Accession Number: | 0001127602-21-003723 |
Date: | 2021-02-02 |
Issuer: | UMPQUA HOLDINGS CORP (UMPQ) |
Original Submission Date: |
SHOTWELL DAVID F
ONE SW COLUMBIA STREET, SUITE 1200
PORTLAND, OR 97204
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature 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 |
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 Exercisable | Expiration 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 |
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ID | footnote |
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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. |