SEC Form 4 · accession 0001077771-15-000021
UMPQUA HOLDINGS CORP · UMPQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Wardlow
Officer — EVP/Chief Credit Officer
Period of report
Jan 30, 2015
Accepted (ET)
Jan 30, 2015 · 6:19 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 30, 2015 | F | 1,211 | $15.51 | D | 108,396 | D |
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)F2 | $11.89 | holding | — | — | — | Feb 5, 2011 | Feb 4, 2020 | Common Stock | 8,000 | 8,000 | D |
Explanation of responses
- F1Payment 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.
- F2Option granted 2/5/10. Beginning on the first anniversary of the grant date, the options vest 20% per year for five years.