0001127602-21-003723.txt : 20210203 0001127602-21-003723.hdr.sgml : 20210203 20210203164804 ACCESSION NUMBER: 0001127602-21-003723 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210202 FILED AS OF DATE: 20210203 DATE AS OF CHANGE: 20210203 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Shotwell David F CENTRAL INDEX KEY: 0001646421 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34624 FILM NUMBER: 21586822 MAIL ADDRESS: STREET 1: ONE SW COLUMBIA STREET STE 1400 CITY: PORTLAND STATE: OR ZIP: 97258 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: 97204 BUSINESS PHONE: 503-727-4100 MAIL ADDRESS: STREET 1: ONE SW COLUMBIA STREET STREET 2: SUITE 1200 CITY: PORTLAND STATE: OR ZIP: 97204 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2021-02-02 0001077771 UMPQUA HOLDINGS CORP UMPQ 0001646421 Shotwell David F ONE SW COLUMBIA STREET, SUITE 1200 PORTLAND OR 97204 1 EVP/Chief Risk Officer Common Stock 2021-02-02 4 F 0 924 15.24 D 98996 D Common Stock 2021-02-02 4 D 0 1422 0 D 97574 D Common Stock 2021-02-03 4 S 0 379 15.24 D 97195 D Common Stock 2021-02-03 4 J 0 8 0 A 236 I by 401(k) Common Stock 2000 I by IRA 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. 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. Shares sold pursuant to 10b5-1 plan to satisfy tax obligations upon vesting of stock awards. 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). Not required. /s/ Andrew H. Ognall, Attorney-in-fact for David F. Shotwell 2021-02-03