PHILPOTT STEVEN L 4

Accession 0001077771-12-000012

CIK 0001077771other

View on SEC.gov Company Profile

Filed

Jan 30, 7:00 PM ET

Accepted

Jan 31, 4:23 PM ET

Size

24.0 KB

Accession

0001077771-12-000012

Insider Transaction Report

Form 4

Period: 2011-12-19

UMPQUA HOLDINGS CORPUMPQ

PHILPOTT STEVEN L

EVP/General Counsel/Secretary

Transactions

Disposition to Issuer
Common Stock
2012-01-27$12.28/sh−396$4,863→ 48,210 total
Award
Common Stock
2012-01-27+8,000→ 56,210 total
Award
Common Stock
2012-01-27+12,000→ 68,210 total
Other
Common Stock
2012-01-30+34→ 1,772 total(indirect: By 401(k))
Other
Incentive Stock Option (right to buy)
2011-12-19−1,498→ 0 total
Exercise: $13.23From: 2001-12-19Exp: 2011-12-19→ Common Stock (1,498 underlying)

Holdings

Common Stock
(indirect: by Corporation)
3,147
Non-Qualified Stock Option (right to buy)
Exercise: $11.89From: 2011-02-05Exp: 2020-02-05→ Common Stock (25,000 underlying)
25,000
Common Stock
(indirect: By Spouse)
439
Non-Qualified Stock Option (right to buy)
Exercise: $9.23From: 2010-02-02Exp: 2019-02-01→ Common Stock (10,000 underlying)
10,000
Non-Qualified Stock Option (right to buy)
Exercise: $10.97From: 2012-01-31Exp: 2021-01-30→ Common Stock (14,000 underlying)
14,000
Common Stock
(indirect: By Spouse)
178
Non-Qualified Stock Option (right to buy)
Exercise: $15.50From: 2009-01-28Exp: 2018-01-27→ Common Stock (20,000 underlying)
20,000
Non-Qualified Stock Option (right to buy)
Exercise: $23.49From: 2006-01-20Exp: 2015-01-20→ Common Stock (1,500 underlying)
1,500

Footnotes (14)

[F1]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.
[F10]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.
[F11]Option granted 7/21/08. Beginning on the first anniversary of the grant date, the options vest 20% per year for five years.
[F12]Option granted 2/5/10. Beginning on the first anniversary of the grant date, the options vest 20% per year for five years.
[F13]Option granted 1/28/08. Beginning on the first anniversary of the grant date, the options vest 20% per year for five years.
[F14]All options are fully vested.
[F2]Restricted stock grant pursuant to 2003 Stock Incentive Plan, exempt under Rule 16b-3.
[F3]RSA granted 1/27/12. 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.
[F4]Not required.
[F5]Holdings reported include shares acquired in the 401(k)/Profit Sharing plan through dividend reinvestment, payroll deferrals and/or employer contributions.
[F6]Steven L. Philpott , P.C. (100%)
[F7]The reporting person disclaims beneficial ownership of these securities.
[F8]All shares expired.
[F9]Option granted 2/2/09. Beginning on the first anniversary of the grant date, the options vest 20% per year for five years.

Documents

1 file

4
edgardoc.xmlPrimary
PRIMARY DOCUMENT

Issuer

UMPQUA HOLDINGS CORP

CIK 0001077771

→

Entity typeother

Related Parties

filerCIK 0001238682

Filing Metadata

Form type: 4
Filed: Jan 30, 7:00 PM ET
Accepted: Jan 31, 4:23 PM ET
Size: 24.0 KB

View on SEC.gov