0001127602-14-014976.txt : 20140422 0001127602-14-014976.hdr.sgml : 20140422 20140422211023 ACCESSION NUMBER: 0001127602-14-014976 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: Hartheimer Robert Herman CENTRAL INDEX KEY: 0001455809 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34696 FILM NUMBER: 14777325 MAIL ADDRESS: STREET 1: 3232 RITTENHOUSE STREET NW CITY: WASHINGTON STATE: DC ZIP: 20015 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2014-04-18 1 0000891106 STERLING FINANCIAL CORP /WA/ STSA 0001455809 Hartheimer Robert Herman 111 NORTH WALL STREET SPOKANE WA 99201 1 Common Stock 2014-04-18 4 D 0 29711 D 0 D Non-Qualified Stock Option 21.76 2014-04-18 4 D 0 2626 0 D 2014-04-01 2023-04-29 Common Stock 2626 0 D 40,000 shares of common stock owned in an individual brokerage account, 80,000 shares of common stock owned in an individual retirement account for the benefit of Mr. Hartheimer. 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. /s/ Lara L. Hemingway, attorney-in-fact 2014-04-22