SEC Form 4 · accession 0001077771-17-000165
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
Oct 26, 2017
Accepted (ET)
Oct 30, 2017 · 5:40 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,F2 | Oct 26, 2017 | S | 36,829 | $20.597 | D | 579,775 | D | |
| Common StockF3 | holding | — | — | — | 7,569 | I | by 401k | |
| Common StockF4 | holding | — | — | — | 7,909 | I | by SRP Plan | |
| Common StockF5 | holding | — | — | — | 2,955 | I | by IRA |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Sale principally for tax planning purposes.
- F2This amount includes an adjustment of amount of securities beneficially owned following the transaction (an increase of 60,000 shares) to address a typographical error made in the Form 4 filed February 2, 2016. The Form 4 correctly reported the transaction completed on January 31, 2016, but the total amount of securities owned following the reported transaction should have been 574,378 (not 514,378).
- F3Holdings 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).
- F4Holdings reported include shares acquired in the Supplemental Retirement Plan through dividend reinvestment, payroll deferrals and/or employer contributions.
- F5Holdings by IRA Custodian.