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: 2/28/2023ACC: 0001312109-23-000047

InsiderLANE ALAN JCIK 1232737

→

IssuerSILVERGATE CAPITAL CORPCIK 1312109

DirectorOfficer· President and CEO

Since Nov 2019

-443.00

Net shares

Net seller

$6.3K

Total sold

0

Open market trades

0B · 0S

3

Total transactions

1.08K acquired · 1.53K disposed

Non-Derivative Transactions2

Class A Common Stock

Direct

M · Option Exercise

Shares

+1.08K

Price / share

—

Trade value

—

% of position

42.1%

2/26/2023

2.58K→3.66K

Class A Common Stock

Direct

F · Tax Withholding

Shares

−443.00

Price / share

$14.33

Trade value

$6.35K

% of position

12.1%

2/26/2023

3.66K→3.22K

Total

Net shares

+642.00

Net value

-$6.35K

Security	Date	Type	Shares	Price / Share	Trade Value	% of Position	Held Before	Held After
Class A Common Stock Direct	2/26/2023	M · Option Exercise	+1.08K	—	—	42.1%	2.58K	3.66K
Class A Common Stock Direct	2/26/2023	F · Tax Withholding	−443.00	$14.33	$6.35K	12.1%	3.66K	3.22K
Total			+642.00		-$6.35K

Derivative Transactions1

Restricted Stock Units

Direct

M · Option Exercise

Converts to

Class A Common Stock

1.08K shares

Shares

−1.08K

Strike price

Held after

1.08K

Exercisable

—

2/26/2023

Security	Converts To	Date	Type	Shares	Strike Price	Exercisable	Held After
Restricted Stock Units Direct	Class A Common Stock1.08K shares	2/26/2023	M · Option Exercise	−1.08K		—	1.08K

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

3.98K

Shares owned

3.98K

Exercise price

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

—

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

32.63K

Shares owned

32.63K

Exercise price

16.09

Expiration

—

Exercise window

—

Restricted Stock Units

Direct

Underlying security

Class A Common Stock

Underlying shares

2.77K

Shares owned

2.77K

Exercise price

Expiration

—

Exercise window

—

Total

Underlying

61.03K

Owned

61.03K

Security	Underlying	Exercise Price	Exercise Window	Expiration	Underlying Shares	Shares Owned
Restricted Stock Units Direct	Class A Common Stock		—	—	3.98K	3.98K
Non-Qualified Stock Options Direct	Class A Common Stock	127.56	—	—	7.84K	7.84K
Non-Qualified Stock Options Direct	Class A Common Stock	110.84	—	—	13.81K	13.81K
Non-Qualified Stock Options Direct	Class A Common Stock	16.09	—	—	32.63K	32.63K
Restricted Stock Units Direct	Class A Common Stock		—	—	2.77K	2.77K
Total					61.03K	61.03K

LANE ALAN J — Insider Transaction (Form 4) Filed Feb 28, 2023 | Finecho