SEC Form 4 · accession 0001077771-15-000210
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
Oct 29, 2015
Accepted (ET)
Oct 30, 2015 · 7:38 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 | Oct 29, 2015 | S | 14,700 | $17.20 | D | 587,298 | D | |
| Common StockF1,F2 | Oct 29, 2015 | J | 181 | — | A | 7,012 | I | by 401(k) |
| Common StockF1,F3 | Oct 29, 2015 | J | 187 | — | A | 7,329 | I | by SRP Plan |
| Common Stock | holding | — | — | — | 2,955 | I | by 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 | $10.97 | holding | — | — | — | Jan 31, 2014 | Jan 30, 2021 | Common Stock | 75,000 | 75,000 | D |
| Non-Qualified Stock Option (right to buy)F5 | $12.87 | holding | — | — | — | Aug 2, 2011 | Aug 1, 2020 | Common Stock | 15,000 | 15,000 | D |
| Non-Qualified Stock Option (right to buy)F4 | $26.12 | holding | — | — | — | Dec 31, 2007 | Mar 5, 2017 | Common Stock | 50,000 | 50,000 | D |
| Non-Qualified Stock Option (right to buy)F4 | $28.425 | holding | — | — | — | Jan 18, 2007 | Jan 17, 2016 | Common Stock | 25,000 | 25,000 | D |
Explanation of responses
- F1Not required.
- F2Holdings 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).
- F3Holdings reported include shares acquired pursuant to a dividend reinvestment plan for this account in transactions that were exempt under Rule 16b-3(c).
- F4Options are fully vested.
- F5Option 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.