SEC Form 4 · accession 0001077771-17-000022
UMPQUA HOLDINGS CORP · UMPQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Raymond P Davis
Officer — Executive Chairman · Director
Period of report
Jan 30, 2017
Accepted (ET)
Feb 1, 2017 · 7:01 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 | Jan 30, 2017 | M | 15,000 | $12.87 | A | 568,803 | D | |
| Common StockF1 | Jan 30, 2017 | F | 10,601 | $18.21 | D | 558,202 | D | |
| Common StockF2 | Jan 30, 2017 | F | 1,598 | $18.21 | D | 556,604 | 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 OptionsF3 | $12.87 | Jan 30, 2017 | M | 15,000 | D | Aug 2, 2011 | Aug 1, 2020 | Common Stock | 15,000 | 0 | D |
Explanation of responses
- F1Payment of purchase price by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3.
- F2Payment 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.
- F3Not required.