0001077771-13-000071.txt : 20131112 0001077771-13-000071.hdr.sgml : 20131111 20131112172523 ACCESSION NUMBER: 0001077771-13-000071 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131112 FILED AS OF DATE: 20131112 DATE AS OF CHANGE: 20131112 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 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: 131211500 MAIL ADDRESS: STREET 1: ONE SW COLUMBIA ST STREET 2: SUITE 1200 CITY: PORTLAND STATE: OR ZIP: 97258 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2013-11-12 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 2013-11-12 4 M 0 100000 15.5 A 475506 D Common Stock 2013-11-12 4 F 0 89491 17.32 D 386015 D Common Stock 2013-11-12 4 F 0 5353 17.32 D 380662 D Common Stock 2013-11-12 4 M 0 50000 11.59 A 430662 D Common Stock 2013-11-12 4 F 0 33458 17.32 D 397204 D Common Stock 2013-11-12 4 F 0 8427 17.32 D 388777 D Common Stock 2013-11-12 4 M 0 50000 9.23 A 438777 D Common Stock 2013-11-12 4 F 0 26645 17.32 D 412132 D Common Stock 2013-11-12 4 F 0 11899 17.32 D 400233 D Common Stock 2013-11-12 4 M 0 60000 12.87 A 460233 D Common Stock 2013-11-12 4 F 0 44584 17.32 D 415649 D Common Stock 2013-11-12 4 F 0 7854 17.32 D 407795 D Common Stock 2013-11-12 4 J 0 58 A 6542 I by 401(k) Common Stock 2013-11-12 4 J 0 59 A 6844 I by SRP Plan Common Stock 2955 I by IRA Non-Qualified Stock Option (right to buy) 9.23 2013-11-12 4 M 0 50000 17.32 D 2010-02-02 2019-02-01 Common Stock 50000 0 D Non-Qualified Stock Option (right to buy) 11.59 2013-11-12 4 M 0 50000 17.32 D 2009-07-21 2018-07-20 Common Stock 50000 0 D Non-Qualified Stock Option (right to buy) 12.87 2013-11-12 4 M 0 60000 17.32 D 2011-08-02 2020-08-01 Common Stock 60000 15000 D Non-Qualified Stock Option (right to buy) 15.5 2013-11-12 4 M 0 100000 17.32 D 2009-01-28 2018-01-27 Common Stock 100000 0 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) 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 Payment of purchase price by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. 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. Holdings reported include shares acquired pursuant to a dividend reinvestment plan for this account. All options are fully vested. 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. 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. By: Steven L. Philpott, Attorney in Fact For: Raymond P. Davis 2013-11-12