SEC Form 4 · accession 0001077771-16-000255
UMPQUA HOLDINGS CORP · UMPQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew H Ognall
Officer — EVP/General Counsel/Secretary
Period of report
Feb 1, 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 | Feb 1, 2016 | A | 8,000 | $0.00 | A | 38,000 | D | |
| Common StockF2 | Feb 1, 2016 | A | 12,000 | $0.00 | A | 50,000 | D | |
| Common StockF3 | Feb 2, 2016 | F | 1,111 | $14.08 | D | 48,889 | D | |
| Common StockF4,F5 | Feb 1, 2016 | J | 351 | — | A | 389 | I | by 401(k) |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1RSA 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.
- F2PSA 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.
- F3Payment 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.
- F4Holdings 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).
- F5Not required.