SEC Form 4/A · accession 0001077771-17-000011
UMPQUA HOLDINGS CORP · UMPQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Cort L O'Haver
Officer — President of Umpqua Bank
Period of report
Jan 31, 2016
Accepted (ET)
Jan 30, 2017 · 9:12 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 StockF1,F2 | Jan 31, 2016 | D | 1,745 | $0.00 | D | 154,794 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The portion of a performance-based Restricted Stock Award forfeited (in accordance with Rule 16b-3(e)) due to the performance criteria not being met at 100%.
- F2Not Required