SEC Form 4 · accession 0001077771-16-000254
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
Gary F Neal
Officer — EVP/Enterprise Risk
Period of report
Jan 31, 2016
Accepted (ET)
Feb 2, 2016 · 8:40 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 | 2,968 | $14.48 | D | 66,927 | D | |
| Common StockF2 | Feb 1, 2016 | A | 7,200 | $0.00 | A | 74,127 | D | |
| Common StockF3 | Feb 1, 2016 | A | 10,800 | $0.00 | A | 84,927 | D | |
| Common StockF1 | Feb 2, 2016 | F | 727 | $14.08 | D | 84,200 | 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 | $11.89 | holding | — | — | — | Feb 5, 2011 | Feb 5, 2020 | Common Stock | 4,000 | 4,000 | D |
| Non-Qualified Stock Option (right to buy)F4 | $15.50 | holding | — | — | — | Jan 28, 2009 | Jan 27, 2018 | Common Stock | 1,007 | 1,007 | 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.
- F3PSA granted 2/01/16. The grant shares vest three years following the grant date to the extent that the issuer's total shareholder return achieves specified targets as compared with the KRXTR regional bank stock index and ROATCE performance.
- F4Options are fully vested.