SEC Form 4 · accession 0001127602-15-020327
UMB FINANCIAL CORP · UMBF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anthony J Fischer
Officer — President UMB Fund Services
Period of report
Jun 10, 2015
Accepted (ET)
Jun 11, 2015 · 10:58 am 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 | Jun 10, 2015 | M | 92 | $39.97 | A | 3,900 | D | |
| Common Stock | Jun 10, 2015 | M | 105 | $41.71 | A | 4,005 | D | |
| Common Stock | Jun 10, 2015 | M | 150 | $37.84 | A | 4,155 | D | |
| Common Stock | Jun 10, 2015 | M | 143 | $41.37 | A | 4,298 | D | |
| Common Stock | Jun 10, 2015 | S | 567 | $57.00 | D | 3,731 | D |
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 | $39.97 | Jun 10, 2015 | M | 92 | D | Jan 1, 2015 | Jan 1, 2022 | Common Stock | 92 | 92 | D |
| Stock Option (Right to Buy)F3 | $41.71 | Jun 10, 2015 | M | 105 | D | Jan 1, 2014 | Feb 18, 2021 | Common Stock | 105 | 36 | D |
| Stock Option (Right to Buy)F4 | $37.84 | Jun 10, 2015 | M | 150 | D | Jan 1, 2013 | Jan 1, 2020 | Common Stock | 150 | 0 | D |
| Stock Option (Right to Buy)F5 | $41.37 | Jun 10, 2015 | M | 143 | D | Jan 1, 2012 | Jan 1, 2019 | Common Stock | 143 | 0 | D |
Explanation of responses
- F1Reflects shares acquired through the reinvestment of dividends on restricted stock
- F2Options will vest 50% on 1/1/2015, 75% on 1/1/2016 and 100% on 1/1/2017.
- F3Options will vest 50% on 1/1/2014, 75% on 1/1/2015 and 100% on 1/1/2015
- F4Options will vest 50% on 1/1/2013; 75% on 1/1/2014; and 100% on 1/1/2015
- F5Options will vest 50% on 1/1/2012, 75% on 1/1/2013, and 100% on 1/1/2014