SEC Form 5 · accession 0001077771-18-000035
UMPQUA HOLDINGS CORP · UMPQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Raymond P Davis
Other
Period of report
Dec 31, 2017
Accepted (ET)
Feb 13, 2018 · 7:11 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,F2 | Dec 31, 2017 | A | 20,000 | — | A | 599,775 | D | |
| Common StockF3,F2 | Dec 31, 2017 | J | 599,775 | — | D | 599,775 | I | by LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes shares granted under the 2007 Long Term Incentive Plan inadvertently omitted from Form 4 filed January 29, 2015. The Form 4 reported shares forfeited due to below market performance of the grant (6,608 from a 20,000 share award) and shares withheld to cover taxes (1,821), but did not report the shares received (11,571).
- F2Not required.
- F3All shares held in Direct ownership are now held by a family estate planning LLC controlled by Mr. Davis and his spouse.