0001127602-14-014967.txt : 20140422 0001127602-14-014967.hdr.sgml : 20140422 20140422210121 ACCESSION NUMBER: 0001127602-14-014967 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140418 FILED AS OF DATE: 20140422 DATE AS OF CHANGE: 20140422 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: STERLING FINANCIAL CORP /WA/ CENTRAL INDEX KEY: 0000891106 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTIONS, NOT FEDERALLY CHARTERED [6036] IRS NUMBER: 911572822 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 111 N WALL ST CITY: SPOKANE STATE: WA ZIP: 99201 BUSINESS PHONE: 509-227-5389 MAIL ADDRESS: STREET 1: 111 NORTH WALL STREET CITY: SPOKANE STATE: WA ZIP: 99201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SCHULTHEIS ANDREW J CENTRAL INDEX KEY: 0001522404 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34696 FILM NUMBER: 14777313 MAIL ADDRESS: STREET 1: 111 NORTH WALL STREET CITY: SPOKANE STATE: WA ZIP: 99201 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2014-04-18 1 0000891106 STERLING FINANCIAL CORP /WA/ STSA 0001522404 SCHULTHEIS ANDREW J 111 NORTH WALL STREET SPOKANE WA 99201 1 General Counsel Common Stock 2014-04-18 4 D 0 5211 D 0 D Common Stock (ESPP) 2014-04-18 4 D 0 1422 D 0 D Restricted Stock Unit 2014-04-18 4 D 0 6734 0 D Common Stock 6734 0 D Restricted Stock Unit 2014-04-18 4 D 0 6013 0 D Common Stock 6013 0 D Non-Qualified Stock Option 21.76 2014-04-18 4 D 0 6304 0 D 2014-04-29 2023-04-29 Common Stock 6304 0 D Restricted Stock Unit 2014-04-18 4 D 0 2473 0 D 2016-03-13 Common Stock 2473 0 D Restricted Stock Unit 2014-04-18 4 D 0 1387 0 D 2013-06-08 2014-06-08 Common Stock 1387 0 D Restricted Stock Unit 2014-04-18 4 D 0 6617 0 D Common Stock 6617 0 D Common stock of Sterling Financial Corporation ("Sterling") disposed of in connection with the merger of Sterling with and into Umpqua Holdings Corporation ("Umpqua") on April 18, 2014 pursuant to the Agreement and Plan of Merger, dated as of September 11, 2013, between Sterling and Umpqua, each share of Sterling's common stock was exchanged for $2.18 in cash and 1.671 shares of Umpqua common stock. Restricted Stock Units ("RSUs") of Sterling disposed of pursuant to the Agreement and Plan of Merger. Each Sterling RSU will be converted into an Umpqua RSU per the equity award exchange ratio as referred to in the Agreement and Plan of Merger. Nonqualified stock options of Sterling disposed of pursuant to the Agreement and Plan of Merger. Each Sterling stock option will be converted into an option to purchase Umpqua common stock per the equity award exchange ratio as referred to in the Agreement and Plan of Merger. /s/ Lara L. Hemingway, attorney-in-fact 2014-04-22