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Filing Details

Accession Number:: 0001209191-14-052269
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-08-13 21:35:41
Reporting Period:: 2014-08-12

Filing Date:: 2014-08-13
Accepted Time:: 2014-08-13 21:35:41
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	Director	Officer	Large Shareholder	Other
929408	Warburg Pincus & Co.	450 Lexington Avenue New York NY 10017	No	No	Yes	No
1162870	Warburg Pincus Llc	450 Lexington Avenue New York NY 10017	No	No	Yes	No
1220638	P. Joseph Landy	C/O Warburg Pincus &Amp; Co. 450 Lexington Avenue New York NY 10017	No	No	Yes	No
1239318	R Charles Kaye	C/O Warburg Pincus &Amp; Co. 450 Lexington Avenue New York NY 10017	No	No	Yes	No
1322709	Warburg Pincus Partners Llc	C/O Warburg Pincus &Amp; Co. 450 Lexington Avenue New York NY 10017	No	No	Yes	No
1414561	Warburg Pincus X, L.p.	C/O Warburg Pincus &Amp; Co. 450 Lexington Avenue New York NY 10017	No	No	Yes	No
1414564	Warburg Pincus X Llc	C/O Warburg Pincus &Amp; Co. 450 Lexington Avenue New York NY 10017	No	No	Yes	No
1414565	Warburg Pincus Private Equity X, L.p.	C/O Warburg Pincus &Amp; Co. 450 Lexington Avenue New York NY 10017	No	No	Yes	No
1451560	Warburg Pincus X Partners, L.p.	C/O Warburg Pincus &Amp; Co. 450 Lexington Avenue New York NY 10017	No	No	Yes	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2014-08-12	7,500,000	$16.16	14,136,286	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Direct

Footnotes

Pursuant to an Underwriting Agreement, dated August 6, 2014, among the Umpqua Holdings Corporation (the "Issuer"), Warburg Pincus Private Equity X, L.P., a Delaware limited partnership ("WP Private Equity X"), Warburg Pincus X Partners, L.P., a Delaware limited partnership ("WP X Partners," and together with WP Private Equity X, "WP X"), Thomas H. Lee Equity Fund VI, L.P., Thomas H. Lee Parallel Fund VI, L.P., Thomas H. Lee Parallel (DT) Fund VI, L.P., THL Sterling Equity Investors L.P., THL Managers VI, LLC, and J.P. Morgan Securities LLC, WP X will sell 7,500,000 shares of common stock ("Common Stock") of the Issuer in a registered offering that closed on August 12, 2014.
Represents Common Stock of the Issuer held by the following entities: 13,698,060 by WP Private Equity X and 438,226 by WP X Partners, respectively.
By reason of the provisions of Rule 16a-1 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), Warburg Pincus X L.P., a Delaware limited partnership ("WP X LP"), and the general partner of WP X; Warburg Pincus X LLC, a Delaware limited liability company ("WP X LLC") and the general partner of WP X LP; Warburg Pincus Partners LLC, a New York limited liability company ("WP Partners") and the sole member of WP X LLC; Warburg Pincus & Co., a New York general partnership ("WP") and the managing member of WP Partners; Warburg Pincus LLC, a New York limited liability company ("WP LLC") that manages WP X; and Messrs. Charles R. Kaye and Joseph P. Landy, each a Managing General Partner of WP and a Managing Member and Co-Chief Executive Officer of WP LLC, and may be deemed to be the beneficial owner of the shares of Common Stock held by WP X.
(Continued from footnote 3) Each of WP X LP, WP X LLC, WP Partners, WP, WP LLC, and Messrs. Charles R. Kaye and Joseph P. Landy are a "Reporting Person," and collectively, the "Warburg Pincus Reporting Persons."
Information with respect to each of the Warburg Pincus Reporting Persons is given solely by such Warburg Pincus Reporting Persons, and no Warburg Pincus Reporting Person has responsibility for the accuracy or completeness of information supplied by another Warburg Pincus Reporting Person.
Pursuant to Rule 16a-1(a)(4) of the Exchange Act, each of the Warburg Pincus Reporting Persons, other than WP X, herein states that this filing shall not be deemed an admission that he or it is the beneficial owner of any of the shares of Common Stock covered by this Statement. Each of WP X LP, WP X LLC, WP Partners, WP, WP LLC and Messrs. Kaye and Landy disclaims beneficial ownership of the Common Stock, except to the extent of its or his pecuniary interest in such Common Stock.