SEC Form 4 · accession 0001127602-19-004359
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 4, 2019
Accepted (ET)
Feb 6, 2019 · 7:55 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 4, 2019 | A | 13,407 | $17.90 | A | 201,233 | D | |
| Common StockF2 | Feb 4, 2019 | A | 10,055 | $17.90 | A | 211,288 | D | |
| Common StockF3 | Feb 4, 2019 | A | 10,055 | $17.90 | A | 221,343 | D | |
| Common Stock | holding | — | — | — | 1,363 | 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
- F1RSA granted 2/04/19. Beginning on the first anniversary of the grant date, the grant shares vest 33 1/3% per year for three years
- F2PSA granted 2/04/19. The grant vests at least three years following the grant date based on the issuer's return on average tangible common equity for fiscal years 2019-2021 compared to a Compensation Committee approved group of peers.
- F3PSA granted 2/04/19. 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.