SEC Form 4 · accession 0001077771-16-000312
UMPQUA HOLDINGS CORP · UMPQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Neal T McLaughlin
Officer — EVP/Treasurer
Period of report
Apr 18, 2016
Accepted (ET)
Apr 19, 2016 · 5:31 pm EDT
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 | Apr 18, 2016 | F | 10,370 | $16.48 | D | 78,801 | D | |
| Common StockF2,F3 | Apr 18, 2016 | J | 8 | — | A | 849 | I | by 401(k) |
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 | $9.23 | holding | — | — | — | Feb 2, 2010 | Feb 1, 2019 | Common Stock | 2,000 | 2,000 | D |
| Non-Qualified Stock Option (right to buy)F4 | $10.97 | holding | — | — | — | Jan 31, 2014 | Jan 30, 2021 | Common Stock | 5,000 | 5,000 | D |
| Non-Qualified Stock Option (right to buy)F4 | $11.89 | holding | — | — | — | Feb 5, 2011 | Feb 5, 2020 | Common Stock | 20,000 | 20,000 | D |
| Non-Qualified Stock Option (right to buy)F4 | $15.50 | holding | — | — | — | Jan 28, 2009 | Jan 27, 2018 | Common Stock | 15,000 | 15,000 | 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.
- F2Not required.
- F3Holdings 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).
- F4Options are fully vested.