SEC Form 4 · accession 0001077771-17-000019
UMPQUA HOLDINGS CORP · UMPQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Cort L O'Haver
Officer — President & CEO · Director
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 | 11,012 | — | D | 164,361 | D | |
| Common StockF3 | Jan 27, 2017 | D | 3,785 | $18.21 | D | 160,576 | D | |
| Common StockF3 | Jan 27, 2017 | D | 1,697 | $18.21 | D | 158,879 | 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.
- 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.