SEC Form 4 · accession 0001077771-15-000026
UMPQUA HOLDINGS CORP · UMPQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gary F Neal
Officer — EVP/Enterprise Risk
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 StockF1 | Jan 30, 2015 | F | 720 | $15.51 | D | 57,288 | D | |
| Common StockF2 | Feb 2, 2015 | A | 6,000 | $0.00 | A | 63,288 | D | |
| Common StockF3 | Feb 2, 2015 | A | 9,000 | $0.00 | A | 72,288 | 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)F4 | $11.89 | holding | — | — | — | Feb 5, 2011 | Feb 5, 2020 | Common Stock | 4,000 | 4,000 | D |
| Non-Qualified Stock Option (right to buy)F5 | $15.50 | holding | — | — | — | Jan 28, 2009 | Jan 27, 2018 | Common Stock | 1,007 | 1,007 | 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.
- 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.