SEC Form 4 · accession 0001077771-15-000016
UMPQUA HOLDINGS CORP · UMPQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Neal T McLaughlin
Officer — EVP/Treasurer
Period of report
Jan 27, 2015
Accepted (ET)
Jan 29, 2015 · 1:14 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001077771
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 27, 2015 | D | 547 | $0.00 | D | 62,637 | D | |
| Common StockF2 | Jan 27, 2015 | F | 2,271 | $15.95 | D | 60,366 | D | |
| Common StockF2 | Jan 27, 2015 | F | 514 | $15.95 | D | 59,852 | D | |
| Common StockF2 | Jan 27, 2015 | F | 236 | $15.95 | D | 59,616 | D | |
| Common StockF3,F4 | Jan 27, 2015 | J | 22 | — | A | 810 | I | by 401(k) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F5 | $9.23 | holding | — | — | — | Feb 2, 2010 | Feb 1, 2019 | Common Stock | 2,000 | 2,000 | D |
| Non-Qualified Stock Option (right to buy)F5 | $10.97 | holding | — | — | — | Jan 31, 2014 | Jan 30, 2021 | Common Stock | 5,000 | 5,000 | D |
| Non-Qualified Stock Option (right to buy)F6 | $11.89 | holding | — | — | — | Feb 5, 2011 | Feb 5, 2020 | Common Stock | 20,000 | 20,000 | D |
| Non-Qualified Stock Option (right to buy)F5 | $15.50 | holding | — | — | — | Jan 28, 2009 | Jan 27, 2018 | Common Stock | 15,000 | 15,000 | D |
| Non-Qualified Stock Option (right to buy)F5 | $22.94 | holding | — | — | — | Apr 19, 2006 | Apr 19, 2015 | Common Stock | 5,000 | 5,000 | D |
Explanation of responses
- F1The portion of a performance-based Restricted Stock Award forfeited due to the performance criteria not being met at 100%.
- F2Payment of tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3.
- F3Not required.
- F4Holdings reported include shares acquired in the 401(k)/Profit Sharing plan through dividend reinvestment, payroll deferrals and/or employer contributions in transactions that were exempt under Rule 16b-3(c).
- F5All options are fully vested.
- F6Option granted 2/5/10. Beginning on the first anniversary of the grant date, the options vest 20% per year for five years.