SEC Form 4 · accession 0001127602-19-005164
UMPQUA HOLDINGS CORP · UMPQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David F Shotwell
Officer — EVP/Chief Risk Officer
Period of report
Feb 8, 2019
Accepted (ET)
Feb 11, 2019 · 5:35 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 8, 2019 | F | 1,767 | $17.72 | D | 84,149 | D | |
| Common StockF2 | Feb 8, 2019 | D | 675 | $0.00 | D | 83,474 | D | |
| Common Stock | holding | — | — | — | 213 | I | by 401(k) | |
| Common Stock | holding | — | — | — | 2,000 | I | by IRA |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Payment 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.
- F2The 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%.