SEC Form 4 · accession 0001127602-19-011260
UMPQUA HOLDINGS CORP · UMPQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew H Ognall
Officer — EVP/General Counsel/Secretary
Period of report
Mar 11, 2019
Accepted (ET)
Mar 13, 2019 · 5:17 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 StockF1 | Mar 11, 2019 | A | 426 | $0.00 | A | 88,539 | D | |
| Common StockF2 | Mar 12, 2019 | F | 2,150 | $17.72 | D | 86,389 | D | |
| Common StockF3,F4 | Mar 12, 2019 | J | 321 | $0.00 | A | 1,714 | I | by 401(k) |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Additional shares issued under the PSA granted 2/1/16 due to issuer's performance exceeding target.
- 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.
- F3Holdings reported include shares acquired in the 401(k)/Profit Sharing plan through dividend reinvestment, payroll deferrals and/or employer contributions in transactions that were exempt under Rule 16b-3(c).
- F4Not required.