0001077771-13-000023.txt : 20130206 0001077771-13-000023.hdr.sgml : 20130206 20130206163634 ACCESSION NUMBER: 0001077771-13-000023 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130205 FILED AS OF DATE: 20130206 DATE AS OF CHANGE: 20130206 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PHILPOTT STEVEN L CENTRAL INDEX KEY: 0001238682 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34624 FILM NUMBER: 13578308 MAIL ADDRESS: STREET 1: C/O UMPQUA HOLDINGS CORP STREET 2: 200 SW MARKET STREET 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 2013-02-05 0 0001077771 UMPQUA HOLDINGS CORP UMPQ 0001238682 PHILPOTT STEVEN L ONE SW COLUMBIA STREET, SUITE 1200 PORTLAND OR 97258 0 1 0 0 EVP/General Counsel/Secretary Common Stock 2013-02-05 4 D 0 1249 12.86 D 84662 D Common Stock 1820 I by 401(k) Common Stock 3147 I by Corporation Common Stock 439 I by Spouse Common Stock 178 I by Spouse IRA Non-Qualified Stock Option (right to buy) 9.23 2010-02-02 2019-02-01 Common Stock 10000 10000 D Non-Qualified Stock Option (right to buy) 10.97 2014-01-31 2021-01-30 Common Stock 14000 14000 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 25000 25000 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 1500 1500 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. Steven L. Philpott , P.C. (100%) The reporting person disclaims beneficial ownership of these securities. 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. All options are fully vested. Steven L. Philpott 2013-02-05