SEC Form 4 · accession 0001077771-15-000037
UMPQUA HOLDINGS CORP · UMPQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Raymond P Davis
Officer — President & CEO · Director
Period of report
Feb 2, 2015
Accepted (ET)
Feb 4, 2015 · 12:46 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 | Feb 2, 2015 | A | 100,000 | $0.00 | A | 601,998 | D | |
| Common Stock | holding | — | — | — | 6,831 | I | by 401(k) | |
| Common Stock | holding | — | — | — | 2,955 | I | by IRA | |
| Common Stock | holding | — | — | — | 7,142 | I | by SRP Plan |
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 | $10.97 | holding | — | — | — | Jan 31, 2014 | Jan 30, 2021 | Common Stock | 75,000 | 75,000 | D |
| Non-Qualified Stock Option (right to buy)F3 | $12.87 | holding | — | — | — | Aug 2, 2011 | Aug 1, 2020 | Common Stock | 15,000 | 15,000 | D |
| Non-Qualified Stock Option (right to buy)F2 | $26.12 | holding | — | — | — | Dec 31, 2007 | Mar 5, 2017 | Common Stock | 50,000 | 50,000 | D |
| Non-Qualified Stock Option (right to buy)F2 | $28.425 | holding | — | — | — | Jan 18, 2007 | Jan 17, 2016 | Common Stock | 25,000 | 25,000 | D |
Explanation of responses
- F1RSA 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.
- F2Options are fully vested.
- F3Option granted 8/2/2010. Beginning on the first anniversary of the grant date, the options vest at 30% per year for the first two years and 20% for the third and fourth years.