0001077771-14-000008.txt : 20140128 0001077771-14-000008.hdr.sgml : 20140128 20140128151102 ACCESSION NUMBER: 0001077771-14-000008 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140124 FILED AS OF DATE: 20140128 DATE AS OF CHANGE: 20140128 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: O'HAVER CORT L CENTRAL INDEX KEY: 0001490201 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34624 FILM NUMBER: 14552477 MAIL ADDRESS: STREET 1: ONE SW COLUMBIA ST STE 1200 CITY: PORTLAND STATE: OR ZIP: 97258 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2014-01-24 0 0001077771 UMPQUA HOLDINGS CORP UMPQ 0001490201 O'HAVER CORT L ONE SW COLUMBIA STREET, SUITE 1200 PORTLAND OR 97258 0 1 0 0 EVP/Commercial Banking Common Stock 2014-01-24 4 M 0 15000 13.45 A 87895 D Common Stock 2014-01-24 4 F 0 10507 19.2 D 77388 D Common Stock 2014-01-24 4 F 0 1911 19.2 D 75477 D Common Stock 2014-01-27 4 J 0 88 A 75565 D Common Stock 2014-01-27 4 F 0 1188 18.23 D 74377 D Common Stock 2014-01-27 4 A 0 21000 0 A 95377 D Common Stock 2014-01-27 4 A 0 14000 0 A 109377 D Non-Qualified Stock Option (right to buy) 13.45 2014-01-24 4 M 0 15000 19.2 D 2011-03-24 2020-03-23 Common Stock 15000 10000 D Non-Qualified Stock Option (right to buy) 10.97 2014-01-31 2021-01-30 Common Stock 20000 20000 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 pursuant to a dividend reinvestment plan for this account. RSA granted 1/27/14. The grant vests 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. Beginning on the first anniversary of the grant date, the options vest 33 1/3% per year for three years. Option granted 3/24/10. 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. By: Steven L. Philpott, Attorney in Fact For: Cort L. O'Haver 2014-01-28