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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Umpqua Holdings Corporation | NASDAQ:UMPQ | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 17.66 | 18.54 | 18.55 | 0 | 01:00:00 |
x
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ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
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[ ]
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TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
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A.
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Full title of the plan and the address of the plan, if different from that of the issuer named below:
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B.
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Name of issuer of the securities held pursuant to the plan and the address of its principal executive office:
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PAGE
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REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
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FINANCIAL STATEMENTS
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Statements of net assets available for benefits
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Statement of changes in net assets available for benefits
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Notes to financial statements
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SUPPLEMENTAL INFORMATION REQUIRED BY THE DEPARTMENT OF LABOR
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Schedule H, Line 4(i) – Schedule of assets (held at end of year)
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December 31,
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||||||
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2016
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2015
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ASSETS
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||||||
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Investments, at fair value
|
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||||||
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Registered investment companies
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$
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246,366,946
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$
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229,341,571
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Common stock
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12,512,296
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12,338,832
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|||
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Individually directed account
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5,018,070
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4,593,974
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|||
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Collective trusts
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7,771,371
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2,388,214
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Total investments, at fair value
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271,668,683
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248,662,591
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Receivables
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||||||
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Notes receivable from participants
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7,936,392
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7,944,072
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Employer contributions
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1,206,352
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1,564,286
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Participant contributions
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2,801
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1,584
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Total receivables
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9,145,545
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9,509,942
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NET ASSETS AVAILABLE FOR BENEFITS
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$
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280,814,228
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$
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258,172,533
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ADDITIONS TO NET ASSETS ATTRIBUTED TO
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|||||
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Investment income
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Net appreciation in fair value of investments
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$
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19,077,737
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Dividends
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532,949
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Interest
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484
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Net investment income
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19,611,170
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Interest income on notes receivable from participants
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334,283
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Contributions
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Employer
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6,894,233
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Participant
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22,973,740
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Rollovers
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3,748,473
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Total contributions
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33,616,446
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Total additions
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53,561,899
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DEDUCTIONS FROM NET ASSETS ATTRIBUTED TO
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Benefits paid to participants
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30,419,101
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Corrective distributions
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175,262
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Administrative expenses
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325,841
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Total deductions
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30,920,204
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CHANGE IN NET ASSETS
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22,641,695
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NET ASSETS AVAILABLE FOR BENEFITS
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|||||
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Beginning of year
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258,172,533
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End of year
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$
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280,814,228
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Percentage
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Years of service
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Less than 1 year
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—%
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1 year but less than 2
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20%
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2 years but less than 3
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40%
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3 years but less than 4
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60%
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4 years but less than 5
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80%
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5 years or more
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100%
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Fair
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Unfunded
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Redemption
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Redemption
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December 31, 2016
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Value
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Commitments
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Frequency
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Notice Period
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||
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Wells Fargo Stable Value Fund Class C
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$
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7,771,371
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None
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Daily
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N/A
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(Collective Trust)
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Vanguard Federal Money Market Fund
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1,094,380
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None
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Daily
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N/A
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(Registered Investment Company - money market)
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SSGA Inst Gov Money Market Fund
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330,770
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None
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Daily
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N/A
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(Individually directed account - money market)
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|
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$
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9,196,521
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Fair
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Unfunded
|
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Redemption
|
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Redemption
|
||
December 31, 2015
|
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Value
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Commitments
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Frequency
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Notice Period
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||
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Wells Fargo Stable Value Fund Class C
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$
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2,388,214
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None
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Daily
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N/A
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(Collective Trust)
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|
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Goldman Sachs Financial Square Prime Fund
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3,932,118
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None
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Daily
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N/A
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(Registered Investment Company - money market)
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SSGA Inst Gov Money Market Fund
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301,469
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None
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Daily
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N/A
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(Individually directed account - money market)
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$
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6,621,801
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Investment Assets at Fair Value as of December 31, 2016
|
||||||||||||||
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Level 1
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Level 2
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Level 3
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Total
|
||||||||
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||||||||
Registered investment companies
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$
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245,272,566
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|
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$
|
—
|
|
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$
|
—
|
|
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$
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245,272,566
|
|
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Common stock – Umpqua Holdings Corp.
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12,512,296
|
|
|
—
|
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—
|
|
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12,512,296
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|
|||||
Individually directed account
|
4,687,300
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|
|
—
|
|
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—
|
|
|
4,687,300
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|
|||||
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Total assets in the fair value hierarchy
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$
|
262,472,162
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$
|
—
|
|
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$
|
—
|
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|
$
|
262,472,162
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|
Investments measured at NAV (1)
|
|
|
|
|
|
|
|
|||||||||
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Collective trust
|
|
|
|
|
|
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$
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7,771,371
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|
||||||
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Registered investment companies - money market
|
|
|
|
|
|
|
1,094,380
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|
|||||||
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Individually directed account - money market
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|
|
|
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330,770
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|||||||
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Total investments measured at NAV
|
|
|
|
|
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9,196,521
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|||||||
Total investments at fair value
|
|
|
|
|
|
|
|
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$
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271,668,683
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|
||||
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|
||||||||
(1)
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Certain investments that were measured at net asset value per share have not been classified in the fair value hierarchy. The fair value amounts presented in this table are intended to permit reconciliation of the fair value hierarchy to the line items presented in the statement of net assets available for benefits.
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(c)
|
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(b)
|
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Description of Investment, Including
|
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(e)
|
|||
|
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Identity of Issue, Borrower,
|
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Maturity Date, Rate of Interest,
|
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(d)
|
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Current
|
|||
(a)
|
|
Lessor, or Similar Party
|
|
Collateral, Par, or Maturity Value
|
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Cost
|
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Value
|
|||
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|
JPMorgan SmartRetirement 2020 Fund Class R5
|
|
Registered investment company
|
|
**
|
|
$
|
36,715,341
|
|
|
|
|
JPMorgan SmartRetirement 2025 Fund Class R5
|
|
Registered investment company
|
|
**
|
|
29,414,661
|
|
||
|
|
JPMorgan SmartRetirement 2030 Fund Class R5
|
|
Registered investment company
|
|
**
|
|
23,536,177
|
|
||
|
|
JPMorgan SmartRetirement 2035 Fund Class R5
|
|
Registered investment company
|
|
**
|
|
20,658,262
|
|
||
|
|
Vanguard Institutional Index Fund
|
|
Registered investment company
|
|
**
|
|
18,129,492
|
|
||
|
|
JPMorgan SmartRetirement 2040 Fund Class R5
|
|
Registered investment company
|
|
**
|
|
17,009,511
|
|
||
|
|
JPMorgan SmartRetirement 2045 Fund Class R5
|
|
Registered investment company
|
|
**
|
|
14,821,037
|
|
||
|
|
JPMorgan SmartRetirement 2015 Fund Class R5
|
|
Registered investment company
|
|
**
|
|
11,732,207
|
|
||
|
|
Vanguard Small Cap Index Fund Inst Shares
|
|
Registered investment company
|
|
**
|
|
6,777,386
|
|
||
|
|
MFS Value Fund Class R6
|
|
Registered investment company
|
|
**
|
|
6,638,879
|
|
||
|
|
T Rowe Price Institutional Mid-Cap Equity Growth Fund
|
|
Registered investment company
|
|
**
|
|
6,391,655
|
|
||
|
|
Vanguard Mid-Cap Index Fund Inst Shares
|
|
Registered investment company
|
|
**
|
|
6,348,503
|
|
||
|
|
JPMorgan SmartRetirement 2050 Fund Class R5
|
|
Registered investment company
|
|
**
|
|
5,999,723
|
|
||
|
|
JPMorgan Mid Cap Value Fund Class L
|
|
Registered investment company
|
|
**
|
|
5,931,028
|
|
||
|
|
MainStay Large Cap Growth Fund Class 1
|
|
Registered investment company
|
|
**
|
|
5,371,181
|
|
||
|
|
JPMorgan SmartRetirement Income Fund Class R5
|
|
Registered investment company
|
|
**
|
|
5,337,667
|
|
||
|
|
Metropolitan West Total Return Bond Fund Plan
|
|
Registered investment company
|
|
**
|
|
4,891,115
|
|
||
|
|
American Funds EuroPacific Growth Fund Class R6
|
|
Registered investment company
|
|
**
|
|
4,603,420
|
|
||
|
|
Vanguard Total Bond Market Index Fund Admiral
|
|
Registered investment company
|
|
**
|
|
3,076,532
|
|
||
|
|
State Street Institutional Small-Cap Equity Fund
|
|
Registered investment company
|
|
**
|
|
2,748,301
|
|
||
|
|
Vanguard Total International Stock Index Fund Admiral
|
|
Registered investment company
|
|
**
|
|
2,683,252
|
|
||
|
|
Hotchkis & Wiley High Yield Fund Class I
|
|
Registered investment company
|
|
**
|
|
2,408,786
|
|
||
|
|
JPMorgan SmartRetirement 2055 Fund Class R5
|
|
Registered investment company
|
|
**
|
|
2,336,704
|
|
||
|
|
DFA International Value Portfolio Inst Class
|
|
Registered investment company
|
|
**
|
|
1,711,746
|
|
||
|
|
Vanguard Federal Money Market Fund
|
|
Registered investment company
|
|
**
|
|
1,094,380
|
|
||
*
|
|
Umpqua Holdings Corporation
|
|
Common stock
|
|
**
|
|
12,512,296
|
|
||
|
|
Wells Fargo Stable Value Fund Class C
|
|
Collective trust
|
|
**
|
|
7,771,371
|
|
||
|
|
Participant directed brokerage account
|
|
Individually directed account
|
|
**
|
|
5,018,070
|
|
||
|
|
Participant loans
|
|
4.25% – 9.25%, various maturities through January 2037
|
|
-0-
|
|
7,936,392
|
|
||
|
|
|
|
|
|
|
|
|
|
||
|
|
|
|
|
|
|
|
|
$
|
279,605,075
|
|
|
|
|
|
|
|
|
|
|
|
||
* Indicates party-in-interest
|
|
|
|
|
|
|
|||||
** Information is not required as investments are participant directed.
|
|
|
|
|
1 Year Umpqua Chart |
1 Month Umpqua Chart |
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