Umpqua Holdings Corp. (UMPQ)

FINANCE: TRUSTS & THRIFTS
SIC: SAVINGS INSTITUTION, FEDERALLY CHARTERED

ONE SW COLUMBIA STREET PORTLAND, OR 97204

Umpqua Holdings Corporation (Umpqua) is a financial holding company. Umpqua has two principal operating subsidiaries, Umpqua Bank (the Bank) and Umpqua Investments, Inc. (Umpqua Investments). The Bank is primarily engaged in the business of commercial and retail banking and the delivery of retail brokerage services. The Bank provides a range of banking, wealth management, mortgage banking and other financial services to corporate, institutional and individual customers. Umpqua Investments is a broker-dealer and investment advisor with offices in Portland, Lake Oswego, Medford, Oregon, and in many Umpqua Bank stores. Umpqua Investments offers a range of investment products and services, including stocks, fixed income securities (municipal, corporate, and government bonds, Certificate of Deposits (CDs), and mutual funds, annuities, and life insurance. In July 2013, Umpqua Holdings Corp completed its acquisition of Financial Pacific Holding Corp.

Data as of 2019-12-02 10:08:14 -0500
Market Cap3.605 Billion Shares Outstanding220.217 Million Avg 30-day Volume
P/E Ratio Dividend Yield5.131 EPS1.591
Price/Sales Debt to Equity EBITDA
Price to Book Value0.0 Forward PE Enterprise Value
Total Cash Current Debt Gross Profit
BETA 52-week High/Low19.57 / 15.06 Next Earnings Date Price to Cash FLow (P/CF)
Data provided by IEX Cloud
View SEC Filings from UMPQ instead.
Q4 2020 All 13F Filers Prior Change Hedge Funds 1 Prior Change
In top 10: 3 0 2 (0.12%) 0 (0.0%)
Funds Holding: 295 275 7.27% 78 (4.69%) 78 (4.86%) 0.0%
13F shares: 193.695 Million 189.679 Million 2.12% 80.034 Million 77.507 Million 3.26%
% Ownership 87.9529 86.1297 2.12% 36.3417 35.1944 3.26%
New Positions: 52 31 67.74% 14 10 40.0%
Increased Positions 98 85 15.29% 27 20 35.0%
Closed Positions 28 49 -42.86% 14 15 -6.67%
Reduced Positions 102 114 -10.53% 29 39 -25.64%
Total Calls 51.541 Thousand 35.925 Thousand 43.47% 0
Total Puts 16.752 Thousand 37.672 Thousand -55.53% 0 18.4 Thousand -100.0%
PUT/CALL Ratio 0.33 1.05 -68.57% -68.57%
1 hedge funds and active managers as identified by whalewisdom.com through public filings.

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Funds Holding UMPQ (via 13F filings)

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*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding UMPQ BETA

Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

22 Thousand total shares from 6 transactions

Exercise Derivative Conversion (M)

none

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

O'HAVER CORT L PRESIDENT & CEO

  • Officer
  • Director
452,775 2021-03-02 3

MCLAUGHLIN NEAL T EVP/TREASURER

  • Officer
118,747 2021-03-02 3

FARNSWORTH RON L EVP/CFO

  • Officer
207,518 2021-03-02 4

OGNALL ANDREW H EVP/GENERAL COUNSEL/SECRETARY

  • Officer
95,843 2021-03-02 3

SHOTWELL DAVID F EVP/CHIEF RISK OFFICER

  • Officer
90,787 2021-03-02 5

NIXON TORRAN B SR. EVP/CHIEF BANKING OFFICER

  • Officer
131,295 2021-03-02 4

NAMDAR FRANK EVP/CHIEF CREDIT OFFICER

  • Officer
28,673 2021-03-02 3

WHITE LISA M SVP/PRINCIPAL ACCTING OFFICER

  • Officer
15,722 2021-03-02 3

DELORIER RILLA S FORMER EVP

  • Officer
25,235 2020-08-07 2

FOWLER PEGGY Y

  • Director
103,408 2020-04-22 1

GREENE JAMES S

  • Director
57,451 2020-04-22 1

STEVENS SUSAN F.

  • Director
57,080 2020-04-22 1

GAMBEE STEPHEN M

  • Director
124,674 2020-04-22 1

TIMM BRYAN

  • Director
106,619 2020-04-22 1

TERRY HILLIARD C. III

  • Director
59,452 2020-04-22 1

MACHUCA LUIS

  • Director
71,950 2020-04-22 1

POPE MARIA M

  • Director
54,360 2020-04-22 1

SCHULTZ JOHN F

  • Director
42,020 2020-04-22 1

VARNADO ANDDRIA

  • Director
18,771 2020-04-22 1

DAVIS RAYMOND P

  • RETIRED EXECUTIVE CHAIRMAN
No longer subject to file 2017-12-31 0

NEAL GARY F EVP/ENTERPRISE RISK

  • Officer
No longer subject to file 2017-12-31 0

CALVERT LUANNE

  • Director
No longer subject to file 2017-05-10 0

SEIBLY JOHN GREGORY FORMER CONSUMER BANK PRESIDENT

  • Officer
No longer subject to file 2016-05-11 0

BOYER ELLEN RM

  • Director
No longer subject to file 2016-05-10 0

DONEGAN BOB C

  • Director
No longer subject to file 2016-05-10 0

UMPQUA HOLDINGS CORP CONSUMER BANK PRESIDENT

  • Officer
215,879 2016-04-01 0

WARDLOW MARK EVP/CHIEF CREDIT OFFICER

  • Officer
No longer subject to file 2015-07-01 0

ECKHARDT EZRA EVP/SHARED RESOURCES

  • Officer
No longer subject to file 2015-06-18 0

EDWARDS WEBB

  • Director
No longer subject to file 2015-05-11 0

SEEGER LAUREEN

  • Director
No longer subject to file 2014-09-12 0

WARBURG PINCUS PRIVATE EQUITY X, L.P.

WARBURG PINCUS X, L.P.

WARBURG PINCUS X PARTNERS, L.P.

WARBURG PINCUS X LLC

WARBURG PINCUS PARTNERS LLC

WARBURG PINCUS & CO.

WARBURG PINCUS LLC

KAYE CHARLES R

LANDY JOSEPH P.

  • 10% Owner
No longer subject to file 2014-08-12 0

THOMAS H. LEE ADVISORS, LLC

THL EQUITY ADVISORS VI, LLC

THOMAS H. LEE EQUITY FUND VI, L.P.

THOMAS H. LEE PARALLEL FUND VI, L.P.

THOMAS H. LEE PARALLEL (DT) FUND VI, L.P.

THL STERLING EQUITY INVESTORS, L.P.

THL MANAGERS VI, LLC

  • Director
  • 10% Owner
No longer subject to file 2014-08-12 0

WHITTAKER FRANK R J

  • Director
No longer subject to file 2014-05-30 0

SLATER DUDLEY R

  • Director
No longer subject to file 2014-05-30 0

PHILPOTT STEVEN L EVP/GENERAL COUNSEL/SECRETARY

  • Officer
No longer subject to file 2014-04-30 0

JOHNSON KELLY J EVP/WEALTH MANAGEMENT

  • Officer
No longer subject to file 2014-04-21 0

BAKER BARBARA J EVP/CULTURAL ENHANCEMENT

  • Officer
No longer subject to file 2014-04-18 0

THOMAS H. LEE ADVISORS, LLC

THOMAS H. LEE EQUITY FUND VI, L.P.

THOMAS H. LEE PARALLEL FUND VI, L.P.

THOMAS H. LEE PARALLEL (DT) FUND VI, L.P.

THL MANAGERS VI, LLC

THL STERLING EQUITY INVESTORS, L.P.

  • Director
  • 10% Owner
21,647,448 2014-04-18 0

CALERO ULDERICO JR EVP/COMMUNITY BANKING

  • Officer
No longer subject to file 2013-06-11 0

MILLER DIANE D

  • Director
No longer subject to file 2013-05-14 0

COPELAND BRAD F SR EVP/CHIEF OPERATING OFFICER

  • Officer
No longer subject to file 2013-04-30 0

LANSING WILLIAM A

  • Director
No longer subject to file 2013-04-18 0

ECCLES COLIN D EVP/CIO

  • Officer
No longer subject to file 2012-12-04 0

HERMOCILLO JOSE R

  • Director
No longer subject to file 2012-05-11 0

FORD ALLYN C

  • Director
No longer subject to file 2012-05-11 0

FROHNMAYER DAVID

  • Director
No longer subject to file 2011-03-22 0

SULLIVAN DANIEL A EVP/STRATEGIC INITIATIVES

  • Officer
No longer subject to file 2010-12-31 0

CAREY RICHARD M EVP/COMMUNITY BANKING

  • Officer
No longer subject to file 2010-12-31 0

ANGELL RONALD F

  • Director
No longer subject to file 2010-05-12 0

GIUSTINA DAN

  • Director
No longer subject to file 2010-01-03 0

CHAMBERS SCOTT D

  • Director
No longer subject to file 2009-04-23 0

MASON THEODORE S

  • Director
No longer subject to file 2009-04-23 0

EDSON DAVID M PRESIDENT-UMPQUA BANK

  • Officer
No longer subject to file 2009-03-02 0

FIKE WILLIAM T EVP - PRESIDENT UMPQUA BANK CA

  • Officer
No longer subject to file 2008-12-31 0

Insider Transactions Last 60 Days

Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
Disposed
Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days

SHOTWELL DAVID F - Officer EVP/CHIEF RISK OFFICER

2021-03-03 14:43:55 -0500 2021-03-03 S 742 $17.80 d 88,551 direct

WHITE LISA M - Officer SVP/PRINCIPAL ACCTING OFFICER

2021-03-03 14:45:29 -0500 2021-03-02 F 489 $17.59 d 15,722 direct

OGNALL ANDREW H - Officer EVP/GENERAL COUNSEL/SECRETARY

2021-03-03 14:42:03 -0500 2021-03-02 F 1,175 $17.59 d 93,567 direct

NAMDAR FRANK - Officer EVP/CHIEF CREDIT OFFICER

2021-03-03 14:36:29 -0500 2021-03-02 F 684 $17.59 d 23,578 direct

O'HAVER CORT L - Director - Officer PRESIDENT & CEO

2021-03-03 14:40:15 -0500 2021-03-02 F 6,182 $17.59 d 452,775 direct

MCLAUGHLIN NEAL T - Officer EVP/TREASURER

2021-03-03 14:34:37 -0500 2021-03-02 F 672 $17.59 d 117,705 direct

SHOTWELL DAVID F - Officer EVP/CHIEF RISK OFFICER

2021-03-03 14:43:55 -0500 2021-03-02 F 1,426 $17.59 d 89,293 direct

NIXON TORRAN B - Officer SR. EVP/CHIEF BANKING OFFICER

2021-03-03 14:38:13 -0500 2021-03-02 F 2,684 $17.59 d 130,186 direct

FARNSWORTH RON L - Officer EVP/CFO

2021-03-03 14:32:28 -0500 2021-03-02 F 2,181 $17.59 d 199,557 direct

SHOTWELL DAVID F - Officer EVP/CHIEF RISK OFFICER

2021-02-05 16:55:21 -0500 2021-02-05 S 463 $16.07 d 90,719 direct

NAMDAR FRANK - Officer EVP/CHIEF CREDIT OFFICER

2021-02-05 16:49:35 -0500 2021-02-04 F 494 $15.96 d 24,262 direct

SHOTWELL DAVID F - Officer EVP/CHIEF RISK OFFICER

2021-02-04 17:32:24 -0500 2021-02-04 S 1,557 $15.44 d 92,310 direct

OGNALL ANDREW H - Officer EVP/GENERAL COUNSEL/SECRETARY

2021-02-05 16:53:06 -0500 2021-02-04 F 987 $15.96 d 94,742 direct

MCLAUGHLIN NEAL T - Officer EVP/TREASURER

2021-02-05 16:47:24 -0500 2021-02-04 F 635 $15.96 d 118,377 direct

SHOTWELL DAVID F - Officer EVP/CHIEF RISK OFFICER

2021-02-05 16:55:21 -0500 2021-02-04 F 1,128 $15.96 d 91,182 direct

NIXON TORRAN B - Officer SR. EVP/CHIEF BANKING OFFICER

2021-02-05 16:51:33 -0500 2021-02-04 F 1,835 $15.96 d 132,870 direct

FARNSWORTH RON L - Officer EVP/CFO

2021-02-05 16:44:57 -0500 2021-02-04 F 1,590 $15.96 d 201,738 direct

WHITE LISA M - Officer SVP/PRINCIPAL ACCTING OFFICER

2021-02-05 16:56:50 -0500 2021-02-04 F 423 $15.96 d 16,211 direct

OGNALL ANDREW H - Officer EVP/GENERAL COUNSEL/SECRETARY

2021-02-04 17:43:24 -0500 2021-02-03 F 2,942 $15.24 d 95,729 direct

MCLAUGHLIN NEAL T - Officer EVP/TREASURER

2021-02-04 16:55:57 -0500 2021-02-03 F 2,261 $15.24 d 119,012 direct

SHOTWELL DAVID F - Officer EVP/CHIEF RISK OFFICER

2021-02-03 16:48:04 -0500 2021-02-03 S 379 $15.24 d 97,195 direct

OGNALL ANDREW H - Officer EVP/GENERAL COUNSEL/SECRETARY by 401(k)

2021-02-04 17:43:24 -0500 2021-02-03 J 148 a 2,276 indirect

NIXON TORRAN B - Officer SR. EVP/CHIEF BANKING OFFICER

2021-02-04 17:41:14 -0500 2021-02-03 F 5,623 $15.24 d 134,705 direct

SHOTWELL DAVID F - Officer EVP/CHIEF RISK OFFICER

2021-02-04 17:32:24 -0500 2021-02-03 F 3,328 $15.24 d 93,867 direct

MCLAUGHLIN NEAL T - Officer EVP/TREASURER by 401(k)

2021-02-04 16:55:57 -0500 2021-02-03 J 53 a 1,042 indirect

FARNSWORTH RON L - Officer EVP/CFO

2021-02-04 16:51:37 -0500 2021-02-03 F 4,791 $15.24 d 203,328 direct

NIXON TORRAN B - Officer SR. EVP/CHIEF BANKING OFFICER by 401(k)

2021-02-04 17:41:14 -0500 2021-02-03 J 55 a 1,109 indirect

O'HAVER CORT L - Director - Officer PRESIDENT & CEO

2021-02-04 17:00:24 -0500 2021-02-03 F 23,365 $15.24 d 458,957 direct

SHOTWELL DAVID F - Officer EVP/CHIEF RISK OFFICER by 401(k)

2021-02-03 16:48:04 -0500 2021-02-03 J 8 a 236 indirect

OGNALL ANDREW H - Officer EVP/GENERAL COUNSEL/SECRETARY

2021-02-04 17:43:24 -0500 2021-02-02 F 809 $15.24 d 99,916 direct

NIXON TORRAN B - Officer SR. EVP/CHIEF BANKING OFFICER

2021-02-04 17:41:14 -0500 2021-02-02 D 2,510 d 140,328 direct

NAMDAR FRANK - Officer EVP/CHIEF CREDIT OFFICER

2021-02-04 17:35:53 -0500 2021-02-02 F 379 $15.24 d 24,756 direct

MCLAUGHLIN NEAL T - Officer EVP/TREASURER

2021-02-04 16:55:57 -0500 2021-02-02 F 578 $15.24 d 122,162 direct

FARNSWORTH RON L - Officer EVP/CFO by 401(k)

2021-02-03 15:09:59 -0500 2021-02-02 J 77 a 1,508 indirect

NIXON TORRAN B - Officer SR. EVP/CHIEF BANKING OFFICER

2021-02-04 17:41:14 -0500 2021-02-02 F 1,040 $15.24 d 142,838 direct

NAMDAR FRANK - Officer EVP/CHIEF CREDIT OFFICER by srp plan

2021-02-04 17:35:53 -0500 2021-02-02 J 523 a 1,964 indirect

SHOTWELL DAVID F - Officer EVP/CHIEF RISK OFFICER

2021-02-03 16:48:04 -0500 2021-02-02 D 1,422 d 97,574 direct

FARNSWORTH RON L - Officer EVP/CFO

2021-02-03 15:09:59 -0500 2021-02-02 D 2,133 d 208,119 direct

O'HAVER CORT L - Director - Officer PRESIDENT & CEO

2021-02-03 14:50:21 -0500 2021-02-02 D 10,072 d 482,322 direct

OGNALL ANDREW H - Officer EVP/GENERAL COUNSEL/SECRETARY

2021-02-04 17:43:24 -0500 2021-02-02 D 1,245 d 98,671 direct

WHITE LISA M - Officer SVP/PRINCIPAL ACCTING OFFICER

2021-02-04 17:38:17 -0500 2021-02-02 F 341 $15.24 d 16,634 direct

NAMDAR FRANK - Officer EVP/CHIEF CREDIT OFFICER by 401(k)

2021-02-04 17:35:53 -0500 2021-02-02 J 242 a 3,131 indirect

MCLAUGHLIN NEAL T - Officer EVP/TREASURER

2021-02-04 16:55:57 -0500 2021-02-02 D 889 d 121,273 direct

SHOTWELL DAVID F - Officer EVP/CHIEF RISK OFFICER

2021-02-03 16:48:04 -0500 2021-02-02 F 924 $15.24 d 98,996 direct

FARNSWORTH RON L - Officer EVP/CFO

2021-02-03 15:09:59 -0500 2021-02-02 F 1,385 $15.24 d 210,252 direct

O'HAVER CORT L - Director - Officer PRESIDENT & CEO

2021-02-03 14:50:21 -0500 2021-02-01 S 5,750 $14.69 d 492,394 direct

FARNSWORTH RON L - Officer EVP/CFO

2021-02-03 15:09:59 -0500 2021-02-01 S 13,100 $14.69 d 211,637 direct

* -

Transaction Code Definitions
Code Definition
A Grant, award or other acquisition pursuant to Rule 16b-3(d)
C Conversion of derivative security
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E Expiration of short derivative position
F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G Bona fide gift
H Expiration (or cancellation) of long derivative position with value received
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J Other acquisition or disposition
L Small acquisition under Rule 16a-6
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O Exercise of out-of-the-money derivative security
P Open market or private purchase of non-derivative or derivative security
S Open market or private sale of non-derivative or derivative security
U Disposition pursuant to a tender of shares in a change of control transaction
W Acquisition or disposition by will or the laws of descent and distribution
X Exercise of in-the-money or at-the-money derivative security
Z Deposit into or withdrawal from voting trust

IBR Securities Loan Availability

Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

Security Date/Time Rebate Rate Fee Rate Shares Available
UMPQUA HOLDINGS CORP UMPQ 2021-03-08 22:15:03 UTC -0.3598 0.4298 0
UMPQUA HOLDINGS CORP UMPQ 2021-03-08 21:45:03 UTC -0.3598 0.4298 0
UMPQUA HOLDINGS CORP UMPQ 2021-03-08 21:15:03 UTC -0.3598 0.4298 0
UMPQUA HOLDINGS CORP UMPQ 2021-03-08 20:45:03 UTC -0.3598 0.4298 0
UMPQUA HOLDINGS CORP UMPQ 2021-03-08 20:15:03 UTC -0.3598 0.4298 0
UMPQUA HOLDINGS CORP UMPQ 2021-03-08 19:45:02 UTC -0.3598 0.4298 0
UMPQUA HOLDINGS CORP UMPQ 2021-03-08 19:15:02 UTC -0.3598 0.4298 0
UMPQUA HOLDINGS CORP UMPQ 2021-03-08 18:45:02 UTC -0.3598 0.4298 0
UMPQUA HOLDINGS CORP UMPQ 2021-03-08 18:15:02 UTC -0.3598 0.4298 0
UMPQUA HOLDINGS CORP UMPQ 2021-03-08 17:45:03 UTC -0.3598 0.4298 0
UMPQUA HOLDINGS CORP UMPQ 2021-03-08 17:15:03 UTC -0.3598 0.4298 0
UMPQUA HOLDINGS CORP UMPQ 2021-03-08 16:45:02 UTC -0.3598 0.4298 0
UMPQUA HOLDINGS CORP UMPQ 2021-03-08 16:15:03 UTC -0.3598 0.4298 0
UMPQUA HOLDINGS CORP UMPQ 2021-03-08 15:45:02 UTC -0.3598 0.4298 0
UMPQUA HOLDINGS CORP UMPQ 2021-03-08 15:15:03 UTC -0.3598 0.4298 0
UMPQUA HOLDINGS CORP UMPQ 2021-03-08 14:45:03 UTC -0.3598 0.4298 0
UMPQUA HOLDINGS CORP UMPQ 2021-03-08 14:15:03 UTC -0.3598 0.4298 0
UMPQUA HOLDINGS CORP UMPQ 2021-03-08 13:45:03 UTC -0.3598 0.4298 0
UMPQUA HOLDINGS CORP UMPQ 2021-03-08 13:15:03 UTC -0.3598 0.4298 0
UMPQUA HOLDINGS CORP UMPQ 2021-03-08 12:45:03 UTC -0.3598 0.4298 0

Current Active Short Positions

Holder Issuer Net Short Position Position Date Origin
Federated Hermes Equity Funds f/k/a Federated Equity Funds- Federated Hermes Prudent Bear Fund f/k/a Federated Prudent Bear Fund UMPQ -10000.0 shares, $-151400.0 2020-12-31 N-PORT
Trust for Professional Managers- Convergence Market Neutral Fund UMPQ -8774.0 shares, $-98970.72 2020-08-31 N-PORT
AQR Funds- AQR Alternative Risk Premia Fund UMPQ -26098.0 shares, $-395123.72 2020-12-31 N-PORT

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