XNAS:UMPQ Umpqua Holdings Corp Quarterly Report 10-Q/A Filing - 6/30/2012

Effective Date 6/30/2012

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United States

Securities and Exchange Commission

Washington, D.C. 20549

 

FORM 10-Q/A

(Amendment No. 1)

 

 

 

 

 

 

[X]

 

Quarterly Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

 

 

for the quarterly period ended:     June 30, 2012

 

 

 

 

 

 

 

[  ]

 

Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

 

 

for the transition period from                                        to                                       .

 

Commission File Number: 001-34624

 

Umpqua Holdings Corporation

 

 

(Exact Name of Registrant as Specified in Its Charter)

 

 

 

 

 

 

OREGON

 

93-1261319

(State or Other Jurisdiction

 

(I.R.S. Employer Identification Number)

of Incorporation or Organization)

 

 

 

One SW Columbia Street, Suite 1200

Portland, Oregon 97258

(Address of Principal Executive Offices)(Zip Code)

 

(503) 727-4100

(Registrant’s Telephone Number, Including Area Code)

 

Indicate by check mark whether the registrant: (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days.

 

[X]   Yes   [  ]   No

 

Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files).

 

[X]   Yes   [  ]   No

 

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, non-accelerated filer, or a smaller reporting company. See definitions of “large accelerated filer”, “accelerated filer”, and “smaller reporting company” in Rule 12b-2 of the Exchange Act.

 

[X]   Large accelerated filer   [    ]   Accelerated filer   [    ]   Non-accelerated filer   [  ]   Smaller reporting company

 

Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).

 

[  ]   Yes   [X]   No

 

Indicate the number of shares outstanding for each of the issuer’s classes of common stock, as of the latest practical date:

 

Common stock, no par value: 111,891,811 shares outstanding as of July 31, 2012

1

 

 

 


 

Explanatory Note

 

Umpqua Holdings Corporation (referred to as “we”, “our” or “the Company”) is filing this Amendment No. 1 (this “Form 10-Q/A”) to its Quarterly Report on Form 10-Q for the quarter ended June 30, 2012, filed with the Securities and Exchange Commission on August 1, 2012 (the “Form 10-Q”), for the sole purpose of correcting an error within its Interactive Data File included in the Form 10-Q filing as Exhibit 101. In the previously-furnished Interactive Data File, Note 2 – Investment Securities was not block-text tagged. No other changes have been made to the Form 10-Q. This Form 10-Q/A continues to speak as of the original filing date of the Form 10-Q, does not reflect events that may have occurred subsequent to the original filing date, and does not modify or update any related disclosures made in the Form 10-Q.

 

2

 

 

 


 

SIGNATURES

 

Pursuant to the requirement of the Securities Exchange Act of 1934, the Company has duly caused this Amendment No.1 to this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

                                                

UMPQUA HOLDINGS CORPORATION

 

(Registrant)

 

 

Dated            August 2, 2012                                     

/s/ Raymond P. Davis

                                                

Raymond P. Davis

                                                

President and Chief Executive Officer

 

 

Dated            August 2, 2012                        

/s/ Ronald L. Farnsworth

 

Ronald L. Farnsworth

                                                

Executive Vice President/ Chief Financial Officer and

                                                

Principal Financial Officer

 

 

Dated            August 2, 2012                        

/s/ Neal T. McLaughlin

 

Neal T. McLaughlin

                                                

Executive Vice President/Treasurer and

                                                

Principal Accounting Officer

3

 

 

 


 

Exhibit Index

Exhibit

 

 

2.1

(a) Agreement and Plan of Reorganization by and among Umpqua Bank and American Perspective Bank dated April 9, 2012. This agreement was terminated by American Perspective Bank in accordance with its terms on April 30, 2012

 

 

3.1

(b) Restated Articles of Incorporation with designation of Fixed Rate Cumulative Perpetual Preferred Stock, Series A and designation of Series B Common Stock Equivalent preferred stock

 

 

3.2

(c) Bylaws, as amended 

 

 

4.1

(d) Specimen Common Stock Certificate

 

 

10.1

Form of Restricted Stock Agreement issued January 27, 2012 in varying amounts, to named executive officers, Raymond David, Brad Copeland, Ronald Farnsworth, Cort O’Haver and Mark Wardlow

 

 

10.2

Restricted Stock Unit Agreement issued January 27, 2012 to Raymond Davis

 

 

31.1

Certification of Chief Executive Officer under Section 302 of the Sarbanes-Oxley Act of 2002

 

 

31.2

Certification of Chief Financial Officer under Section 302 of the Sarbanes-Oxley Act of 2002

 

 

31.3

Certification of Principal Accounting Officer under Section 302 of the Sarbanes-Oxley Act of 2002

 

 

32

Certification of Chief Executive Officer, Chief Financial Officer and Principal Accounting Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002

 

                  

 

101.INS XBRL Instance Document *

101.SCH XBRL Taxonomy Extension Schema Document *

101.CAL XBRL Taxonomy Extension Calculation Linkbase Document *

101.DEF XBRL Taxonomy Extension Definition Linkbase Document *

101.LAB XBRL Taxonomy Extension Label Linkbase Document *

101.PRE XBRL Taxonomy Extension Presentation Linkbase Document *

            

* Pursuant to Rule 406T of Regulation S-T, these interactive data files are deemed not filed or part of a registration statement or

prospectus for purposes of Sections 11 or 12 of the Securities Act of 1933, as amended, or Section 18 of the Securities and

Exchange Act of 1934, as amended and otherwise are not subject to liability under those sections.

**Indicates compensatory plan or arrangement

 

 

 

(a)

Incorporated by reference to Exhibit 2.1 to Form 8-K filed April 10, 2012

(b)

Incorporated by reference to Exhibit 3.1 to Form 10-Q filed May 7, 2010

(c)

Incorporated by reference to Exhibit 3.2 to Form 8-K filed April 22, 2008

(d)

Incorporated by reference to Exhibit 4 to the Registration Statement on Form S-8 (No. 333-77259) filed with the SEC on April 28, 1999

 


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