Filing Details
- Accession Number:
- 0001077771-15-000210
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-10-30 19:38:29
- Reporting Period:
- 2015-10-29
- Filing Date:
- 2015-10-30
- Accepted Time:
- 2015-10-30 19:38:29
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1077771 | Umpqua Holdings Corp | UMPQ | Savings Institution, Federally Chartered (6035) | 931261319 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1235865 | P Raymond Davis | One Sw Columbia Street, Suite 1200 Portland OR 97258 | President & Ceo | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2015-10-29 | 14,700 | $17.20 | 587,298 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2015-10-29 | 181 | $0.00 | 7,012 | No | 4 | J | Indirect | by 401(k) |
| Common Stock | Acquisiton | 2015-10-29 | 187 | $0.00 | 7,329 | No | 4 | J | Indirect | by SRP Plan |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | J | Indirect | by 401(k) |
| No | 4 | J | Indirect | by SRP Plan |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 2,955 | Indirect | by IRA |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Non-Qualified Stock Option (right to buy) | $10.97 | 2014-01-31 | 2021-01-30 | 75,000 | 75,000 | Direct |
| Common Stock | Non-Qualified Stock Option (right to buy) | $12.87 | 2011-08-02 | 2020-08-01 | 15,000 | 15,000 | Direct |
| Common Stock | Non-Qualified Stock Option (right to buy) | $26.12 | 2007-12-31 | 2017-03-05 | 50,000 | 50,000 | Direct |
| Common Stock | Non-Qualified Stock Option (right to buy) | $28.43 | 2007-01-18 | 2016-01-17 | 25,000 | 25,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2021-01-30 | 75,000 | 75,000 | Direct |
| 2020-08-01 | 15,000 | 15,000 | Direct |
| 2017-03-05 | 50,000 | 50,000 | Direct |
| 2016-01-17 | 25,000 | 25,000 | Direct |
Footnotes
- Not required.
- 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).
- Holdings reported include shares acquired pursuant to a dividend reinvestment plan for this account in transactions that were exempt under Rule 16b-3(c).
- Options are fully vested.
- Option granted 8/2/2010. Beginning on the first anniversary of the grant date, the options vest at 30% per year for the first two years and 20% for the third and fourth years.
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