0001077771-13-000005.txt : 20130128 0001077771-13-000005.hdr.sgml : 20130128 20130128132941 ACCESSION NUMBER: 0001077771-13-000005 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130125 FILED AS OF DATE: 20130128 DATE AS OF CHANGE: 20130128 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: 13550948 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 2013-01-25 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 2013-01-25 4 D 0 1388 12.74 D 68138 D Common Stock 2013-01-25 4 J 0 29 A 1093 I by 401(k) Common Stock 4179 I by IRA Common Stock 2274 I by Spouse IRA Non-Qualified Stock Option (right to buy) 9.23 2010-02-02 2019-02-01 Common Stock 15000 15000 D Non-Qualified Stock Option (right to buy) 10.97 2014-01-31 2021-01-30 Common Stock 20000 20000 D Non-Qualified Stock Option (right to buy) 11.59 2009-07-21 2018-07-20 Common Stock 10000 10000 D Non-Qualified Stock Option (right to buy) 11.89 2011-02-05 2020-02-05 Common Stock 40000 40000 D Non-Qualified Stock Option (right to buy) 15.5 2009-01-28 2018-01-27 Common Stock 20000 20000 D Non-Qualified Stock Option (right to buy) 22.94 2006-04-19 2015-04-19 Common Stock 10000 10000 D Non-Qualified Stock Option (right to buy) 23.49 2006-01-20 2015-01-20 Common Stock 2500 2500 D 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. Not required. Holdings reported include shares acquired in the 401(k)/Profit Sharing plan through dividend reinvestment, payroll deferrals and/or employer contributions. Option granted 2/2/09. Beginning on the first anniversary of the grant date, the options vest 20% per year for five years. Option granted 1/31/2011. The options vest three years following the grant date to the extent that the issuer's total shareholder return achieves specified targets as compared with the KRXTR regional bank stock index. Option granted 7/21/08. Beginning on the first anniversary of the grant date, the options vest 20% per year for five years. Option granted 2/5/10. Beginning on the first anniversary of the grant date, the options vest 20% per year for five years. Option granted 1/28/08. Beginning on the first anniversary of the grant date, the options vest 20% per year for five years. All options are fully vested. By: Steven L. Philpott, Attorney for For: Ron Farnsworth 2013-01-25