UMPQ » Topics » Item 6. Exhibits

This excerpt taken from the UMPQ 10-Q filed May 7, 2009.

Item 6.    Exhibits

The exhibits filed as part of this Report and exhibits incorporated herein by reference to other documents are listed in the Exhibit Index to this Report, which follows the signature page.

 

51


Table of Contents

SIGNATURES

Pursuant to the requirement of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

 

  UMPQUA HOLDINGS CORPORATION  
  (Registrant)  
Dated    May 07, 2009  

/s/ Raymond P. Davis

 
  Raymond P. Davis
  President and Chief Executive Officer
Dated    May 07, 2009  

/s/ Ronald L. Farnsworth

 
  Ronald L. Farnsworth
  Executive Vice President/Chief Financial Officer and
  Principal Financial Officer
Dated    May 07, 2009  

/s/ Neal T. McLaughlin

 
  Neal T. McLaughlin
  Executive Vice President/Treasurer and
  Principal Accounting Officer

 

52


Table of Contents

EXHIBIT INDEX

 

Exhibit   
3.1    (a) Restated Articles of Incorporation with Designation of Fixed Rate Cumulative Perpetual Preferred Stock, Series A
3.2    (b) Bylaws, as amended
4.1    (c) Specimen Stock Certificate
10.1    (d) Long Term Incentive Restricted Stock Unit Agreements dated March 30, 2009 between the Company and Raymond P. Davis and Brad F. Copeland for granting restricted stock units under the 2007 Long Term Incentive Plan, subject to performance-based and service-based vesting requirements
10.2    Employment Agreement dated effective February 1, 2009 between the Company and Daniel A. Sullivan
31.1    Certification of Chief Executive Officer under Section 302 of the Sarbanes-Oxley Act of 2002
31.2    Certification of Principal 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, Principal Financial Officer and Principal Accounting Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002

 

 

 

(a) Incorporated by reference to Exhibit 3.1 to Form 8-K filed November 14, 2008
(b) Incorporated by reference to Exhibit 3.2 to Form 8-K filed April 21, 2008
(c) Incorporated by reference to the Registration Statement on Form S-8 (No. 333-77259) filed April 28, 1999
(d) Incorporated by reference to Exhibit 99.1 to Form 8-K filed April 2, 2009

 

53

This excerpt taken from the UMPQ 10-Q filed May 7, 2009.

Item 6.    Exhibits

The exhibits filed as part of this Report and exhibits incorporated herein by reference to other documents are listed in the Exhibit Index to this Report, which follows the signature page.

 

51


Table of Contents

SIGNATURES

Pursuant to the requirement of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

 

  UMPQUA HOLDINGS CORPORATION  
  (Registrant)  
Dated    May 07, 2009  

/s/ Raymond P. Davis

 
  Raymond P. Davis
  President and Chief Executive Officer
Dated    May 07, 2009  

/s/ Ronald L. Farnsworth

 
  Ronald L. Farnsworth
  Executive Vice President/Chief Financial Officer and
  Principal Financial Officer
Dated    May 07, 2009  

/s/ Neal T. McLaughlin

 
  Neal T. McLaughlin
  Executive Vice President/Treasurer and
  Principal Accounting Officer

 

52


Table of Contents

EXHIBIT INDEX

 

Exhibit   
3.1    (a) Restated Articles of Incorporation with Designation of Fixed Rate Cumulative Perpetual Preferred Stock, Series A
3.2    (b) Bylaws, as amended
4.1    (c) Specimen Stock Certificate
10.1    (d) Long Term Incentive Restricted Stock Unit Agreements dated March 30, 2009 between the Company and Raymond P. Davis and Brad F. Copeland for granting restricted stock units under the 2007 Long Term Incentive Plan, subject to performance-based and service-based vesting requirements
10.2    Employment Agreement dated effective February 1, 2009 between the Company and Daniel A. Sullivan
31.1    Certification of Chief Executive Officer under Section 302 of the Sarbanes-Oxley Act of 2002
31.2    Certification of Principal 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, Principal Financial Officer and Principal Accounting Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002

 

 

 

(a) Incorporated by reference to Exhibit 3.1 to Form 8-K filed November 14, 2008
(b) Incorporated by reference to Exhibit 3.2 to Form 8-K filed April 21, 2008
(c) Incorporated by reference to the Registration Statement on Form S-8 (No. 333-77259) filed April 28, 1999
(d) Incorporated by reference to Exhibit 99.1 to Form 8-K filed April 2, 2009

 

53

This excerpt taken from the UMPQ 10-Q filed Nov 7, 2008.

Item 6.    Exhibits

The exhibits filed as part of this Report and exhibits incorporated herein by reference to other documents are listed in the Exhibit Index to this Report, which follows the signature page.

 

51


Table of Contents

SIGNATURES

Pursuant to the requirement of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

 

  UMPQUA HOLDINGS CORPORATION  
  (Registrant)  
Dated    November 7, 2008  

/s/ Raymond P. Davis

 
  Raymond P. Davis
  President and Chief Executive Officer
Dated    November 7, 2008  

/s/ Ronald L. Farnsworth

 
  Ronald L. Farnsworth
  Executive Vice President/Chief Financial Officer and
  Principal Financial Officer
Dated    November 7, 2008  

/s/ Neal T. McLaughlin

 
  Neal T. McLaughlin
  Executive Vice President/Treasurer and
  Principal Accounting Officer

 

52


Table of Contents

EXHIBIT INDEX

 

Exhibit   
3.1    (a) Restated Articles of Incorporation
3.2    (b) Bylaws, as amended
4.1    (c) Specimen Stock Certificate
10.1    (d) First Amendment to Employment Agreements dated effective September 16, 2008 between the Company and Brad Copeland and Dave Edson
31.1    Certification of Chief Executive Officer under Section 302 of the Sarbanes-Oxley Act of 2002
31.2    Certification of Principal 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, Principal Financial Officer and Principal Accounting Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002

 

 

 

(a) Incorporated by reference to Exhibit 3.1 to Form 10-Q filed August 7, 2006
(b) Incorporated by reference to Exhibit 3.2 to Form 8-K filed April 22, 2008
(c) Incorporated by reference to the Registration Statement on Form S-8 (No. 333-77259) filed April 28, 1999
(d) Incorporated by reference to Exhibit 99.1 to Form 8-K filed October 8, 2008

 

53

This excerpt taken from the UMPQ 10-Q filed Aug 7, 2008.

Item 6.    Exhibits

The exhibits filed as part of this Report and exhibits incorporated herein by reference to other documents are listed in the Exhibit Index to this Report, which follows the signature page.

 

44


Table of Contents

SIGNATURES

Pursuant to the requirement of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

 

  UMPQUA HOLDINGS CORPORATION  
  (Registrant)  
Dated    August 07, 2008  

/s/ Raymond P. Davis

 
  Raymond P. Davis
  President and Chief Executive Officer
Dated    August 07, 2008  

/s/ Ronald L. Farnsworth

 
  Ronald L. Farnsworth
  Executive Vice President/ Chief Financial Officer and
  Principal Financial Officer
Dated    August 07, 2008  

/s/ Neal T. McLaughlin

 
  Neal T. McLaughlin
  Executive Vice President/Treasurer and
  Principal Accounting Officer

 

45


Table of Contents

EXHIBIT INDEX

 

Exhibit   
3.1    (a) Restated Articles of Incorporation
3.2    (b) Bylaws, as amended
4.1    (c) Specimen Stock Certificate
10.1    (d) Third Restated Supplemental Executive Retirement Plan dated and effective April 16, 2008 between the Company and Raymond P. Davis
10.2    (e) Split Dollar Insurance Agreement (Endorsement Method) dated and effective April 16, 2008 between the Company and Raymond P. Davis.
31.1    Certification of Chief Executive Officer under Section 302 of the Sarbanes-Oxley Act of 2002
31.2    Certification of Principal 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, Principal Financial Officer and Principal Accounting Officer
   pursuant to Section 906 of the Sarbanes-Oxley Act of 2002

 

 

 

(a) Incorporated by reference to Exhibit 3.1 to Form 10-Q filed August 7, 2006
(b) Incorporated by reference to Exhibit 3.2 to Form 8-K filed April 22, 2008
(c) Incorporated by reference to the Registration Statement on Form S-8 (No. 333-77259) filed April 28, 1999
(d) Incorporated by reference to Exhibit 99.1 to Form 8-K/A filed April 23, 2008
(e) Incorporated by reference to Exhibit 99.2 to Form 8-K filed April 22, 2008

 

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