SEC Form 4 · accession 0001077771-16-000367
UMPQUA HOLDINGS CORP · UMPQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ellen Rm Boyer
Director
Period of report
May 10, 2016
Accepted (ET)
May 11, 2016 · 6:20 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 | May 10, 2016 | A | 610 | $0.00 | A | 21,920 | D | |
| Common Stock | May 10, 2016 | M | 4,699 | $12.16 | A | 26,619 | D | |
| Common StockF2 | May 10, 2016 | F | 3,774 | $15.14 | D | 22,845 | 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,F3 | $12.16 | May 10, 2016 | M | 4,699 | D | Apr 29, 2014 | Apr 28, 2023 | Common Stock | 4,699 | 0 | D |
Explanation of responses
- F1Quarterly payment of equity portion of director compensation retainer; awards of shares made under the shareholder-approved 2013 Incentive Plan.
- F2Payment of purchase price by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3.
- F3Options are fully vested.
- F4Not required.