SEC Form 4 · accession 0001077771-15-000150
UMPQUA HOLDINGS CORP · UMPQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Cort L O'Haver
Officer — Commercial Bank President
Period of report
Jun 11, 2015
Accepted (ET)
Jun 12, 2015 · 6:25 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 Stock | Jun 11, 2015 | M | 5,000 | $13.45 | A | 168,798 | D | |
| Common StockF1 | Jun 11, 2015 | F | 3,615 | $18.60 | D | 165,183 | D | |
| Common StockF2 | Jun 11, 2015 | F | 705 | $18.60 | D | 164,478 | 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,F3 | $13.45 | Jun 11, 2015 | M | 5,000 | D | Mar 24, 2011 | Mar 23, 2020 | Common Stock | 5,000 | 0 | D |
Explanation of responses
- F1Payment of purchase price by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3.
- F2Payment 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.
- F3Options are fully vested.
- F4Not required.