SEC Form 4 · accession 0001077771-18-000013
UMPQUA HOLDINGS CORP · UMPQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew H Ognall
Officer — EVP/General Counsel/Secretary
Period of report
Jan 31, 2018
Accepted (ET)
Feb 2, 2018 · 1:32 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, 2018 | F | 1,289 | $21.65 | D | 65,193 | D | |
| Common StockF1 | Feb 1, 2018 | F | 932 | $22.10 | D | 64,261 | D | |
| Common StockF2,F3 | Feb 1, 2018 | J | 316 | — | A | 1,083 | I | by 401(k) |
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.
- 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.