SEC Form 4/A · accession 0001127602-19-009437
UMPQUA HOLDINGS CORP · UMPQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Torran B Nixon
Officer — Sr. EVP/Chief Banking Officer
Period of report
Feb 4, 2019
Accepted (ET)
Mar 4, 2019 · 4:36 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 | F | 0 | $17.90 | D | 70,858 | D | |
| Common StockF2 | Feb 4, 2019 | A | 15,642 | $17.90 | A | 86,500 | D | |
| Common StockF3 | Feb 4, 2019 | A | 11,731 | $17.90 | A | 98,231 | D | |
| Common StockF4 | Feb 4, 2019 | A | 11,731 | $17.90 | A | 109,962 | D | |
| Common Stock | holding | — | — | — | 586 | I | by 401(k) |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Amendent filing to remove shares incorrectly reported.
- F2RSA 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
- F3PSA 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.
- F4PSA 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.