0001077771-18-000018.txt : 20180205 0001077771-18-000018.hdr.sgml : 20180205 20180205172217 ACCESSION NUMBER: 0001077771-18-000018 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180202 FILED AS OF DATE: 20180205 DATE AS OF CHANGE: 20180205 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FARNSWORTH RON L CENTRAL INDEX KEY: 0001322289 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34624 FILM NUMBER: 18575252 MAIL ADDRESS: STREET 1: 200 SW MARKET ST STE 1900 CITY: PORTLAND STATE: OR ZIP: 97201 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: UMPQUA HOLDINGS CORP CENTRAL INDEX KEY: 0001077771 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 931261319 STATE OF INCORPORATION: OR FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ONE SW COLUMBIA STREET STREET 2: SUITE 1200 CITY: PORTLAND STATE: OR ZIP: 97258 BUSINESS PHONE: 503-727-4100 MAIL ADDRESS: STREET 1: ONE SW COLUMBIA STREET STREET 2: SUITE 1200 CITY: PORTLAND STATE: OR ZIP: 97258 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2018-02-02 0 0001077771 UMPQUA HOLDINGS CORP UMPQ 0001322289 FARNSWORTH RON L ONE SW COLUMBIA STREET, SUITE 1200 PORTLAND OR 97258 0 1 0 0 EVP/CFO Common Stock 2018-02-02 4 D 0 3654 0.0 D 178215 D Common Stock 2018-02-02 4 F 0 5784 21.86 D 172431 D Common Stock 2018-02-02 4 F 0 1002 21.86 D 171429 D Common Stock 2018-02-02 4 A 0 16469 0.0 A 187898 D Common Stock 2018-02-02 4 A 0 10979 0.0 A 198877 D Common Stock 1309 I by 401(k) Common Stock 4179 I by IRA Common Stock 2274 I by Spouse IRA The portion of a performance-based Restricted Stock Award forfeited (in accordance with Rule 16b-3(e)) due to the performance criteria not being met at 100%. 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. PSA granted 2/02/18. The grant vests three years following the grant date based on the issuer's total shareholder return performance compared to a regional bank stock index and the issuer's return on tangible common equity compared to a group of peers. RSA granted 2/02/18. Beginning on the first anniversary of the grant date, the grant shares vest 33 1/3% per year for three years. By: Andrew H. Ognall, Attorney-in-Fact For: Ron L. Farnsworth 2018-02-05