SEC Form 4 · accession 0001077771-16-000384
UMPQUA HOLDINGS CORP · UMPQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Gregory Seibly
Officer — Former Consumer Bank President
Period of report
May 11, 2016
Accepted (ET)
May 25, 2016 · 5:23 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 11, 2016 | J | 26 | $0.00 | A | 293,262 | D | |
| Common StockF2 | May 11, 2016 | J | 102,712 | $0.00 | D | 190,550 | D | |
| Common StockF3 | May 12, 2016 | G | 190,550 | $0.00 | D | 0 | D | |
| Common StockF3 | May 12, 2016 | G | 190,550 | $0.00 | A | 231,287 | I | by Trust |
| Common Stock | holding | — | — | — | 4,794 | 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 | $12.16 | May 11, 2016 | D | 8,814 | D | Apr 29, 2014 | Apr 28, 2023 | Common Stock | 8,814 | 26,444 | D |
Explanation of responses
- F1Shares acquired through Dividend Reinvestment under the former Sterling Bank Employee Stock Purchase Program and transferred to Mr. Seibly's holdings.
- F2Restricted Stock Award canceled following termination of employment.
- F3Shares contributed to family trust of which Mr. Seibly is the trustee.
- F4Portion of stock option forfeited following termination of employment.