SEC Form 4 · accession 0001077771-16-000238
UMPQUA HOLDINGS CORP · UMPQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ron L Farnsworth
Officer — EVP/CFO
Period of report
Apr 19, 2015
Accepted (ET)
Jan 29, 2016 · 8:16 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 27, 2016 | F | 1,666 | $13.93 | D | 163,468 | D | |
| Common StockF1 | Jan 29, 2016 | F | 1,289 | $14.48 | D | 162,179 | D | |
| Common StockF2,F3 | Jan 27, 2016 | J | 44 | — | A | 1,220 | I | by 401(k) |
| Common Stock | holding | — | — | — | 4,179 | I | by IRA | |
| Common Stock | holding | — | — | — | 2,274 | 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 | $22.94 | Apr 19, 2015 | J | 10,000 | D | Apr 19, 2006 | Apr 19, 2015 | Common Stock | 10,000 | 0 | D |
| Non-Qualified Stock Option (right to buy)F5 | $11.89 | holding | — | — | — | Feb 5, 2011 | Feb 5, 2020 | Common Stock | 8,000 | 8,000 | 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).
- F4All shares expired and the executive received no value in connection with the expiration.
- F5Option granted 2/5/10. Beginning on the first anniversary of the grant date, the options vest 20% per year for five years.