Form Type: 4

SEC EDGAR Link
Accession Number:0001127602-21-003723
Date:2021-02-02
Issuer: UMPQUA HOLDINGS CORP (UMPQ)
Original Submission Date:

Reporting Person:

SHOTWELL DAVID F
ONE SW COLUMBIA STREET, SUITE 1200
PORTLAND, OR 97204

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-02-02 F 924 d $15.24 98,996 direct
COMMON STOCK 2021-02-02 D 1,422 d $0.00 97,574 direct
COMMON STOCK 2021-02-03 S 379 d $15.24 97,195 direct
COMMON STOCK 2021-02-03 J 8 a $0.00 236 indirect
COMMON STOCK 2021-02-02 0 $0.00 2,000 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 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.
f2 net shares forfeited under the psa granted 2/2/18 (in accordance with rule 16b-3(e)) due to the issuer's tsr performance not being met at target.
f3 shares sold pursuant to 10b5-1 plan to satisfy tax obligations upon vesting of stock awards.
f4 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).
f5 not required.
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