LANE ALAN J

PrivateCIK: 1232737

Location

TEMECULA, CA

LANE ALAN J (President and CEO) exercised options at SILVERGATE CAPITAL CORP

Option exercise — a mechanical event triggered by vesting or expiry. Not a discretionary conviction trade.

M · 1 exercise

LANE ALAN J

Filed: 2/24/2023ACC: 0001312109-23-000041

InsiderLANE ALAN JCIK 1232737

→

IssuerSILVERGATE CAPITAL CORPCIK 1312109

DirectorOfficer· President and CEO

Since Nov 2019

-813.00

Net shares

Net seller

$12.8K

Total sold

0

Open market trades

0B · 0S

3

Total transactions

1.99K acquired · 2.81K disposed

Non-Derivative Transactions2

Class A Common Stock

Direct

M · Option Exercise

Shares

+1.99K

Price / share

—

Trade value

—

% of position

142.5%

2/22/2023

1.40K→3.39K

Class A Common Stock

Direct

F · Tax Withholding

Shares

−813.00

Price / share

$15.77

Trade value

$12.82K

% of position

24.0%

2/22/2023

3.39K→2.58K

Total

Net shares

+1.18K

Net value

-$12.82K

Security	Date	Type	Shares	Price / Share	Trade Value	% of Position	Held Before	Held After
Class A Common Stock Direct	2/22/2023	M · Option Exercise	+1.99K	—	—	142.5%	1.40K	3.39K
Class A Common Stock Direct	2/22/2023	F · Tax Withholding	−813.00	$15.77	$12.82K	24.0%	3.39K	2.58K
Total			+1.18K		-$12.82K

Derivative Transactions1

Restricted Stock Units

Direct

M · Option Exercise

Converts to

Class A Common Stock

3.98K shares

Shares

−1.99K

Strike price

Held after

3.98K

Exercisable

—

2/22/2023

Security	Converts To	Date	Type	Shares	Strike Price	Exercisable	Held After
Restricted Stock Units Direct	Class A Common Stock3.98K shares	2/22/2023	M · Option Exercise	−1.99K		—	3.98K

Non-Derivative Holdings (Post-Transaction)3

Class A Common Stock

Indirect

Shares owned153.94K

Class A Common Stock

Indirect

Shares owned88.27K

Class A Common Stock

Indirect

Shares owned1.76K

Total

243.97K indirect243.97K

Security Title	Shares Owned	Ownership Type
Class A Common Stock	153.94K	Indirect
Class A Common Stock	88.27K	Indirect
Class A Common Stock	1.76K	Indirect
Total	243.97K	243.97K indirect

Derivative Holdings (Post-Transaction)5

Restricted Stock Units

Direct

Underlying security

Class A Common Stock

Underlying shares

2.77K

Shares owned

2.77K

Exercise price

Expiration

—

Exercise window

—

Non-Qualified Stock Options

Direct

Underlying security

Class A Common Stock

Underlying shares

32.63K

Shares owned

32.63K

Exercise price

16.09

Expiration

—

Exercise window

—

Non-Qualified Stock Options

Direct

Underlying security

Class A Common Stock

Underlying shares

13.81K

Shares owned

13.81K

Exercise price

110.84

Expiration

—

Exercise window

—

Non-Qualified Stock Options

Direct

Underlying security

Class A Common Stock

Underlying shares

7.84K

Shares owned

7.84K

Exercise price

127.56

Expiration

—

Exercise window

—

Restricted Stock Units

Direct

Underlying security

Class A Common Stock

Underlying shares

2.17K

Shares owned

2.17K

Exercise price

Expiration

—

Exercise window

—

Total

Underlying

59.22K

Owned

59.22K

Security	Underlying	Exercise Price	Exercise Window	Expiration	Underlying Shares	Shares Owned
Restricted Stock Units Direct	Class A Common Stock		—	—	2.77K	2.77K
Non-Qualified Stock Options Direct	Class A Common Stock	16.09	—	—	32.63K	32.63K
Non-Qualified Stock Options Direct	Class A Common Stock	110.84	—	—	13.81K	13.81K
Non-Qualified Stock Options Direct	Class A Common Stock	127.56	—	—	7.84K	7.84K
Restricted Stock Units Direct	Class A Common Stock		—	—	2.17K	2.17K
Total					59.22K	59.22K

LANE ALAN J — Insider Transaction (Form 4) Filed Feb 24, 2023 | Finecho