0001077771-13-000013.txt : 20130201 0001077771-13-000013.hdr.sgml : 20130201 20130201165910 ACCESSION NUMBER: 0001077771-13-000013 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130131 FILED AS OF DATE: 20130201 DATE AS OF CHANGE: 20130201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DAVIS RAYMOND P CENTRAL INDEX KEY: 0001235865 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34624 FILM NUMBER: 13567406 MAIL ADDRESS: STREET 1: ONE SW COLUMBIA ST STREET 2: SUITE 1200 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: 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 2013-01-31 0 0001077771 UMPQUA HOLDINGS CORP UMPQ 0001235865 DAVIS RAYMOND P ONE SW COLUMBIA STREET, SUITE 1200 PORTLAND OR 97258 1 1 0 0 President & CEO Common Stock 2013-01-31 4 A 0 40000 0 A 357238 D Common Stock 2013-01-31 4 J 0 166 A 6350 I by 401(k) Common Stock 2013-01-31 4 J 0 180 A 6645 I by SRP Plan Common Stock 2955 I by IRA Non-Qualified Stock Option (right to buy) 9.23 2010-02-02 2019-02-01 Common Stock 50000 50000 D Non-Qualified Stock Option (right to buy) 10.97 2014-01-31 2021-01-30 Common Stock 75000 75000 D Non-Qualified Stock Option (right to buy) 11.59 2009-07-21 2018-07-20 Common Stock 50000 50000 D Non-Qualified Stock Option (right to buy) 12.87 2011-08-02 2020-08-01 Common Stock 75000 75000 D Non-Qualified Stock Option (right to buy) 15.5 2009-01-28 2018-01-27 Common Stock 100000 100000 D Non-Qualified Stock Option (right to buy) 18.58 2010-06-30 2013-06-30 Common Stock 75000 75000 D Non-Qualified Stock Option (right to buy) 19.31 2004-04-27 2013-04-27 Common Stock 75000 75000 D Non-Qualified Stock Option (right to buy) 24.71 2006-01-03 2015-01-03 Common Stock 75000 75000 D Non-Qualified Stock Option (right to buy) 26.12 2007-12-31 2017-03-05 Common Stock 50000 50000 D Non-Qualified Stock Option (right to buy) 28.425 2007-01-18 2016-01-17 Common Stock 25000 25000 D Restricted stock grant pursuant to 2003 Stock Incentive Plan, exempt under 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. Holdings reported include shares acquired pursuant to a dividend reinvestment plan for this account. Option granted 2/02/09. Beginning on the first anniversary of the grant date, the options vest at 30% per year for the first two years and 20% for the third and fourth 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 at 30% per year for the first two years and 20% for the third and fourth years. Option granted 8/2/2010. Beginning on the first anniversary of the grant date, the options vest at 30% per year for the first two years and 20% for the third and fourth years. All options are fully vested. By: Steven L. Philpott, Attorney in Fact For: Raymond P. Davis 2013-02-01