SEC Form 4 · accession 0001077771-16-000258
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
Feb 1, 2016
Accepted (ET)
Feb 2, 2016 · 8:41 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 | 22,615 | D | |
| Common StockF2 | Feb 1, 2016 | A | 12,000 | $0.00 | A | 34,615 | D | |
| Common Stock | holding | — | — | — | 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
- 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.