SEC Form 4 · accession 0001077771-16-000242
UMPQUA HOLDINGS CORP · UMPQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David F Shotwell
Officer — EVP/Chief Credit Officer
Period of report
Jan 29, 2016
Accepted (ET)
Jan 29, 2016 · 8:18 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 29, 2016 | F | 486 | $14.48 | D | 15,269 | D | |
| Common StockF1 | Jan 29, 2016 | F | 167 | $14.48 | D | 15,102 | D | |
| Common StockF1 | Jan 29, 2016 | F | 487 | $14.48 | D | 14,615 | D | |
| Common StockF2,F3 | Jan 29, 2016 | J | 5 | — | A | 191 | I | by 401(k) |
| Common Stock | holding | — | — | — | 2,000 | I | by IRA |
Table II — derivative securities
No Table II lines on this filing.
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.
- 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).
- F3Not required.