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4//SEC Filing

UMPQUA HOLDINGS CORP 4

Accession 0001077771-16-000445

CIK 0001077771operating
View on SEC.govCompany Profile

Filed

Nov 14, 7:00 PM ET

Accepted

Nov 15, 6:08 PM ET

Size

17.3 KB

Accession

0001077771-16-000445

Insider Transaction Report

Form 4
Period: 2016-11-15
UMPQUA HOLDINGS CORPUMPQ
DAVIS RAYMOND P
DirectorPresident & CEO
Transactions
  • Exercise/Conversion

    Common Stock

    2016-11-15$10.97/sh+75,000$822,750→ 650,490 total
  • Tax Payment

    Common Stock

    2016-11-15$17.90/sh−45,963$822,738→ 604,527 total
  • Tax Payment

    Common Stock

    2016-11-15$17.90/sh−14,794$264,813→ 589,733 total
  • Other

    Common Stock

    2016-11-15+147→ 7,306 total(indirect: By 401(k))
  • Other

    Common Stock

    2016-11-15+153→ 7,635 total(indirect: by SRP Plan)
  • Exercise/Conversion

    Non-Qualified Stock Option (right to buy)

    2016-11-15−75,000→ 0 total
    Exercise: $10.97From: 2012-01-31Exp: 2021-01-30→ Common Stock (75,000 underlying)
Holdings

  • Common Stock

    (indirect: By IRA)
    2,955

  • Non-Qualified Stock Option (right to buy)

    Exercise: $12.87From: 2011-08-02Exp: 2020-08-01→ Common Stock (15,000 underlying)
    15,000

  • Non-Qualified Stock Option (right to buy)

    Exercise: $26.12From: 2007-12-31Exp: 2017-03-05→ Common Stock (50,000 underlying)
    50,000
Footnotes (7)
  • [F1]Payment 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.
  • [F2]Payment 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.
  • [F3]Holdings 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).
  • [F4]Not required.
  • [F5]Holdings reported include shares acquired pursuant to a dividend reinvestment plan for this account in transactions that were exempt under Rule 16b-3(c).
  • [F6]Option granted 1/31/2011. The options vested three years following the grant date to the extent that the issuer's total shareholder return achieved specified targets as compared with the KRXTR regional bank stock index.
  • [F7]Options are fully vested.

Documents

1 file

Issuer

UMPQUA HOLDINGS CORP

CIK 0001077771

→
Entity typeoperating
IncorporatedOR

Related Parties

1
  • filerCIK 0001077771

Filing Metadata

Form type
4
Filed
Nov 14, 7:00 PM ET
Accepted
Nov 15, 6:08 PM ET
Size
17.3 KB
View on SEC.gov