UMPQUA HOLDINGS CORP 4
4 · UMPQUA HOLDINGS CORP · Filed Jan 28, 2014
Insider Transaction Report
Form 4
PHILPOTT STEVEN L
EVP/General Counsel/Secretary
Transactions
- Award
Common Stock
2014-01-27+10,000→ 108,552 total - Other
Common Stock
2014-01-27+70→ 1,890 total(indirect: By 401(k)) - Tax Payment
Common Stock
2014-01-27$18.23/sh−1,110$20,235→ 83,552 total - Award
Common Stock
2014-01-27+15,000→ 98,552 total
Holdings
- 25,000
Non-Qualified Stock Option (right to buy)
Exercise: $11.89From: 2011-02-05Exp: 2020-02-05→ Common Stock (25,000 underlying) - 3,147(indirect: by Corporation)
Common Stock
- 178(indirect: By Spouse)
Common Stock
- 14,000
Non-Qualified Stock Option (right to buy)
Exercise: $10.97From: 2014-01-31Exp: 2021-01-30→ Common Stock (14,000 underlying) - 10,000
Non-Qualified Stock Option (right to buy)
Exercise: $11.59From: 2009-07-21Exp: 2018-07-20→ Common Stock (10,000 underlying) - 20,000
Non-Qualified Stock Option (right to buy)
Exercise: $15.50From: 2009-01-28Exp: 2018-01-27→ Common Stock (20,000 underlying) - 1,500
Non-Qualified Stock Option (right to buy)
Exercise: $23.49From: 2006-01-20Exp: 2015-01-20→ Common Stock (1,500 underlying) - 439(indirect: By Spouse)
Common Stock
- 10,000
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)
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.