SEC Form 4 · accession 0001077771-18-000019

UMPQUA HOLDINGS CORP · UMPQ

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — EVP/Treasurer

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 Stock^F1	Feb 2, 2018	D	1,566	$0.00	D	95,025	D
Common Stock^F2	Feb 2, 2018	F	2,470	$21.86	D	92,555	D
Common Stock^F2	Feb 2, 2018	F	649	$21.86	D	91,906	D
Common Stock^F3	Feb 2, 2018	A	6,862	$0.00	A	98,768	D
Common Stock^F4	Feb 2, 2018	A	4,575	$0.00	A	103,343	D
Common Stock	holding	—	—		—	905	I	by 401(k)

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)^F5	$11.89	holding	—	—	—	Feb 5, 2011	Feb 5, 2020	Common Stock	20,000	20,000	D

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.
F5Options are fully vested.