SEC Form 4 · accession 0001077771-17-000099
UMPQUA HOLDINGS CORP · UMPQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ron L Farnsworth
Officer — EVP/CFO
Period of report
Apr 24, 2017
Accepted (ET)
Apr 24, 2017 · 7:28 pm EDT
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 | Apr 24, 2017 | S | 8,365 | $17.9274 | D | 190,355 | D | |
| Common StockF2,F3 | Apr 24, 2017 | J | 12 | — | A | 1,280 | I | by 401(k) |
| Common Stock | holding | — | — | — | 4,179 | I | by IRA | |
| Common Stock | holding | — | — | — | 2,274 | I | by Spouse IRA |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Sale of stock to satisfy tax obligations upon vesting of restricted stock awards.
- F2Holdings 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).
- F3Not required.