 2022-01-01 446
Number of retired or separated participants receiving benefits 2022-01-01 0
Number of other retired or separated participants entitled to future benefits 2022-01-01 203
Total of all active and inactive participants 2022-01-01 649
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2022-01-01 0
Total participants 2022-01-01 649
Number of participants with account balances 2022-01-01 631
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2022-01-01 12
2021: SVB SECURITIES 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year 2021-01-01 383
Total number of active participants reported on line 7a of the Form 5500 2021-01-01 337
Number of retired or separated participants receiving benefits 2021-01-01 0
Number of other retired or separated participants entitled to future benefits 2021-01-01 153
Total of all active and inactive participants 2021-01-01 490
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2021-01-01 0
Total participants 2021-01-01 490
Number of participants with account balances 2021-01-01 474
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2021-01-01 10
2020: SVB SECURITIES 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year 2020-01-01 369
Total number of active participants reported on line 7a of the Form 5500 2020-01-01 216
Number of retired or separated participants receiving benefits 2020-01-01 0
Number of other retired or separated participants entitled to future benefits 2020-01-01 157
Total of all active and inactive participants 2020-01-01 373
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2020-01-01 0
Total participants 2020-01-01 373
Number of participants with account balances 2020-01-01 368
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2020-01-01 14
2019: SVB SECURITIES 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 363
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 226
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 136
Total of all active and inactive participants 2019-01-01 362
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 362
Number of participants with account balances 2019-01-01 359
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 11
2018: SVB SECURITIES 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 346
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 228
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 126
Total of all active and inactive participants 2018-01-01 354
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 354
Number of participants with account balances 2018-01-01 354
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 15
2017: SVB SECURITIES 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 381
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 204
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 139
Total of all active and inactive participants 2017-01-01 343
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 343
Number of participants with account balances 2017-01-01 338
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 12
2016: SVB SECURITIES 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 389
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 192
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 185
Total of all active and inactive participants 2016-01-01 377
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 377
Number of participants with account balances 2016-01-01 373
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 15
2015: SVB SECURITIES 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 326
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 202
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 170
Total of all active and inactive participants 2015-01-01 372
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 372
Number of participants with account balances 2015-01-01 361
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 6
2014: SVB SECURITIES 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 320
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 173
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 144
Total of all active and inactive participants 2014-01-01 317
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 317
Number of participants with account balances 2014-01-01 304
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 33
2013: SVB SECURITIES 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 337
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 182
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 130
Total of all active and inactive participants 2013-01-01 312
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 312
Number of participants with account balances 2013-01-01 243
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 27
2012: SVB SECURITIES 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 369
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 222
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 115
Total of all active and inactive participants 2012-01-01 337
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 337
Number of participants with account balances 2012-01-01 239
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 5
2011: SVB SECURITIES 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 386
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 254
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 115
Total of all active and inactive participants 2011-01-01 369
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 369
Number of participants with account balances 2011-01-01 265
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 9
2009: SVB SECURITIES 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 316
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 303
Number of retired or separated participants receiving benefits 2009-01-01 0
Number of other retired or separated participants entitled to future benefits 2009-01-01 115
Total of all active and inactive participants 2009-01-01 418
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 0
Total participants 2009-01-01 418
Number of participants with account balances 2009-01-01 304
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 6

Measure	Date	Value
2023: SVB SECURITIES 401(K) PLAN 2023 401k membership
Total participants, beginning-of-year	2023-01-01	655
Total number of active participants reported on line 7a of the Form 5500	2023-01-01	327
Number of retired or separated participants receiving benefits	2023-01-01	2
Number of other retired or separated participants entitled to future benefits	2023-01-01	242
Total of all active and inactive participants	2023-01-01	571
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2023-01-01	0
Total participants	2023-01-01	571
Number of participants with account balances	2023-01-01	554
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2023-01-01	72
2022: SVB SECURITIES 401(K) PLAN 2022 401k membership
Total participants, beginning-of-year	2022-01-01	490
Total number of active participants reported on line 7a of the Form 5500	2022-01-01	446
Number of retired or separated participants receiving benefits	2022-01-01	0
Number of other retired or separated participants entitled to future benefits	2022-01-01	203
Total of all active and inactive participants	2022-01-01	649
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2022-01-01	0
Total participants	2022-01-01	649
Number of participants with account balances	2022-01-01	631
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2022-01-01	12
2021: SVB SECURITIES 401(K) PLAN 2021 401k membership
Total participants, beginning-of-year	2021-01-01	383
Total number of active participants reported on line 7a of the Form 5500	2021-01-01	337
Number of retired or separated participants receiving benefits	2021-01-01	0
Number of other retired or separated participants entitled to future benefits	2021-01-01	153
Total of all active and inactive participants	2021-01-01	490
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2021-01-01	0
Total participants	2021-01-01	490
Number of participants with account balances	2021-01-01	474
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2021-01-01	10
2020: SVB SECURITIES 401(K) PLAN 2020 401k membership
Total participants, beginning-of-year	2020-01-01	369
Total number of active participants reported on line 7a of the Form 5500	2020-01-01	216
Number of retired or separated participants receiving benefits	2020-01-01	0
Number of other retired or separated participants entitled to future benefits	2020-01-01	157
Total of all active and inactive participants	2020-01-01	373
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2020-01-01	0
Total participants	2020-01-01	373
Number of participants with account balances	2020-01-01	368
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2020-01-01	14
2019: SVB SECURITIES 401(K) PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	363
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	226
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	136
Total of all active and inactive participants	2019-01-01	362
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	362
Number of participants with account balances	2019-01-01	359
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	11
2018: SVB SECURITIES 401(K) PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	346
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	228
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	126
Total of all active and inactive participants	2018-01-01	354
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	354
Number of participants with account balances	2018-01-01	354
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	15
2017: SVB SECURITIES 401(K) PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	381
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	204
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	139
Total of all active and inactive participants	2017-01-01	343
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	343
Number of participants with account balances	2017-01-01	338
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	12
2016: SVB SECURITIES 401(K) PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	389
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	192
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	185
Total of all active and inactive participants	2016-01-01	377
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	377
Number of participants with account balances	2016-01-01	373
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	15
2015: SVB SECURITIES 401(K) PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	326
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	202
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	170
Total of all active and inactive participants	2015-01-01	372
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	372
Number of participants with account balances	2015-01-01	361
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	6
2014: SVB SECURITIES 401(K) PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	320
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	173
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	144
Total of all active and inactive participants	2014-01-01	317
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	317
Number of participants with account balances	2014-01-01	304
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	33
2013: SVB SECURITIES 401(K) PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	337
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	182
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	130
Total of all active and inactive participants	2013-01-01	312
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	312
Number of participants with account balances	2013-01-01	243
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	27
2012: SVB SECURITIES 401(K) PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	369
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	222
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	115
Total of all active and inactive participants	2012-01-01	337
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	337
Number of participants with account balances	2012-01-01	239
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	5
2011: SVB SECURITIES 401(K) PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	386
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	254
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	115
Total of all active and inactive participants	2011-01-01	369
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	369
Number of participants with account balances	2011-01-01	265
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	9
2009: SVB SECURITIES 401(K) PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	316
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	303
Number of retired or separated participants receiving benefits	2009-01-01	0
Number of other retired or separated participants entitled to future benefits	2009-01-01	115
Total of all active and inactive participants	2009-01-01	418
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	0
Total participants	2009-01-01	418
Number of participants with account balances	2009-01-01	304
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	6

Financial Data on SVB SECURITIES 401(K) PLAN

Measure	Date	Value
2023 : SVB SECURITIES 401(K) PLAN 2023 401k financial data
Total unrealized appreciation/depreciation of assets	2023-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2023-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2023-12-31	$0
Total income from all sources (including contributions)	2023-12-31	$18,177,188
Total loss/gain on sale of assets	2023-12-31	$0
Total of all expenses incurred	2023-12-31	$8,753,447
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2023-12-31	$8,617,713
Value of total corrective distributions	2023-12-31	$2,414
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2023-12-31	$8,511,729
Value of total assets at end of year	2023-12-31	$67,332,847
Value of total assets at beginning of year	2023-12-31	$57,909,106
Total of administrative expenses incurred including professional, contract, advisory and management fees	2023-12-31	$133,320
Total interest from all sources	2023-12-31	$14,909
Total dividends received (eg from common stock, registered investment company shares)	2023-12-31	$3,243,034
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2023-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2023-12-31	$3,243,034
Was this plan covered by a fidelity bond	2023-12-31	Yes
Value of fidelity bond cover	2023-12-31	$4,000,000
If this is an individual account plan, was there a blackout period	2023-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2023-12-31	No
Contributions received from participants	2023-12-31	$7,658,438
Participant contributions at end of year	2023-12-31	$285,043
Participant contributions at beginning of year	2023-12-31	$213,294
Income. Received or receivable in cash from other sources (including rollovers)	2023-12-31	$68,171
Other income not declared elsewhere	2023-12-31	$115,998
Administrative expenses (other) incurred	2023-12-31	$133,320
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2023-12-31	No
Value of net income/loss	2023-12-31	$9,423,741
Value of net assets at end of year (total assets less liabilities)	2023-12-31	$67,332,847
Value of net assets at beginning of year (total assets less liabilities)	2023-12-31	$57,909,106
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2023-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2023-12-31	No
Were any leases to which the plan was party in default or uncollectible	2023-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2023-12-31	$59,960,240
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2023-12-31	$51,352,046
Interest on participant loans	2023-12-31	$14,909
Value of interest in common/collective trusts at end of year	2023-12-31	$7,087,564
Value of interest in common/collective trusts at beginning of year	2023-12-31	$6,343,766
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2023-12-31	$6,124,134
Net investment gain/loss from pooled separate accounts	2023-12-31	$167,384
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2023-12-31	No
Was there a failure to transmit to the plan any participant contributions	2023-12-31	No
Has the plan failed to provide any benefit when due under the plan	2023-12-31	No
Contributions received in cash from employer	2023-12-31	$785,120
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2023-12-31	$8,617,713
Did the plan have assets held for investment	2023-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2023-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2023-12-31	No
Opinion of an independent qualified public accountant for this plan	2023-12-31	Unqualified
Accountancy firm name	2023-12-31	BAKER TILLY US, LLP
Accountancy firm EIN	2023-12-31	301413443
2022 : SVB SECURITIES 401(K) PLAN 2022 401k financial data
Total unrealized appreciation/depreciation of assets	2022-12-31	$0
Total transfer of assets to this plan	2022-12-31	$4,421,244
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2022-12-31	$0
Total income from all sources (including contributions)	2022-12-31	$1,318,862
Total loss/gain on sale of assets	2022-12-31	$0
Total of all expenses incurred	2022-12-31	$3,773,375
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2022-12-31	$3,659,857
Value of total corrective distributions	2022-12-31	$15,066
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2022-12-31	$10,706,327
Value of total assets at end of year	2022-12-31	$57,909,106
Value of total assets at beginning of year	2022-12-31	$55,942,375
Total of administrative expenses incurred including professional, contract, advisory and management fees	2022-12-31	$98,452
Total interest from all sources	2022-12-31	$8,725
Total dividends received (eg from common stock, registered investment company shares)	2022-12-31	$3,468,015
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2022-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2022-12-31	$3,468,015
Was this plan covered by a fidelity bond	2022-12-31	Yes
Value of fidelity bond cover	2022-12-31	$15,000,000
If this is an individual account plan, was there a blackout period	2022-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2022-12-31	No
Contributions received from participants	2022-12-31	$6,503,813
Participant contributions at end of year	2022-12-31	$213,294
Participant contributions at beginning of year	2022-12-31	$181,962
Income. Received or receivable in cash from other sources (including rollovers)	2022-12-31	$3,734,115
Other income not declared elsewhere	2022-12-31	$109,681
Administrative expenses (other) incurred	2022-12-31	$98,452
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Value of net income/loss	2022-12-31	$-2,454,513
Value of net assets at end of year (total assets less liabilities)	2022-12-31	$57,909,106
Value of net assets at beginning of year (total assets less liabilities)	2022-12-31	$55,942,375
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2022-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2022-12-31	No
Were any leases to which the plan was party in default or uncollectible	2022-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2022-12-31	$51,352,046
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2022-12-31	$50,808,869
Interest on participant loans	2022-12-31	$8,725
Value of interest in common/collective trusts at end of year	2022-12-31	$6,343,766
Value of interest in common/collective trusts at beginning of year	2022-12-31	$4,951,544
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2022-12-31	$-13,057,514
Net investment gain or loss from common/collective trusts	2022-12-31	$83,628
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2022-12-31	No
Was there a failure to transmit to the plan any participant contributions	2022-12-31	No
Has the plan failed to provide any benefit when due under the plan	2022-12-31	No
Contributions received in cash from employer	2022-12-31	$468,399
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2022-12-31	$3,659,857
Did the plan have assets held for investment	2022-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2022-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2022-12-31	No
Opinion of an independent qualified public accountant for this plan	2022-12-31	Unqualified
Accountancy firm name	2022-12-31	BAKER TILLY US, LLP
Accountancy firm EIN	2022-12-31	390859910
2021 : SVB SECURITIES 401(K) PLAN 2021 401k financial data
Total unrealized appreciation/depreciation of assets	2021-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2021-12-31	$0
Total income from all sources (including contributions)	2021-12-31	$11,664,844
Total loss/gain on sale of assets	2021-12-31	$0
Total of all expenses incurred	2021-12-31	$3,462,391
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2021-12-31	$3,343,223
Value of total corrective distributions	2021-12-31	$1,016
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2021-12-31	$5,712,463
Value of total assets at end of year	2021-12-31	$55,942,375
Value of total assets at beginning of year	2021-12-31	$47,739,922
Total of administrative expenses incurred including professional, contract, advisory and management fees	2021-12-31	$118,152
Total interest from all sources	2021-12-31	$6,902
Total dividends received (eg from common stock, registered investment company shares)	2021-12-31	$5,374,244
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2021-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2021-12-31	$5,374,244
Was this plan covered by a fidelity bond	2021-12-31	Yes
Value of fidelity bond cover	2021-12-31	$4,000,000
If this is an individual account plan, was there a blackout period	2021-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2021-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2021-12-31	No
Contributions received from participants	2021-12-31	$4,270,762
Participant contributions at end of year	2021-12-31	$181,962
Participant contributions at beginning of year	2021-12-31	$179,756
Income. Received or receivable in cash from other sources (including rollovers)	2021-12-31	$1,052,827
Other income not declared elsewhere	2021-12-31	$104,102
Administrative expenses (other) incurred	2021-12-31	$118,152
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Value of net income/loss	2021-12-31	$8,202,453
Value of net assets at end of year (total assets less liabilities)	2021-12-31	$55,942,375
Value of net assets at beginning of year (total assets less liabilities)	2021-12-31	$47,739,922
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2021-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2021-12-31	No
Were any leases to which the plan was party in default or uncollectible	2021-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2021-12-31	$50,808,869
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2021-12-31	$42,061,699
Interest on participant loans	2021-12-31	$6,902
Value of interest in common/collective trusts at end of year	2021-12-31	$4,951,544
Value of interest in common/collective trusts at beginning of year	2021-12-31	$5,498,467
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2021-12-31	$388,579
Net investment gain or loss from common/collective trusts	2021-12-31	$78,554
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2021-12-31	No
Was there a failure to transmit to the plan any participant contributions	2021-12-31	No
Has the plan failed to provide any benefit when due under the plan	2021-12-31	No
Contributions received in cash from employer	2021-12-31	$388,874
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2021-12-31	$3,343,223
Did the plan have assets held for investment	2021-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2021-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2021-12-31	No
Opinion of an independent qualified public accountant for this plan	2021-12-31	Unqualified
Accountancy firm name	2021-12-31	BAKER TILLY US, LLP
Accountancy firm EIN	2021-12-31	390859910
2020 : SVB SECURITIES 401(K) PLAN 2020 401k financial data
Total unrealized appreciation/depreciation of assets	2020-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2020-12-31	$0
Total income from all sources (including contributions)	2020-12-31	$10,911,313
Total loss/gain on sale of assets	2020-12-31	$0
Total of all expenses incurred	2020-12-31	$4,373,270
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2020-12-31	$4,267,791
Expenses. Certain deemed distributions of participant loans	2020-12-31	$14,016
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2020-12-31	$3,838,229
Value of total assets at end of year	2020-12-31	$47,739,922
Value of total assets at beginning of year	2020-12-31	$41,201,879
Total of administrative expenses incurred including professional, contract, advisory and management fees	2020-12-31	$91,463
Total interest from all sources	2020-12-31	$7,711
Total dividends received (eg from common stock, registered investment company shares)	2020-12-31	$2,653,096
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2020-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2020-12-31	$2,653,096
Was this plan covered by a fidelity bond	2020-12-31	Yes
Value of fidelity bond cover	2020-12-31	$4,000,000
If this is an individual account plan, was there a blackout period	2020-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2020-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2020-12-31	No
Contributions received from participants	2020-12-31	$3,393,394
Participant contributions at end of year	2020-12-31	$179,756
Participant contributions at beginning of year	2020-12-31	$115,267
Income. Received or receivable in cash from other sources (including rollovers)	2020-12-31	$24,208
Other income not declared elsewhere	2020-12-31	$82,592
Administrative expenses (other) incurred	2020-12-31	$91,463
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Value of net income/loss	2020-12-31	$6,538,043
Value of net assets at end of year (total assets less liabilities)	2020-12-31	$47,739,922
Value of net assets at beginning of year (total assets less liabilities)	2020-12-31	$41,201,879
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2020-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2020-12-31	No
Were any leases to which the plan was party in default or uncollectible	2020-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2020-12-31	$42,061,699
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2020-12-31	$34,920,597
Income. Interest from loans (other than to participants)	2020-12-31	$7,711
Value of interest in common/collective trusts at end of year	2020-12-31	$5,498,467
Value of interest in common/collective trusts at beginning of year	2020-12-31	$6,166,015
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2020-12-31	$4,240,660
Net investment gain or loss from common/collective trusts	2020-12-31	$89,025
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2020-12-31	No
Was there a failure to transmit to the plan any participant contributions	2020-12-31	No
Has the plan failed to provide any benefit when due under the plan	2020-12-31	No
Contributions received in cash from employer	2020-12-31	$420,627
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2020-12-31	$4,267,791
Did the plan have assets held for investment	2020-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2020-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2020-12-31	No
Opinion of an independent qualified public accountant for this plan	2020-12-31	Disclaimer
Accountancy firm name	2020-12-31	MOODY, FAMIGLIETTI & ANDRONICO,
Accountancy firm EIN	2020-12-31	043077056
2019 : SVB SECURITIES 401(K) PLAN 2019 401k financial data
Total unrealized appreciation/depreciation of assets	2019-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total income from all sources (including contributions)	2019-12-31	$11,340,562
Total loss/gain on sale of assets	2019-12-31	$0
Total of all expenses incurred	2019-12-31	$3,048,210
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$2,997,165
Expenses. Certain deemed distributions of participant loans	2019-12-31	$8,574
Value of total corrective distributions	2019-12-31	$14,893
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$3,731,640
Value of total assets at end of year	2019-12-31	$41,201,879
Value of total assets at beginning of year	2019-12-31	$32,909,527
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$27,578
Total interest from all sources	2019-12-31	$8,940
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$1,995,215
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$1,995,215
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Contributions received from participants	2019-12-31	$3,362,943
Participant contributions at end of year	2019-12-31	$115,267
Participant contributions at beginning of year	2019-12-31	$214,237
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$23,986
Other income not declared elsewhere	2019-12-31	$18,876
Administrative expenses (other) incurred	2019-12-31	$27,578
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$8,292,352
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$41,201,879
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$32,909,527
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$34,920,597
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$28,061,266
Interest on participant loans	2019-12-31	$8,940
Value of interest in common/collective trusts at end of year	2019-12-31	$6,166,015
Value of interest in common/collective trusts at beginning of year	2019-12-31	$4,634,024
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$5,473,535
Net investment gain or loss from common/collective trusts	2019-12-31	$112,356
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	No
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Contributions received in cash from employer	2019-12-31	$344,711
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$2,997,165
Did the plan have assets held for investment	2019-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	MOODY, FAMIGLIETTI & ANDRONICO,
Accountancy firm EIN	2019-12-31	043077056
2018 : SVB SECURITIES 401(K) PLAN 2018 401k financial data
Total unrealized appreciation/depreciation of assets	2018-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$2,122,058
Total loss/gain on sale of assets	2018-12-31	$0
Total of all expenses incurred	2018-12-31	$3,423,678
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$3,317,031
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$3,944,215
Value of total assets at end of year	2018-12-31	$32,909,527
Value of total assets at beginning of year	2018-12-31	$34,211,147
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$106,647
Total interest from all sources	2018-12-31	$8,883
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$2,592,166
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$2,592,166
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Contributions received from participants	2018-12-31	$3,013,327
Participant contributions at end of year	2018-12-31	$214,237
Participant contributions at beginning of year	2018-12-31	$185,671
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$608,025
Other income not declared elsewhere	2018-12-31	$60,632
Administrative expenses (other) incurred	2018-12-31	$106,647
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-1,301,620
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$32,909,527
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$34,211,147
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$28,061,266
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$29,594,891
Interest on participant loans	2018-12-31	$8,883
Value of interest in common/collective trusts at end of year	2018-12-31	$4,634,024
Value of interest in common/collective trusts at beginning of year	2018-12-31	$4,430,585
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-4,560,214
Net investment gain or loss from common/collective trusts	2018-12-31	$76,376
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Contributions received in cash from employer	2018-12-31	$322,863
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$3,317,031
Did the plan have assets held for investment	2018-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	MOODY, FAMIGLIETTI & ANDRONICO,
Accountancy firm EIN	2018-12-31	043077056
2017 : SVB SECURITIES 401(K) PLAN 2017 401k financial data
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$7,898,170
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$1,637,535
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$1,627,250
Expenses. Certain deemed distributions of participant loans	2017-12-31	$5,198
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$2,800,002
Value of total assets at end of year	2017-12-31	$34,211,147
Value of total assets at beginning of year	2017-12-31	$27,950,512
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$5,087
Total interest from all sources	2017-12-31	$5,434
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$1,876,461
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$1,876,461
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$2,464,225
Participant contributions at end of year	2017-12-31	$185,671
Participant contributions at beginning of year	2017-12-31	$70,983
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$11,855
Administrative expenses (other) incurred	2017-12-31	$5,087
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$6,260,635
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$34,211,147
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$27,950,512
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$29,594,891
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$24,196,118
Interest on participant loans	2017-12-31	$5,434
Value of interest in common/collective trusts at end of year	2017-12-31	$4,430,585
Value of interest in common/collective trusts at beginning of year	2017-12-31	$3,683,411
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$3,216,273
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Contributions received in cash from employer	2017-12-31	$323,922
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$1,627,250
Did the plan have assets held for investment	2017-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	MOODY, FAMIGLIETTI & ANDRONICO,
Accountancy firm EIN	2017-12-31	043077056
2016 : SVB SECURITIES 401(K) PLAN 2016 401k financial data
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$7,035,036
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$2,483,410
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$2,470,685
Expenses. Certain deemed distributions of participant loans	2016-12-31	$12,504
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$5,352,568
Value of total assets at end of year	2016-12-31	$27,950,512
Value of total assets at beginning of year	2016-12-31	$23,398,886
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$221
Total interest from all sources	2016-12-31	$3,811
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$1,132,647
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$1,132,647
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$2,565,624
Participant contributions at end of year	2016-12-31	$70,983
Participant contributions at beginning of year	2016-12-31	$95,648
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$2,482,836
Administrative expenses (other) incurred	2016-12-31	$221
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$4,551,626
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$27,950,512
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$23,398,886
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$24,196,118
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$20,161,776
Interest on participant loans	2016-12-31	$3,811
Value of interest in common/collective trusts at end of year	2016-12-31	$3,683,411
Value of interest in common/collective trusts at beginning of year	2016-12-31	$3,141,462
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$517,645
Net investment gain or loss from common/collective trusts	2016-12-31	$28,365
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Contributions received in cash from employer	2016-12-31	$304,108
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$2,470,685
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	MOODY, FAMIGLIETTI & ANDRONICO,
Accountancy firm EIN	2016-12-31	043077056
2015 : SVB SECURITIES 401(K) PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$4,659,889
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$669,718
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$666,876
Value of total corrective distributions	2015-12-31	$2,342
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$4,779,441
Value of total assets at end of year	2015-12-31	$23,398,886
Value of total assets at beginning of year	2015-12-31	$19,408,715
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$500
Total interest from all sources	2015-12-31	$4,895
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$1,785,039
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$1,785,039
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$2,164,473
Participant contributions at end of year	2015-12-31	$95,648
Participant contributions at beginning of year	2015-12-31	$151,547
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$437,408
Other income not declared elsewhere	2015-12-31	$2,338
Administrative expenses (other) incurred	2015-12-31	$500
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$3,990,171
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$23,398,886
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$19,408,715
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$20,161,776
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$17,580,656
Interest on participant loans	2015-12-31	$4,895
Value of interest in common/collective trusts at end of year	2015-12-31	$3,141,462
Value of interest in common/collective trusts at beginning of year	2015-12-31	$1,676,512
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-1,923,872
Net investment gain or loss from common/collective trusts	2015-12-31	$12,048
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$2,177,560
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$666,876
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	MOODY, FAMIGLIETTI & ANDRONICO,
Accountancy firm EIN	2015-12-31	043077056
2014 : SVB SECURITIES 401(K) PLAN 2014 401k financial data
Unrealized appreciation/depreciation of real estate assets	2014-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2014-12-31	$0
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Expenses. Interest paid	2014-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$3,506,949
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$1,420,522
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$1,367,493
Expenses. Certain deemed distributions of participant loans	2014-12-31	$15,375
Value of total corrective distributions	2014-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$2,250,317
Value of total assets at end of year	2014-12-31	$19,408,715
Value of total assets at beginning of year	2014-12-31	$17,322,288
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$37,654
Total income from rents	2014-12-31	$0
Total interest from all sources	2014-12-31	$5,525
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$1,550,750
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$1,550,750
Assets. Real estate other than employer real property at end of year	2014-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2014-12-31	$0
Administrative expenses professional fees incurred	2014-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2014-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2014-12-31	$0
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$1,849,276
Participant contributions at end of year	2014-12-31	$151,547
Participant contributions at beginning of year	2014-12-31	$151,848
Participant contributions at end of year	2014-12-31	$0
Participant contributions at beginning of year	2014-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2014-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2014-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$51,962
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2014-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-12-31	$0
Assets. Loans (other than to participants) at end of year	2014-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2014-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-12-31	$0
Other income not declared elsewhere	2014-12-31	$0
Administrative expenses (other) incurred	2014-12-31	$0
Total non interest bearing cash at end of year	2014-12-31	$0
Total non interest bearing cash at beginning of year	2014-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Income. Non cash contributions	2014-12-31	$0
Value of net income/loss	2014-12-31	$2,086,427
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$19,408,715
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$17,322,288
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Assets. partnership/joint venture interests at end of year	2014-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2014-12-31	$0
Investment advisory and management fees	2014-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$17,580,656
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$15,910,419
Interest on participant loans	2014-12-31	$5,525
Income. Interest from loans (other than to participants)	2014-12-31	$0
Interest earned on other investments	2014-12-31	$0
Income. Interest from US Government securities	2014-12-31	$0
Income. Interest from corporate debt instruments	2014-12-31	$0
Value of interest in master investment trust accounts at end of year	2014-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2014-12-31	$0
Value of interest in common/collective trusts at end of year	2014-12-31	$1,676,512
Value of interest in common/collective trusts at beginning of year	2014-12-31	$1,260,021
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2014-12-31	$0
Assets. Value of investments in 103.12 investment entities at end of year	2014-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2014-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2014-12-31	$0
Asset value of US Government securities at end of year	2014-12-31	$0
Asset value of US Government securities at beginning of year	2014-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$-344,703
Net investment gain/loss from pooled separate accounts	2014-12-31	$0
Net investment gain or loss from common/collective trusts	2014-12-31	$45,060
Net gain/loss from 103.12 investment entities	2014-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Assets. Invements in employer securities at end of year	2014-12-31	$0
Assets. Invements in employer securities at beginning of year	2014-12-31	$0
Assets. Value of employer real property at end of year	2014-12-31	$0
Assets. Value of employer real property at beginning of year	2014-12-31	$0
Contributions received in cash from employer	2014-12-31	$349,079
Employer contributions (assets) at end of year	2014-12-31	$0
Employer contributions (assets) at beginning of year	2014-12-31	$0
Income. Dividends from preferred stock	2014-12-31	$0
Income. Dividends from common stock	2014-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$1,367,493
Asset. Corporate debt instrument preferred debt at end of year	2014-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2014-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2014-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2014-12-31	$0
Contract administrator fees	2014-12-31	$37,654
Assets. Corporate common stocks other than exployer securities at end of year	2014-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2014-12-31	$0
Liabilities. Value of benefit claims payable at end of year	2014-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2014-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2014-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2014-12-31	$0
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Aggregate proceeds on sale of assets	2014-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2014-12-31	$0
Liabilities. Value of acquisition indebtedness at end of year	2014-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2014-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	MOODY, FAMIGLIETTI & ANDRONICO,
Accountancy firm EIN	2014-12-31	043077056
2013 : SVB SECURITIES 401(K) PLAN 2013 401k financial data
Unrealized appreciation/depreciation of real estate assets	2013-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2013-12-31	$0
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Expenses. Interest paid	2013-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$4,892,552
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$1,001,108
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$977,585
Expenses. Certain deemed distributions of participant loans	2013-12-31	$0
Value of total corrective distributions	2013-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$1,438,985
Value of total assets at end of year	2013-12-31	$17,322,288
Value of total assets at beginning of year	2013-12-31	$13,430,844
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$23,523
Total income from rents	2013-12-31	$0
Total interest from all sources	2013-12-31	$5,804
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$616,084
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$616,084
Assets. Real estate other than employer real property at end of year	2013-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2013-12-31	$0
Administrative expenses professional fees incurred	2013-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2013-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2013-12-31	$0
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$1,403,294
Participant contributions at end of year	2013-12-31	$151,848
Participant contributions at beginning of year	2013-12-31	$128,714
Participant contributions at end of year	2013-12-31	$0
Participant contributions at beginning of year	2013-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2013-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2013-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$35,691
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2013-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-12-31	$0
Assets. Loans (other than to participants) at end of year	2013-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2013-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2013-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2013-12-31	$0
Other income not declared elsewhere	2013-12-31	$0
Administrative expenses (other) incurred	2013-12-31	$0
Total non interest bearing cash at end of year	2013-12-31	$0
Total non interest bearing cash at beginning of year	2013-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Income. Non cash contributions	2013-12-31	$0
Value of net income/loss	2013-12-31	$3,891,444
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$17,322,288
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$13,430,844
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Assets. partnership/joint venture interests at end of year	2013-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2013-12-31	$0
Investment advisory and management fees	2013-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$15,910,419
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$12,094,753
Interest on participant loans	2013-12-31	$5,804
Income. Interest from loans (other than to participants)	2013-12-31	$0
Interest earned on other investments	2013-12-31	$0
Income. Interest from US Government securities	2013-12-31	$0
Income. Interest from corporate debt instruments	2013-12-31	$0
Value of interest in master investment trust accounts at end of year	2013-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2013-12-31	$0
Value of interest in common/collective trusts at end of year	2013-12-31	$1,260,021
Value of interest in common/collective trusts at beginning of year	2013-12-31	$1,207,377
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-12-31	$0
Assets. Value of investments in 103.12 investment entities at end of year	2013-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2013-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2013-12-31	$0
Asset value of US Government securities at end of year	2013-12-31	$0
Asset value of US Government securities at beginning of year	2013-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$2,823,941
Net investment gain/loss from pooled separate accounts	2013-12-31	$0
Net investment gain or loss from common/collective trusts	2013-12-31	$7,738
Net gain/loss from 103.12 investment entities	2013-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Assets. Invements in employer securities at end of year	2013-12-31	$0
Assets. Invements in employer securities at beginning of year	2013-12-31	$0
Assets. Value of employer real property at end of year	2013-12-31	$0
Assets. Value of employer real property at beginning of year	2013-12-31	$0
Contributions received in cash from employer	2013-12-31	$0
Employer contributions (assets) at end of year	2013-12-31	$0
Employer contributions (assets) at beginning of year	2013-12-31	$0
Income. Dividends from preferred stock	2013-12-31	$0
Income. Dividends from common stock	2013-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$977,585
Asset. Corporate debt instrument preferred debt at end of year	2013-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2013-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2013-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2013-12-31	$0
Contract administrator fees	2013-12-31	$23,523
Assets. Corporate common stocks other than exployer securities at end of year	2013-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2013-12-31	$0
Liabilities. Value of benefit claims payable at end of year	2013-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2013-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2013-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2013-12-31	$0
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Aggregate proceeds on sale of assets	2013-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2013-12-31	$0
Liabilities. Value of acquisition indebtedness at end of year	2013-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2013-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	MOODY, FAMIGLIETTI & ANDRONICO,
Accountancy firm EIN	2013-12-31	043077056
2012 : SVB SECURITIES 401(K) PLAN 2012 401k financial data
Unrealized appreciation/depreciation of real estate assets	2012-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2012-12-31	$0
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Expenses. Interest paid	2012-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$3,102,238
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$1,770,572
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$1,726,071
Expenses. Certain deemed distributions of participant loans	2012-12-31	$22,960
Value of total corrective distributions	2012-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$1,574,659
Value of total assets at end of year	2012-12-31	$13,430,844
Value of total assets at beginning of year	2012-12-31	$12,099,178
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$21,541
Total income from rents	2012-12-31	$0
Total interest from all sources	2012-12-31	$4,323
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Assets. Real estate other than employer real property at end of year	2012-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2012-12-31	$0
Administrative expenses professional fees incurred	2012-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2012-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2012-12-31	$0
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$1,425,552
Participant contributions at end of year	2012-12-31	$128,714
Participant contributions at beginning of year	2012-12-31	$122,758
Participant contributions at end of year	2012-12-31	$0
Participant contributions at beginning of year	2012-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2012-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2012-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$149,107
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2012-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2012-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-12-31	$0
Assets. Loans (other than to participants) at end of year	2012-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2012-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2012-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2012-12-31	$0
Other income not declared elsewhere	2012-12-31	$0
Administrative expenses (other) incurred	2012-12-31	$0
Total non interest bearing cash at end of year	2012-12-31	$0
Total non interest bearing cash at beginning of year	2012-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Income. Non cash contributions	2012-12-31	$0
Value of net income/loss	2012-12-31	$1,331,666
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$13,430,844
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$12,099,178
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Assets. partnership/joint venture interests at end of year	2012-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2012-12-31	$0
Investment advisory and management fees	2012-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$12,094,753
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$10,148,425
Interest on participant loans	2012-12-31	$4,323
Income. Interest from loans (other than to participants)	2012-12-31	$0
Interest earned on other investments	2012-12-31	$0
Income. Interest from US Government securities	2012-12-31	$0
Income. Interest from corporate debt instruments	2012-12-31	$0
Value of interest in master investment trust accounts at end of year	2012-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2012-12-31	$0
Value of interest in common/collective trusts at end of year	2012-12-31	$1,207,377
Value of interest in common/collective trusts at beginning of year	2012-12-31	$1,827,995
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-12-31	$0
Assets. Value of investments in 103.12 investment entities at end of year	2012-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2012-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2012-12-31	$0
Asset value of US Government securities at end of year	2012-12-31	$0
Asset value of US Government securities at beginning of year	2012-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$1,507,477
Net investment gain/loss from pooled separate accounts	2012-12-31	$0
Net investment gain or loss from common/collective trusts	2012-12-31	$15,779
Net gain/loss from 103.12 investment entities	2012-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Assets. Invements in employer securities at end of year	2012-12-31	$0
Assets. Invements in employer securities at beginning of year	2012-12-31	$0
Assets. Value of employer real property at end of year	2012-12-31	$0
Assets. Value of employer real property at beginning of year	2012-12-31	$0
Contributions received in cash from employer	2012-12-31	$0
Employer contributions (assets) at end of year	2012-12-31	$0
Employer contributions (assets) at beginning of year	2012-12-31	$0
Income. Dividends from preferred stock	2012-12-31	$0
Income. Dividends from common stock	2012-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$1,726,071
Asset. Corporate debt instrument preferred debt at end of year	2012-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2012-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2012-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2012-12-31	$0
Contract administrator fees	2012-12-31	$21,541
Assets. Corporate common stocks other than exployer securities at end of year	2012-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2012-12-31	$0
Liabilities. Value of benefit claims payable at end of year	2012-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2012-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2012-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2012-12-31	$0
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Aggregate proceeds on sale of assets	2012-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2012-12-31	$0
Liabilities. Value of acquisition indebtedness at end of year	2012-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2012-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	MOODY, FAMIGLIETTI & ANDRONICO,
Accountancy firm EIN	2012-12-31	043077056
2011 : SVB SECURITIES 401(K) PLAN 2011 401k financial data
Unrealized appreciation/depreciation of real estate assets	2011-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2011-12-31	$0
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total transfer of assets to this plan	2011-12-31	$0
Total transfer of assets from this plan	2011-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Expenses. Interest paid	2011-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2011-12-31	$0
Total income from all sources (including contributions)	2011-12-31	$1,658,603
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$1,505,145
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$1,472,419
Expenses. Certain deemed distributions of participant loans	2011-12-31	$19,357
Value of total corrective distributions	2011-12-31	$1,703
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$1,767,042
Value of total assets at end of year	2011-12-31	$12,099,178
Value of total assets at beginning of year	2011-12-31	$11,945,720
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$11,666
Total income from rents	2011-12-31	$0
Total interest from all sources	2011-12-31	$2,890
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$502,409
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$502,409
Assets. Real estate other than employer real property at end of year	2011-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2011-12-31	$0
Administrative expenses professional fees incurred	2011-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2011-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2011-12-31	$0
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$1,634,567
Participant contributions at end of year	2011-12-31	$122,758
Participant contributions at beginning of year	2011-12-31	$173,011
Participant contributions at end of year	2011-12-31	$0
Participant contributions at beginning of year	2011-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2011-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2011-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$132,475
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2011-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-12-31	$0
Assets. Loans (other than to participants) at end of year	2011-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2011-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2011-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2011-12-31	$0
Other income not declared elsewhere	2011-12-31	$0
Administrative expenses (other) incurred	2011-12-31	$0
Total non interest bearing cash at end of year	2011-12-31	$0
Total non interest bearing cash at beginning of year	2011-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Income. Non cash contributions	2011-12-31	$0
Value of net income/loss	2011-12-31	$153,458
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$12,099,178
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$11,945,720
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Assets. partnership/joint venture interests at end of year	2011-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2011-12-31	$0
Investment advisory and management fees	2011-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$10,148,425
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$9,967,626
Interest on participant loans	2011-12-31	$2,890
Income. Interest from loans (other than to participants)	2011-12-31	$0
Interest earned on other investments	2011-12-31	$0
Income. Interest from US Government securities	2011-12-31	$0
Income. Interest from corporate debt instruments	2011-12-31	$0
Value of interest in master investment trust accounts at end of year	2011-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2011-12-31	$0
Value of interest in common/collective trusts at end of year	2011-12-31	$1,827,995
Value of interest in common/collective trusts at beginning of year	2011-12-31	$1,805,083
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$0
Assets. Value of investments in 103.12 investment entities at end of year	2011-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2011-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2011-12-31	$0
Asset value of US Government securities at end of year	2011-12-31	$0
Asset value of US Government securities at beginning of year	2011-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-639,983
Net investment gain/loss from pooled separate accounts	2011-12-31	$0
Net investment gain or loss from common/collective trusts	2011-12-31	$26,245
Net gain/loss from 103.12 investment entities	2011-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Assets. Invements in employer securities at end of year	2011-12-31	$0
Assets. Invements in employer securities at beginning of year	2011-12-31	$0
Assets. Value of employer real property at end of year	2011-12-31	$0
Assets. Value of employer real property at beginning of year	2011-12-31	$0
Contributions received in cash from employer	2011-12-31	$0
Employer contributions (assets) at end of year	2011-12-31	$0
Employer contributions (assets) at beginning of year	2011-12-31	$0
Income. Dividends from preferred stock	2011-12-31	$0
Income. Dividends from common stock	2011-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$1,472,419
Asset. Corporate debt instrument preferred debt at end of year	2011-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2011-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2011-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2011-12-31	$0
Contract administrator fees	2011-12-31	$11,666
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2011-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2011-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2011-12-31	$0
Liabilities. Value of benefit claims payable at end of year	2011-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2011-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2011-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2011-12-31	$0
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Aggregate proceeds on sale of assets	2011-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2011-12-31	$0
Liabilities. Value of acquisition indebtedness at end of year	2011-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2011-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	MOODY, FAMIGLIETTI & ANDRONICO,
Accountancy firm EIN	2011-12-31	043077056
2010 : SVB SECURITIES 401(K) PLAN 2010 401k financial data
Unrealized appreciation/depreciation of real estate assets	2010-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2010-12-31	$0
Total unrealized appreciation/depreciation of assets	2010-12-31	$0
Total transfer of assets to this plan	2010-12-31	$0
Total transfer of assets from this plan	2010-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Expenses. Interest paid	2010-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$3,665,126
Total loss/gain on sale of assets	2010-12-31	$0
Total of all expenses incurred	2010-12-31	$2,355,458
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$2,296,080
Expenses. Certain deemed distributions of participant loans	2010-12-31	$32,028
Value of total corrective distributions	2010-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$2,250,661
Value of total assets at end of year	2010-12-31	$11,945,720
Value of total assets at beginning of year	2010-12-31	$10,636,052
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$27,350
Total income from rents	2010-12-31	$0
Total interest from all sources	2010-12-31	$8,942
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$261,817
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$261,817
Assets. Real estate other than employer real property at end of year	2010-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2010-12-31	$0
Administrative expenses professional fees incurred	2010-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2010-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2010-12-31	$0
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$1,000,000
If this is an individual account plan, was there a blackout period	2010-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$1,861,331
Participant contributions at end of year	2010-12-31	$173,011
Participant contributions at beginning of year	2010-12-31	$218,570
Participant contributions at end of year	2010-12-31	$0
Participant contributions at beginning of year	2010-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2010-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2010-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$65,658
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2010-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2010-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2010-12-31	$0
Assets. Loans (other than to participants) at end of year	2010-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2010-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2010-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2010-12-31	$0
Other income not declared elsewhere	2010-12-31	$0
Administrative expenses (other) incurred	2010-12-31	$0
Total non interest bearing cash at end of year	2010-12-31	$0
Total non interest bearing cash at beginning of year	2010-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Income. Non cash contributions	2010-12-31	$0
Value of net income/loss	2010-12-31	$1,309,668
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$11,945,720
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$10,636,052
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Assets. partnership/joint venture interests at end of year	2010-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2010-12-31	$0
Investment advisory and management fees	2010-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$9,967,626
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$10,417,482
Interest on participant loans	2010-12-31	$8,942
Income. Interest from loans (other than to participants)	2010-12-31	$0
Interest earned on other investments	2010-12-31	$0
Income. Interest from US Government securities	2010-12-31	$0
Income. Interest from corporate debt instruments	2010-12-31	$0
Value of interest in master investment trust accounts at end of year	2010-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2010-12-31	$0
Value of interest in common/collective trusts at end of year	2010-12-31	$1,805,083
Value of interest in common/collective trusts at beginning of year	2010-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$0
Assets. Value of investments in 103.12 investment entities at end of year	2010-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2010-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2010-12-31	$0
Asset value of US Government securities at end of year	2010-12-31	$0
Asset value of US Government securities at beginning of year	2010-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$1,124,153
Net investment gain/loss from pooled separate accounts	2010-12-31	$0
Net investment gain or loss from common/collective trusts	2010-12-31	$19,553
Net gain/loss from 103.12 investment entities	2010-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Assets. Invements in employer securities at end of year	2010-12-31	$0
Assets. Invements in employer securities at beginning of year	2010-12-31	$0
Assets. Value of employer real property at end of year	2010-12-31	$0
Assets. Value of employer real property at beginning of year	2010-12-31	$0
Contributions received in cash from employer	2010-12-31	$323,672
Employer contributions (assets) at end of year	2010-12-31	$0
Employer contributions (assets) at beginning of year	2010-12-31	$0
Income. Dividends from preferred stock	2010-12-31	$0
Income. Dividends from common stock	2010-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$2,296,080
Asset. Corporate debt instrument preferred debt at end of year	2010-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2010-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2010-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2010-12-31	$0
Contract administrator fees	2010-12-31	$27,350
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2010-12-31	Yes
Assets. Corporate common stocks other than exployer securities at end of year	2010-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2010-12-31	$0
Liabilities. Value of benefit claims payable at end of year	2010-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2010-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2010-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2010-12-31	$0
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Aggregate proceeds on sale of assets	2010-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2010-12-31	$0
Liabilities. Value of acquisition indebtedness at end of year	2010-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2010-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	MOODY, FAMIGLIETTI & ANDRONICO, LLP
Accountancy firm EIN	2010-12-31	043077056
2009 : SVB SECURITIES 401(K) PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for SVB SECURITIES 401(K) PLAN

2023: SVB SECURITIES 401(K) PLAN 2023 form 5500 responses
2023-01-01	Type of plan entity	Single employer plan
2023-01-01	Submission has been amended	No
2023-01-01	This submission is the final filing	No
2023-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2023-01-01	Plan is a collectively bargained plan	No
2023-01-01	Plan funding arrangement – Trust	Yes
2023-01-01	Plan benefit arrangement - Trust	Yes
2022: SVB SECURITIES 401(K) PLAN 2022 form 5500 responses
2022-01-01	Type of plan entity	Single employer plan
2022-01-01	Submission has been amended	No
2022-01-01	This submission is the final filing	No
2022-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2022-01-01	Plan is a collectively bargained plan	No
2022-01-01	Plan funding arrangement – Trust	Yes
2022-01-01	Plan benefit arrangement - Trust	Yes
2021: SVB SECURITIES 401(K) PLAN 2021 form 5500 responses
2021-01-01	Type of plan entity	Single employer plan
2021-01-01	Submission has been amended	No
2021-01-01	This submission is the final filing	No
2021-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2021-01-01	Plan is a collectively bargained plan	No
2021-01-01	Plan funding arrangement – Trust	Yes
2021-01-01	Plan benefit arrangement - Trust	Yes
2020: SVB SECURITIES 401(K) PLAN 2020 form 5500 responses
2020-01-01	Type of plan entity	Single employer plan
2020-01-01	Submission has been amended	No
2020-01-01	This submission is the final filing	No
2020-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2020-01-01	Plan is a collectively bargained plan	No
2020-01-01	Plan funding arrangement – Trust	Yes
2020-01-01	Plan benefit arrangement - Trust	Yes
2019: SVB SECURITIES 401(K) PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	Submission has been amended	No
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: SVB SECURITIES 401(K) PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	Submission has been amended	No
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: SVB SECURITIES 401(K) PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	No
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: SVB SECURITIES 401(K) PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: SVB SECURITIES 401(K) PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: SVB SECURITIES 401(K) PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: SVB SECURITIES 401(K) PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: SVB SECURITIES 401(K) PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	Yes
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Insurance	Yes
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement – Insurance	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: SVB SECURITIES 401(K) PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Insurance	Yes
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement – Insurance	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: SVB SECURITIES 401(K) PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	SVB SECURITIES LLC
Employer identification number (EIN):	421738148
NAIC Classification:	523110
NAIC Description:	Investment Banking and Securities Dealing

Jurisdiction of Incorporation:	California Department of State
Incorporation Date:
Company Identification Number:	200721210171