UMPQUA HOLDINGS CORP 4

Accession 0001077771-14-000009

CIK 0001077771operating

Filed

Jan 27, 7:00 PM ET

Accepted

Jan 28, 3:11 PM ET

Size

21.7 KB

Accession

0001077771-14-000009

Form 4

Period: 2014-01-27

EVP/General Counsel/Secretary

Transactions

Holdings

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 Corporation)
3,147
Common Stock
(indirect: By Spouse)
178
Non-Qualified Stock Option (right to buy)
Exercise: $10.97From: 2014-01-31Exp: 2021-01-30→ Common Stock (14,000 underlying)
14,000
Non-Qualified Stock Option (right to buy)
Exercise: $11.59From: 2009-07-21Exp: 2018-07-20→ Common Stock (10,000 underlying)
10,000
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
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: $22.94From: 2006-04-19Exp: 2015-04-19→ Common Stock (10,000 underlying)
10,000

Footnotes (12)

[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 7/21/08. Beginning on the first anniversary of the grant date, the options vest 20% per year for five years.
[F11]Option granted 2/5/10. Beginning on the first anniversary of the grant date, the options vest 20% per year for five years.
[F12]All options are fully vested.
[F2]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.
[F3]Beginning on the first anniversary of the grant date, the options vest 33 1/3% per year for three years.
[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]Option granted 2/2/09. Beginning on the first anniversary of the grant date, the options vest 20% per year for five years.
[F9]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

UMPQUA HOLDINGS CORP

CIK 0001077771

Entity typeoperating

IncorporatedOR