SEC Form 4 · accession 0001077771-16-000449
UMPQUA HOLDINGS CORP · UMPQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Neal T McLaughlin
Officer — EVP/Treasurer
Period of report
Dec 7, 2016
Accepted (ET)
Dec 8, 2016 · 1:40 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 | Dec 7, 2016 | M | 2,000 | $9.23 | A | 80,801 | D | |
| Common StockF1 | Dec 7, 2016 | F | 975 | $18.93 | D | 79,826 | D | |
| Common StockF2 | Dec 7, 2016 | F | 372 | $18.93 | D | 79,454 | D | |
| Common Stock | Dec 7, 2016 | M | 5,000 | $10.97 | A | 84,454 | D | |
| Common StockF1 | Dec 7, 2016 | F | 2,905 | $18.88 | D | 81,549 | D | |
| Common StockF2 | Dec 7, 2016 | F | 764 | $18.93 | D | 80,785 | D | |
| Common StockF3,F4 | Dec 7, 2016 | J | 17 | — | A | 866 | 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,F5 | $9.23 | Dec 7, 2016 | M | 2,000 | D | Feb 2, 2010 | Feb 1, 2019 | Common Stock | 2,000 | 0 | D |
| Non-Qualified Stock Option (right to buy)F4,F5 | $10.97 | Dec 7, 2016 | M | 5,000 | D | Jan 31, 2012 | Jan 30, 2021 | Common Stock | 5,000 | 0 | D |
| Non-Qualified Stock Option (right to buy)F5 | $11.89 | holding | — | — | — | Feb 5, 2011 | Feb 5, 2020 | Common Stock | 20,000 | 20,000 | D |
| Non-Qualified Stock Option (right to buy)F5 | $15.50 | holding | — | — | — | Jan 28, 2009 | Jan 27, 2018 | Common Stock | 15,000 | 15,000 | 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 pursuant to a dividend reinvestment plan for this account in transactions that were exempt under Rule 16b-3(c).
- F4Not required.
- F5Options are fully vested.