Filing Details
- Accession Number:
- 0001077771-12-000055
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-09-11 12:50:55
- Reporting Period:
- 2012-09-10
- Filing Date:
- 2012-09-11
- Accepted Time:
- 2012-09-11 12:50:55
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1077771 | Umpqua Holdings Corp | UMPQ | Savings Institution, Federally Chartered (6035) | 931261319 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1462349 | D Colin Eccles | One Sw Columbia Street, Suite 1200 Portland OR 97258 | Evp/Cio | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2012-09-10 | 12,000 | $9.01 | 53,122 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-09-10 | 12,000 | $12.96 | 41,122 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2012-09-10 | 8,000 | $12.46 | 49,122 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2012-09-10 | 8,000 | $12.96 | 41,122 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2012-09-10 | 12,000 | $12.96 | 20,000 | $9.01 |
| Common Stock | Non-Qualified Stock Option (right to buy) | Disposition | 2012-09-10 | 8,000 | $12.96 | 20,000 | $12.46 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 8,000 | 2010-01-20 | 2019-01-20 | No | 4 | M | Direct |
| 12,000 | 2011-03-04 | 2020-03-03 | No | 4 | M | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Non-Qualified Stock Option (right to buy) | $10.97 | 2014-01-31 | 2021-01-30 | 11,500 | 11,500 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2021-01-30 | 11,500 | 11,500 | Direct |
Footnotes
- Option granted 1/21/09. Beginning on the first anniversary of the grant date, the options vest 20% per year for five years.
- Option granted 3/04/10. 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.
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