Home > Insider Trading > Filing (0001077771-14-000023)

Filing Details

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
1322289	L Ron Farnsworth	One Sw Columbia Street, Suite 1200 Portland OR 97258	Evp/Cfo	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
Common Stock	Disposition	2014-02-05	1,454	$16.75	117,369	No	4	F	Direct
Common Stock	Acquisiton	2014-02-05	3,000	$9.23	120,369	No	4	M	Direct
Common Stock	Disposition	2014-02-05	1,653	$16.75	118,716	No	4	F	Direct
Common Stock	Disposition	2014-02-05	489	$16.75	118,227	No	4	F	Direct
Common Stock	Acquisiton	2014-02-05	8,000	$11.89	126,227	No	4	M	Direct
Common Stock	Disposition	2014-02-05	5,678	$16.75	120,549	No	4	F	Direct
Common Stock	Disposition	2014-02-05	843	$16.75	119,706	No	4	F	Direct
Common Stock	Acquisiton	2014-02-05	20,000	$10.97	139,706	No	4	M	Direct
Common Stock	Disposition	2014-02-05	13,098	$16.75	126,608	No	4	F	Direct
Common Stock	Disposition	2014-02-05	2,508	$16.75	124,100	No	4	F	Direct
Common Stock	Disposition	2014-02-07	7,100	$17.14	117,000	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	F	Direct
No	4	M	Direct
No	4	F	Direct
No	4	F	Direct
No	4	M	Direct
No	4	F	Direct
No	4	F	Direct
No	4	M	Direct
No	4	F	Direct
No	4	F	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	2014-02-05	3,000	$16.75	3,000	$9.23
Common Stock	Non-Qualified Stock Option (right to buy)	Disposition	2014-02-05	20,000	$16.75	20,000	$10.97
Common Stock	Non-Qualified Stock Option (right to buy)	Disposition	2014-02-05	8,000	$16.75	8,000	$11.89

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0	2010-02-02	2019-02-01	No	4	M	Direct
0	2012-01-31	2021-01-30	No	4	M	Direct
8,000	2011-02-05	2020-02-05	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	1,135	Indirect	by 401(k)
Common Stock	4,179	Indirect	by IRA
Common Stock	2,274	Indirect	by Spouse IRA

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)	$22.94	2006-04-19	2015-04-19	10,000	10,000	Direct
Common Stock	Non-Qualified Stock Option (right to buy)	$23.49	2006-01-20	2015-01-20	2,500	2,500	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2015-04-19	10,000	10,000	Direct
2015-01-20	2,500	2,500	Direct

Footnotes

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.
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.
Sale of securities to pay tax liability incident to vesting of a security issued in accordance with Rule 16b-3.
All options are fully vested.
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.
Option granted 2/5/10. Beginning on the first anniversary of the grant date, the options vest 20% per year for five years.