SEC Form 4 · accession 0001077771-16-000252
UMPQUA HOLDINGS CORP · UMPQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Ron L Farnsworth
Officer — EVP/CFO
Period of report
Jan 31, 2016
Accepted (ET)
Feb 2, 2016 · 8:39 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 31, 2016 | F | 4,783 | $14.48 | D | 157,396 | D | |
| Common StockF2 | Feb 1, 2016 | A | 10,500 | $0.00 | A | 167,896 | D | |
| Common StockF2 | Feb 1, 2016 | A | 24,500 | $0.00 | A | 192,396 | D | |
| Common StockF1 | Feb 2, 2016 | F | 1,091 | $14.08 | D | 191,305 | D | |
| Common Stock | holding | — | — | — | 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)F3 | $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.
- F2RSA granted 2/01/16. Beginning on the first anniversary of the grant date, the grant shares vest 33 1/3% per year for three years.
- F3Option granted 2/5/10. Beginning on the first anniversary of the grant date, the options vest 20% per year for five years.