SEC Form 4 · accession 0001077771-18-000018
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
Feb 2, 2018
Accepted (ET)
Feb 5, 2018 · 5:22 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 | Feb 2, 2018 | D | 3,654 | $0.00 | D | 178,215 | D | |
| Common StockF2 | Feb 2, 2018 | F | 5,784 | $21.86 | D | 172,431 | D | |
| Common StockF2 | Feb 2, 2018 | F | 1,002 | $21.86 | D | 171,429 | D | |
| Common StockF3 | Feb 2, 2018 | A | 16,469 | $0.00 | A | 187,898 | D | |
| Common StockF4 | Feb 2, 2018 | A | 10,979 | $0.00 | A | 198,877 | D | |
| Common Stock | holding | — | — | — | 1,309 | 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
- F1The portion of a performance-based Restricted Stock Award forfeited (in accordance with Rule 16b-3(e)) due to the performance criteria not being met at 100%.
- 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.
- F3PSA granted 2/02/18. 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.
- F4RSA granted 2/02/18. Beginning on the first anniversary of the grant date, the grant shares vest 33 1/3% per year for three years.