SEC Form 4 · accession 0001077771-17-000018
UMPQUA HOLDINGS CORP · UMPQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gary F Neal
Officer — EVP/Enterprise Risk
Period of report
Jan 27, 2017
Accepted (ET)
Jan 31, 2017 · 1:54 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 | 4,720 | — | D | 70,655 | D | |
| Common StockF3 | Jan 27, 2017 | D | 1,783 | $18.21 | D | 68,872 | D | |
| Common StockF3 | Jan 27, 2017 | D | 791 | $18.21 | D | 68,081 | D |
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 | $11.89 | holding | — | — | — | Feb 5, 2011 | Feb 5, 2020 | Common Stock | 4,000 | 4,000 | D |
| Non-Qualified Stock Option (right to buy)F4 | $15.50 | holding | — | — | — | Jan 28, 2009 | Jan 27, 2018 | Common Stock | 1,007 | 1,007 | 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.
- F4Options are fully vested.