SEC Form 4 · accession 0001127602-16-066802
UMB FINANCIAL CORP · UMBF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
J Mariner Kemper
Officer — Chairman and CEO · Director
Period of report
Nov 10, 2016
Accepted (ET)
Nov 14, 2016 · 9:48 am EST
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 Stock | Nov 10, 2016 | M | 20,467 | $38.84 | A | 176,767 | D | |
| Common StockF1 | Nov 10, 2016 | F | 15,702 | $69.66 | D | 161,065 | D | |
| Common Stock | holding | — | — | — | 1,857 | I | By Esop | |
| Common Stock | holding | — | — | — | 12,284 | I | By Trust - RC Kemper For John | |
| Common Stock | holding | — | — | — | 60,800 | I | By Trust - TUW RC Kemper For John Mariner | |
| Common Stock | holding | — | — | — | 290,397 | I | Held by Kemper Realty | |
| Common Stock | holding | — | — | — | 395,989 | I | Held by Pioneer Service Corporation | |
| Common Stock | holding | — | — | — | 2,161,386 | I | By Trust - RC Kemper Irrevocable Trust |
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 | $38.84 | Nov 10, 2016 | M | 20,467 | D | — | Jan 1, 2017 | Common Stock | 20,467 | 0 | D |
Explanation of responses
- F1Includes shares acquired through dividend reinvestment of restricted stock shares
- F2Options will vest 50% on the third 1/1/2010; 75% on the 1/1/2011; and 100% on 1/1/2012.