SEC Form 4 · accession 0001127602-15-018169
UMB FINANCIAL CORP · UMBF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew J Iseman
Officer — CEO of Subsidiary
Period of report
May 19, 2015
Accepted (ET)
May 21, 2015 · 6:00 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000101382
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 19, 2015 | M | 1,686 | $41.71 | A | 25,102 | D | |
| Common Stock | May 19, 2015 | M | 3,332 | $45.07 | A | 28,434 | D | |
| Common Stock | May 19, 2015 | S | 4,538 | $53.10 | D | 23,896 | D | |
| Common Stock | May 19, 2015 | S | 300 | $53.105 | D | 23,596 | D | |
| Common Stock | May 19, 2015 | S | 430 | $53.11 | D | 23,166 | D | |
| Common Stock | May 19, 2015 | S | 200 | $53.12 | D | 22,966 | D | |
| Common Stock | holding | — | — | — | 68 | I | By ESOP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $41.71 | May 19, 2015 | M | 1,686 | D | Jan 1, 2014 | Jan 1, 2021 | Common Stock | 1,686 | 1,686 | D |
| Stock Option (Right to Buy)F3 | $45.07 | May 19, 2015 | M | 3,332 | D | Jan 1, 2015 | Jan 1, 2022 | Common Stock | 3,332 | 3,333 | D |
Explanation of responses
- F1Includes shares acquired through the reinvestment of dividends through the Company's dividend reinvestment plan.
- F2Options will vest 50% on 1/1/2014, 75% on 1/1/2015 and 100% on 1/1/2015
- F3Options will vest 50% on 1/1/2012, 75% on 1/1/2013, and 100% on 1/1/2014