SEC Form 4 · accession 0001077771-16-000319
UMPQUA HOLDINGS CORP · UMPQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Raymond P Davis
Officer — President & CEO · Director
Period of report
Apr 18, 2016
Accepted (ET)
Apr 20, 2016 · 12:53 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 | 28,518 | $16.48 | D | 585,860 | D | |
| Common StockF1 | Apr 19, 2016 | F | 10,370 | $16.69 | D | 575,490 | D | |
| Common StockF2,F3 | Apr 18, 2016 | J | 68 | — | A | 7,159 | I | by 401(k) |
| Common StockF4,F3 | Apr 18, 2016 | J | 72 | — | A | 7,482 | I | by SRP Plan |
| Common Stock | holding | — | — | — | 2,955 | I | by 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)F5 | $10.97 | holding | — | — | — | Jan 31, 2014 | Jan 30, 2021 | Common Stock | 75,000 | 75,000 | D |
| Non-Qualified Stock Option (right to buy)F5 | $12.87 | holding | — | — | — | Aug 2, 2011 | Aug 1, 2020 | Common Stock | 15,000 | 15,000 | D |
| Non-Qualified Stock Option (right to buy)F5 | $26.12 | holding | — | — | — | Dec 31, 2007 | Mar 5, 2017 | Common Stock | 50,000 | 50,000 | 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.
- F2Holdings 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).
- F3Not required.
- F4Holdings reported include shares acquired pursuant to a dividend reinvestment plan for this account in transactions that were exempt under Rule 16b-3(c).
- F5Options are fully vested.