SEC Form 4 · accession 0001077771-17-000164
UMPQUA HOLDINGS CORP · UMPQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gary F Neal
Officer — EVP/Enterprise Risk
Period of report
Oct 26, 2017
Accepted (ET)
Oct 27, 2017 · 6:18 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 Stock | Oct 26, 2017 | M | 1,007 | $15.50 | A | 85,518 | D | |
| Common StockF1 | Oct 26, 2017 | F | 763 | $20.45 | D | 84,755 | D | |
| Common StockF2 | Oct 26, 2017 | F | 88 | $20.45 | D | 84,667 | D | |
| Common Stock | Oct 26, 2017 | M | 4,000 | $11.89 | A | 88,667 | D | |
| Common StockF1 | Oct 26, 2017 | F | 2,325 | $20.45 | D | 86,342 | D | |
| Common StockF2 | Oct 26, 2017 | F | 608 | $20.45 | D | 85,734 | 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 Option (right to buy)F3 | $11.89 | Oct 26, 2017 | M | 4,000 | D | Feb 5, 2011 | Feb 5, 2020 | Common Stock | 4,000 | 0 | D |
| Non-Qualified Stock Option (right to buy)F3 | $15.50 | Oct 26, 2017 | M | 1,007 | D | Jan 28, 2009 | Jan 27, 2018 | Common Stock | 1,007 | 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.