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4//SEC Filing

UMPQUA HOLDINGS CORP 4

Accession 0001077771-13-000067

CIK 0001077771operating
View on SEC.govCompany Profile

Filed

Aug 25, 8:00 PM ET

Accepted

Aug 26, 2:36 PM ET

Size

32.3 KB

Accession

0001077771-13-000067

Insider Transaction Report

Form 4
Period: 2013-08-23
UMPQUA HOLDINGS CORPUMPQ
BAKER BARBARA J
EVP/Cultural Enhancement
Transactions
  • Exercise/Conversion

    Common Stock

    2013-08-23$9.23/sh+8,000$73,840→ 43,916 total
  • Exercise/Conversion

    Common Stock

    2013-08-23$12.87/sh+12,000$154,440→ 50,033 total
  • Tax Payment

    Common Stock

    2013-08-23$17.05/sh−13,636$232,494→ 41,094 total
  • Tax Payment

    Common Stock

    2013-08-23$17.05/sh−6,797$115,889→ 43,720 total
  • Exercise/Conversion

    Non-Qualified Stock Option (right to buy)

    2013-08-23$17.05/sh−15,000$255,750→ 0 total
    Exercise: $15.50From: 2009-01-28Exp: 2018-01-27→ Common Stock (15,000 underlying)
  • Tax Payment

    Common Stock

    2013-08-23$17.05/sh−9,058$154,439→ 40,975 total
  • Exercise/Conversion

    Common Stock

    2013-08-23$15.50/sh+15,000$232,500→ 54,730 total
  • Tax Payment

    Common Stock

    2013-08-23$17.05/sh−1,553$26,479→ 38,033 total
  • Tax Payment

    Common Stock

    2013-08-23$17.05/sh−4,330$73,827→ 39,586 total
  • Tax Payment

    Common Stock

    2013-08-23$17.05/sh−1,245$21,227→ 39,730 total
  • Exercise/Conversion

    Common Stock

    2013-08-23$11.59/sh+10,000$115,900→ 50,517 total
  • Tax Payment

    Common Stock

    2013-08-23$17.05/sh−1,356$23,120→ 42,364 total
  • Exercise/Conversion

    Non-Qualified Stock Option (right to buy)

    2013-08-23$17.05/sh−8,000$136,400→ 2,000 total
    Exercise: $9.23From: 2010-02-02Exp: 2019-02-01→ Common Stock (8,000 underlying)
  • Exercise/Conversion

    Non-Qualified Stock Option (right to buy)

    2013-08-23$17.05/sh−10,000$170,500→ 0 total
    Exercise: $11.59From: 2009-07-21Exp: 2018-07-20→ Common Stock (10,000 underlying)
  • Tax Payment

    Common Stock

    2013-08-23$17.05/sh−577$9,838→ 40,517 total
  • Exercise/Conversion

    Non-Qualified Stock Option (right to buy)

    2013-08-23$17.05/sh−12,000$204,600→ 8,000 total
    Exercise: $12.87From: 2011-08-02Exp: 2020-08-01→ Common Stock (12,000 underlying)
Holdings

  • Common Stock

    (indirect: By 401(k))
    5,424

  • Non-Qualified Stock Option (right to buy)

    Exercise: $10.97From: 2014-01-31Exp: 2021-01-30→ Common Stock (5,000 underlying)
    5,000

  • Non-Qualified Stock Option (right to buy)

    Exercise: $23.49From: 2006-01-20Exp: 2015-01-20→ Common Stock (20,000 underlying)
    20,000
Footnotes (6)
  • [F1]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.
  • [F2]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.
  • [F3]Option granted 2/2/09. Beginning on the first anniversary of the grant date, the options vest 20% per year for five years.
  • [F4]All options are fully vested.
  • [F5]Option granted 8/2/2010. Beginning on the first anniversary of the grant date, the options vest 20% per year for five years.
  • [F6]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.

Documents

1 file

Issuer

UMPQUA HOLDINGS CORP

CIK 0001077771

→
Entity typeoperating
IncorporatedOR

Related Parties

1
  • filerCIK 0001077771

Filing Metadata

Form type
4
Filed
Aug 25, 8:00 PM ET
Accepted
Aug 26, 2:36 PM ET
Size
32.3 KB
View on SEC.gov