SEC Form 4 · accession 0001077771-16-000446
UMPQUA HOLDINGS CORP · UMPQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ron L Farnsworth
Officer — EVP/CFO
Period of report
Nov 15, 2016
Accepted (ET)
Nov 15, 2016 · 6:09 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 Stock | Nov 15, 2016 | M | 8,000 | $11.89 | A | 183,750 | D | |
| Common StockF1 | Nov 15, 2016 | F | 5,313 | $17.90 | D | 178,437 | D | |
| Common StockF2 | Nov 15, 2016 | F | 1,369 | $17.90 | D | 177,068 | D | |
| Common StockF3,F4 | Nov 15, 2016 | J | 26 | — | A | 1,258 | I | by 401(k) |
| Common Stock | holding | — | — | — | 4,179 | I | by IRA | |
| Common Stock | holding | — | — | — | 2,274 | I | by Spouse 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)F4,F5 | $11.89 | Nov 15, 2016 | M | 8,000 | D | Feb 5, 2011 | Feb 5, 2020 | Common Stock | 8,000 | 0 | D |
Explanation of responses
- F1Payment 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.
- F2Payment 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.
- 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).
- F4Not required.
- F5Options are fully vested.