SEC Form 4 · accession 0001077771-17-000016
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
Jan 27, 2017
Accepted (ET)
Jan 31, 2017 · 1:53 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 27, 2017 | D | 9,439 | $0.00 | D | 165,884 | D | |
| Common StockF3 | Jan 27, 2017 | F | 3,350 | $18.21 | D | 162,534 | D | |
| Common StockF3 | Jan 27, 2017 | F | 1,450 | $18.21 | D | 161,084 | D | |
| Common StockF4,F2 | Jan 27, 2017 | J | 10 | — | A | 1,268 | 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
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.
- F3Payment 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.
- F4Holdings 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).