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THL Managers VI, LLC, et al. – ‘4’ for 8/12/14 re: Umpqua Holdings Corp.

On:  Thursday, 8/14/14, at 7:30am ET   ·   For:  8/12/14   ·   As:  Director and 10% Owner   ·   Accession #:  1140361-14-32363   ·   File #:  1-34624

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 8/14/14  THL Managers VI, LLC              4          Dir.,%Own.  3:90K  Umpqua Holdings Corp.             Edgarfilings Ltd.
          Thomas H. Lee Parallel (DT) Fund VI, L.P.
          Thomas H. Lee Parallel Fund VI, L.P.
          Thomas H. Lee Equity Fund VI, L.P.
          THL Equity Advisors VI, LLC
          THL Sterling Equity Investors, L.P.
          Thomas H. Lee Advisors, LLC

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML     11K 
                Securities by an Insider -- doc1.xml/3.6                         
 2: EX-99.1     Miscellaneous Exhibits                              HTML      9K 
 3: EX-99.2     Miscellaneous Exhibits                              HTML     42K

‘4’   —   Statement of Changes in Beneficial Ownership of Securities by an Insider — doc1.xml/3.6



        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
SEC Info℠ rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider
 
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
X
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
THOMAS H. LEE ADVISORS, LLC
(Last)(First)(Middle)
C/O THOMAS H. LEE PARTNERS, L.P.
100 FEDERAL STREET, 35TH FLOOR
(Street)
BOSTONMA02110
(City)(State)(Zip)
2. Issuer Name and Ticker or Trading Symbol
UMPQUA HOLDINGS CORP [ UMPQ ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
DirectorX10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
8/12/14
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
XForm filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock 8/12/14S 7,500,000 (2)D$16.157 (4)14,148,070ISee Footnotes (1) (2) (3)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
1. Name and Address of Reporting Person*
THOMAS H. LEE ADVISORS, LLC
(Last)(First)(Middle)
C/O THOMAS H. LEE PARTNERS, L.P.
100 FEDERAL STREET, 35TH FLOOR
(Street)
BOSTONMA02110
(City)(State)(Zip)
1. Name and Address of Reporting Person*
THL Equity Advisors VI, LLC
(Last)(First)(Middle)
C/O THOMAS H. LEE PARTNERS, L.P.
100 FEDERAL STREET, 35TH FLOOR
(Street)
BOSTONMA02110
(City)(State)(Zip)
1. Name and Address of Reporting Person*
Thomas H. Lee Equity Fund VI, L.P.
(Last)(First)(Middle)
C/O THOMAS H. LEE PARTNERS, L.P.
100 FEDERAL STREET, 35TH FLOOR
(Street)
BOSTONMA02110
(City)(State)(Zip)
1. Name and Address of Reporting Person*
Thomas H. Lee Parallel Fund VI, L.P.
(Last)(First)(Middle)
100 FEDERAL STREET, 35TH FLOOR
(Street)
BOSTONMA02110
(City)(State)(Zip)
1. Name and Address of Reporting Person*
Thomas H. Lee Parallel (DT) Fund VI, L.P.
(Last)(First)(Middle)
100 FEDERAL STREET
C/O THOMAS H. LEE PARTNERS, L.P.
(Street)
BOSTONMA02110
(City)(State)(Zip)
1. Name and Address of Reporting Person*
THL Sterling Equity Investors, L.P.
(Last)(First)(Middle)
C/O THOMAS H. LEE PARNTERS, L.P.
100 FEDERAL STREET, 35TH FLOOR
(Street)
BOSTONMA02110
(City)(State)(Zip)
1. Name and Address of Reporting Person*
THL Managers VI, LLC
(Last)(First)(Middle)
C/O THOMAS H. LEE PARNTERS, L.P.
100 FEDERAL STREET, 35TH FLOOR
(Street)
BOSTONMA02110
(City)(State)(Zip)
Explanation of Responses:
(1)  See Exhibit 99.1 for text of footnote (1).
(2)  See Exhibit 99.1 for text of footnote (2).
(3)  See Exhibit 99.1 for text of footnote (3).
(4)  See Exhibit 99.1 for text of footnote (4).
Remarks:
Exhibit 99.1 (Footnotes) and Exhibit 99.2 (Joint Filer Information) are incorporated herein by reference.
THOMAS H. LEE ADVISORS, LLC, By: THL Holdco, LLC its Managing Member, /s/ Charles P. Holden, Managing Director 8/13/14
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
____________
Transaction Code:
    S    Open market or private sale of non-derivative or derivative security.

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