SEC Form 4 · accession 0001077771-17-000017
UMPQUA HOLDINGS CORP · UMPQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Neal T McLaughlin
Officer — EVP/Treasurer
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 | 1,574 | — | D | 78,870 | D | |
| Common StockF3 | Jan 27, 2017 | D | 594 | $18.21 | D | 78,276 | D | |
| Common StockF3 | Jan 27, 2017 | D | 278 | $18.21 | D | 77,998 | D | |
| Common StockF4,F2 | Jan 27, 2017 | J | 8 | — | A | 874 | 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)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
- 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).
- F5Options are fully vested.