SEC Form 4 · accession 0001077771-15-000124
UMPQUA HOLDINGS CORP · UMPQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ezra Eckhardt
Officer — EVP/Shared Resources
Period of report
Apr 29, 2015
Accepted (ET)
Apr 30, 2015 · 1:43 pm EDT
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 | Apr 29, 2015 | F | 1,058 | $17.29 | D | 193,138 | D | |
| Common StockF2,F3 | Apr 29, 2015 | J | 229 | — | A | 26,975 | I | by 401(k) |
| Common Stock | holding | — | — | — | 1,545 | I | by IRA | |
| Common Stock | holding | — | — | — | 1,545 | I | by Spouse IRA |
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 | $12.16 | holding | — | — | — | Apr 29, 2014 | Apr 28, 2024 | Common Stock | 14,730 | 14,730 | 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.
- F2Not required.
- F3Holdings 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).
- F4Option granted 4/29/2013. Beginning on the first anniversary of the grant date, the option vest 25% per year over four years.