SEC Form 4 · accession 0001077771-15-000025

UMPQUA HOLDINGS CORP · UMPQ

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — EVP/CFO

Period of report

Jan 30, 2015

Accepted (ET)

Feb 3, 2015 · 3:42 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 Stock^F1	Jan 30, 2015	F	1,211	$15.51	D	136,588	D
Common Stock^F2	Feb 2, 2015	A	9,000	$0.00	A	145,588	D
Common Stock^F3	Feb 2, 2015	A	21,000	$0.00	A	166,588	D
Common Stock	holding	—	—		—	1,176	I	by 401(k)
Common Stock	holding	—	—		—	4,179	I	by IRA
Common Stock	holding	—	—		—	2,274	I	by Spouse IRA

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)^F4	$11.89	holding	—	—	—	Feb 5, 2011	Feb 5, 2020	Common Stock	8,000	8,000	D
Non-Qualified Stock Option (right to buy)^F5	$22.94	holding	—	—	—	Apr 19, 2006	Apr 19, 2015	Common Stock	10,000	10,000	D

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.
F2RSA granted 2/02/15. Beginning on the first anniversary of the grant date, the grant shares vest 33 1/3% per year for three years.
F3RSA granted 2/02/15. The grant shares vest three years following the grant date to the extent that the issuer's total shareholder return achieves specified targets as compared with the KRXTR regional bank stock index.
F4Option granted 2/5/10. Beginning on the first anniversary of the grant date, the options vest 20% per year for five years.
F5Options are fully vested.