SEC Form 4 · accession 0001077771-17-000021

UMPQUA HOLDINGS CORP · UMPQ

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Executive Chairman · Director

Period of report

Jan 27, 2017

Accepted (ET)

Jan 31, 2017 · 3:18 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 Stock^F1,F2	Jan 27, 2017	D	23,444	—	D	561,637	D
Common Stock^F3	Jan 27, 2017	D	7,834	$18.21	D	553,803	D
Common Stock^F4,F2	Jan 27, 2017	J	61	—	A	7,367	I	by 401(k)
Common Stock^F5,F2	Jan 27, 2017	J	63	—	A	7,698	I	by SRP Plan
Common Stock	holding	—	—		—	2,955	I	by IRA

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)^F6	$12.87	holding	—	—	—	Aug 2, 2011	Aug 1, 2020	Common Stock	15,000	15,000	D
Non-Qualified Stock Option (right to buy)^F6	$26.12	holding	—	—	—	Dec 31, 2007	Mar 5, 2017	Common Stock	50,000	50,000	D

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).
F5Holdings reported include shares acquired pursuant to a dividend reinvestment plan for this account in transactions that were exempt under Rule 16b-3(c).
F6Options are fully vested.