SEC Form 4 · accession 0001077771-17-000036
UMPQUA HOLDINGS CORP · UMPQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David F Shotwell
Officer — EVP/Chief Credit Officer
Period of report
Jan 31, 2017
Accepted (ET)
Feb 2, 2017 · 7:41 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 | Jan 31, 2017 | F | 486 | $18.31 | D | 33,087 | D | |
| Common StockF2 | Jan 31, 2017 | A | 12,000 | $0.00 | A | 45,087 | D | |
| Common StockF3 | Jan 31, 2017 | A | 8,000 | $0.00 | A | 53,087 | D | |
| Common StockF1 | Feb 1, 2017 | F | 1,111 | $18.16 | D | 51,976 | D | |
| Common StockF4,F5 | Feb 1, 2017 | J | 7 | — | A | 198 | I | by 401(k) |
| Common Stock | holding | — | — | — | 2,000 | I | by IRA |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Payment 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.
- F2PSA granted 1/31/17. The grant vests three years following the grant date based on the issuer's total shareholder return performance compared to a regional bank stock index and the issuer's return on tangible common equity compared to a group of peers.
- F3RSA granted 1/31/17. Beginning on the first anniversary of the grant date, the grant shares vest 33 1/3% per year for three years.
- 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).
- F5Not required.