SEC Form 4 · accession 0001077771-18-000052
UMPQUA HOLDINGS CORP · UMPQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Neal T McLaughlin
Officer — EVP/Treasurer
Period of report
Mar 12, 2018
Accepted (ET)
Mar 12, 2018 · 5:47 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 Stock | Mar 12, 2018 | M | 20,000 | $11.89 | A | 123,343 | D | |
| Common StockF1 | Mar 12, 2018 | F | 10,276 | $23.14 | D | 113,067 | D | |
| Common StockF2 | Mar 12, 2018 | F | 3,242 | $23.14 | D | 109,825 | D | |
| Common Stock | holding | — | — | — | 905 | I | by 401(k) |
Table II — derivative securities
| 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)F4,F3 | $11.89 | Mar 12, 2018 | M | 20,000 | D | Feb 5, 2011 | Feb 5, 2020 | Common Stock | 20,000 | 0 | D |
Explanation of responses
- F1Payment of purchase price by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3.
- 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.
- F3Options are fully vested.
- F4Not required.